TO: Members of the Board of Regents Ex officio ......University community was saddened by her death on January 26. On behalf of the Regents, he extended sympathies to Debra’s family

February 6, 2014 TO: Members of the Board of Regents Ex officio Representatives to the Board of Regents FROM: Joan Goldblatt, Secretary of the Board of Regents RE: Schedule of Meetings WEDNESDAY, FEBRUARY 12, 2014 5:30 p.m. President’s Residence DINNER FOR REGENTS,

AND OTHER GUESTS

THURSDAY, FEBRUARY 13, 2014 8:30 to 9:00 a.m. 142 Gerberding Hall GOVERNANCE COMMITTEE: Regents Smith

(Chair), Ayer, Blake, Shanahan

*9:15 to 10:20 a.m. 142 Gerberding Hall ACADEMIC AND STUDENT AFFAIRS COMMITTEE: Regents Ayer (Chair), Jaech, Rice, Riojas, Scott

*10:30 to 11:35 a.m. 142 Gerberding Hall

FINANCE AND ASSET MANAGEMENT COMMITTEE: Regents Shanahan (Chair), Blake, Harrell, Simon

12:15 p.m. Petersen Room Allen Library

REGULAR MEETING OF BOARD OF REGENTS

*or upon conclusion of the previous session. Unless otherwise indicated, committee meetings of the Board of Regents will run consecutively; starting times following the first committee are estimates only. If a session ends earlier than expected, the next scheduled session may convene immediately. Committee meetings may be attended by all members of the Board of Regents and all members may participate. To request disability accommodation, contact the Disability Services Office at: 206.543.6450 (voice), 206.543.6452 (TTY), 206.685.7264 (fax), or email at [email protected]. The University of Washington makes every effort to honor disability accommodation requests. Requests can be responded to most effectively if received as far in advance of the event as possible, preferably at least 10 days. 1.1/202-14 2/13/14

mailto:[email protected]

1.3.1/202-14 2/13/14

UNIVERSITY OF WASHINGTON BOARD OF REGENTS

Governance Committee Regents Smith (Chair), Ayer, Blake, Shanahan

February 13, 2014 8:30 to 9:00 a.m.

142 Gerberding Hall For this initial meeting of the Governance Committee, members will review the scope of responsibilities and discuss next steps.

The Governance Committee was created when the Board bylaws were amended and updated at the November 2013 meeting of the Board, to be effective on January 1, 2014. At the January 2014 meeting of the Board, Orin Smith, Chair of the Board, appointed Regents Bill Ayer, Kristi Blake, and Pat Shanahan to serve on this committee. The Governance Committee includes, and is chaired by, the Chair of the Board.

Under the amended bylaws, the purpose of the Governance Committee is to ensure the integrity of the Board and enhance Board performance. The committee is responsible for: 1) Establishing and maintaining standards of Board conduct;

2) Identifying the expertise and experience needed by the Board and, as appropriate,

communicating this to the Governor;

3) Recommending a slate of officers for Board approval;

4) Recommending for Board approval individual members to act as the Board's

representatives on outside boards and committees;

5) Ensuring that Board members have adequate orientation and ongoing education;

6) Assessing the performance of the Board and Board members;

7) Monitoring the activities of governance shared with the faculty;

8) Monitoring compliance with the conflict of interest policy;

9) Periodically reviewing and ensuring compliance with these Bylaws and other Board

policies; and

10) Carrying out the statutory functions of an executive committee.

1.4.1/202-14 2/13/14


Academic and Student Affairs Committee Regents Ayer (Chair), Jaech, Rice, Riojas, Scott

February 13, 2014 9:15 to 10:20 a.m.

142 Gerberding Hall 1. Approval of Minutes of Committee Meeting on January 9, 2014

COMMITTEE

ACTION

2. Academic and Administrative Appointments Ana Mari Cauce, Provost and Executive Vice President

ACTION A–1

3. Introduction of New Leadership: Robert G. and Jean A. Reid Dean of Nursing

Ana Mari Cauce, Provost and Executive Vice President Azita Emami, Robert G. and Jean A. Reid Dean of Nursing

INFORMATION A–2

4. Building an Inclusive Faculty at the University of Washington Sheila Edwards Lange, Vice President for Minority Affairs, Vice Provost for Diversity Luis Fraga, Associate Vice Provost for Faculty Advancement Alexes Harris, Associate Professor, Sociology Julia Aguirre. Associate Professor, Education Programs, UW Tacoma

INFORMATION A–3

5. Institute for Health Metrics and Evaluation Board New Appointments and Reappointments

Paul Ramsey, Dean and CEO, UW Medicine

ACTION A–4

6. Appointment to the UW Medicine Board Paul Ramsey, Dean and CEO, UW Medicine

ACTION A–5

7. Other Business

1.2.1/202-14 2/13/14


Finance and Asset Management Committee

Regents Shanahan (Chair), Blake, Harrell, Simon

February 13, 2014 10:30 to 11:35 a.m.

142 Gerberding Hall

1. Approval of Minutes of Committee Meeting on January 9, 2014

COMMITTEE ACTION

2. Actions Taken Under Delegated Authority Richard Chapman, Associate Vice President, Capital Projects Office

INFORMATION F–1

3. UW Medicine Board Annual Compliance Report Rich Jones, Chair, UW Medicine Board Compliance Committee Paul G. Ramsey, M.D., CEO, UW Medicine; Executive Vice President for Medical Affairs, UW; Dean, UW School of Medicine Sue Clausen, Chief Compliance Officer, UW Medicine; Associate Vice President for Medical Affairs, UW

INFORMATION F–2

4. Approve Amended Debt Management Policy – Statement of Objectives and Policies

Chris Malins, Interim Associate Vice President, Treasury Office Bill Starkey, Associate Treasurer, Treasury Office

ACTION F–3

5. HR/Payroll Modernization Project – Adopt Project Budget, Approve Financing Plan and Delegate Authority to Execute Vendor Contract

V'Ella Warren, Senior Vice President Kelli Trosvig, Vice President for UW-IT and CIO, UW Information Technology Ann Anderson, Associate Vice President and Controller Paul Jenny, Vice Provost, Planning & Budgeting Chris Malins, Interim Associate Vice President, Treasury Office

ACTION F–4

6. Deferred Maintenance Update Charles Kennedy, Associate Vice President, Facilities Services

INFORMATION F–5

AGENDA – Finance and Asset Management Committee Meeting on February 13, 2014 Page 2

1.2.1/202-14 2/13/14

7. Executive Session (to consider the minimum price at which real estate will be offered for sale or lease when public knowledge regarding such consideration would cause a likelihood of decreased price.)

8. Other Business

1.1.1/202-14 2/13/14

AGENDA

BOARD OF REGENTS University of Washington

February 13, 2014

12:15 p.m. Petersen Room, Allen Library

(Item No.) I. CALL TO ORDER II. ROLL CALL: Assistant Secretary Shelley Tennant III. CONFIRM AGENDA IV. PUBLIC COMMENT PERIOD V. REPORT OF THE CHAIR OF THE BOARD OF REGENTS: Regent Smith VI. REPORT OF THE UNIVERSITY PRESIDENT: President Young VII. CONSENT AGENDA Approval of Minutes of Meeting of January 9, 2014

Institute for Health Metrics and Evaluation Board New Appointments and Reappointments

A–4

Appointment to the UW Medicine Board

A–5

Approve Amended Debt Management Policy – Statement of Objectives and Policies

F–3

HR/Payroll Modernization Project – Adopt Project Budget, Approve Financing Plan and Delegate Authority to Execute Vendor Contract

F–4

VIII. STANDING COMMITTEES A. Academic and Student Affairs Committee: Regent Ayer – Chair Academic and Administrative Appointments (Action)

A–1

Introduction of New Leadership: Robert G. and Jean A. Reid Dean of Nursing (Information only)

A–2

Building an Inclusive Faculty at the University of Washington (Information only)

A–3

AGENDA – Board of Regents Meeting on February 13, 2014 Page 2

1.1.1/202-14 2/13/14

B. Finance and Asset Management Committee: Regent Shanahan – Chair Actions Taken Under Delegated Authority (Information only)

F–1

UW Medicine Board Annual Compliance Report (Information only)

F–2

Deferred Maintenance Update (Information only)

F–5

IX. REPORTS TO THE BOARD

Faculty Senate Chair – Professor Jack Lee Student Leaders: ASUW President – Mr. Michael Kutz GPSS President – Mr. Christopher Lizotte ASUW Tacoma President – Mr. Peter Pentescu ASUW Bothell President – Mr. Talwinder Singh Alumni Association President – Mr. Mike Egan

X. DATE FOR NEXT REGULAR MEETING: Thursday, March 13, 2014 XI. EXECUTIVE SESSION (to review the performance of public employees) XII. ADJOURN

OFFICIAL MINUTES

M I N U T E S

BOARD OF REGENTS University of Washington

February 13, 2014

The Board of Regents held its regular meeting on Thursday, February 13, 2014, beginning at 12:15 p.m. in the Petersen Room of the Allen Library. The notice of the meeting was appropriately provided to the public and the media.

CALL TO ORDER

Regent Smith called the meeting to order at 12:15 p.m. ROLL CALL

Assistant Secretary Tennant called the roll: Present were Regents Smith (chairing), Ayer, Blake, Harrell, Jaech, Rice, Riojas, Scott, Simon; President Young, Provost Cauce, Ms. Warren, Ms. Goldblatt; ex officio representatives: Professor Lee, Mr. Lizotte, Mr. Kutz, Mr. Egan. Absent: Regent Shanahan

CONFIRM AGENDA

The agenda was confirmed as presented. PUBLIC COMMENT PERIOD

Regent Smith announced the Board would receive comments from the public. This segment of the meeting is meant to give Board members a chance to hear directly from the public on any subject pertaining to the University. He noted that while the Board was pleased to have the opportunity to listen to any comments offered and consider them in its decision-making, the Board was not in a position to directly act on the comments or provide a response. Any Board member who would like additional information would make that request through staff following the meeting. Regents heard comments from three people who signed up before the start of the meeting. One person commented on contract negotiations with the International and English Language Programs faculty, one person commented on the absence of a contract between UW and the American Federation of Teachers in the Master of Arts for Teachers of English Language, and one person commented on climate action at UW.

BOARD OF REGENTS 2 February 13, 2014

Regent Smith thanked the speakers for attending the meeting and presenting their comments to the Board. He reiterated if members of the Board would like additional information about the issues presented in public comment, they would make the request of staff and it would be provided at a later time.

REPORT OF THE CHAIR OF THE BOARD OF REGENTS: Regent Smith

Regent Smith provided a brief report from the first meeting of the newly-formed Governance Committee, created by recent amendments to the bylaws, effective January 1, 2014. Committee members briefly discussed organizational matters and the approach to fulfilling the duties of the Committee. The bylaws change also created two new advisory committees. An audit advisory committee, made up of two Regents and up to six members at-large, to provide expertise and improved oversight of the audit process, and a governmental affairs advisory committee. The Governance Committee will nominate members of the two new advisory committees for Board approval. Regent Smith commemorated UW Tacoma Chancellor Debra Friedman, saying the University community was saddened by her death on January 26. On behalf of the Regents, he extended sympathies to Debra’s family. Regents admired Chancellor Friedman’s transformational work at UW Tacoma, where she built extraordinary relationships with the community and with the faculty, staff, and students. Many Regents plan to attend the memorial service on February 15 at UW Tacoma. Regent Smith invited President Young to give the report of the University President.

REPORT OF THE UNIVERSITY PRESIDENT: President Young

President Young echoed the sorrow of the UW community on the passing of Chancellor Friedman. He described her as having an extraordinary impact on the University and on the Tacoma campus where she developed deep relationships and engaged community members in her vision of an urban-serving campus. Many remember her from her time at UW Seattle, before she moved to Arizona. In a senior leadership role she took on, and solved, challenging issues. She is viewed as someone who addressed problems in a coherent, consistent, and intellectually powerful way.

The Northwest Commission on Colleges and Universities reaffirmed accreditation of the University of Washington, and commended UW for:

• Robust response to fiscal downturn; • Commitment to access, undergraduate research opportunities, Husky Leadership

Initiative; • Fostering of collaborations between library and significant academic programs; • Distinguished health sciences enterprise and its innovative programs; • Efforts to ensure student-athletes across sports and affinity groups demonstrate

strong graduation rates and high-level academic performance.


Secretary of Interior, and former UW Regent, Sally Jewell visited UW’s College of Fisheries last week to discuss climate change. The President highlighted a report from the Center on Higher Education Reform at the American Enterprise Institute which looked at access, affordability, and graduation rates in higher education across the country. Out of 1,700 universities sampled, including most of UW’s peers, such as UCLA, UC Berkeley, Michigan, Virginia, Wisconsin, Maryland-College Park, and Rutgers, the study found only nineteen achieved the top tier on all three measures, having a net cost under $10,000, a graduation rate over 50%, and at least 25% representation of Pell Grant recipients. Both UW Seattle and UW Bothell made this very short list. UW Tacoma missed the list by half a percentage point. UW was selected as a finalist for a 2014 Sparkies Microsoft All Hands award by United Way of King County for the way UW values its employees’ community involvement and volunteerism. The President provided an update on the Sexual Assault Task Force. Last spring he commissioned a group of University academic personnel, staff, and students to come together as a Task Force on Sexual Assault Prevention and Response to review the University’s current policies and practices, explore best practices from other institutions, develop any needed new practices, and propose an implementation plan. The task force was not formed in response to any unusually large problems at UW. President Young introduced the Director of UW’s counseling center, Ellen Taylor, and thanked her for chairing the task force. He recognized the good work she does at the UW and said she is nationally known as an intellectual leader in the field. In October, the Task Force submitted a very thorough report summarizing current policies and practices and offering eighteen prioritized recommendations. Provost Cauce and President Young approved funding for the first set of steps, and there will be more information and increased visibility for these efforts in the coming months. A successful sexual assault prevention and response effort requires a comprehensive, coordinated, community approach. The eight broad goals, developed by the Task Force, are critical for the UW, or any institution, to strive towards when creating a successful prevention and response program. Summary of Broad Task Force Goals and Recommendations • Have a visible, robust, easily-accessible, collaborative network of response and

intervention services for students in need; Develop roles and clarify process among departments providing response and

intervention services; Create and maintain one website with comprehensive information about sexual

assault; Ensure medical care resources, including Sexual Assault Nurse Examiner (SANE)

exams, are available in close proximity to campus;


Provide resources for students at all three campuses. • Educate all students about sexual assault. Provide comprehensive training campaign for all students; Create targeted training for special groups of students: fraternities and sororities,

men, student athletes, and others; Develop and initiate an ongoing robust public information campaign.

• Create a community that knows how to respond and provide support. Expand bystander training for students, academic personnel and staff; First responder training: Educate and train on how to be supportive and respond if

someone reveals she/he was assaulted; Train staff and academic personnel on their reporting requirements.

• Provide an investigation and disciplinary process appropriate for sexual assault. Transform the investigation and disciplinary process for sexual assault; Demonstrate compliance with all applicable federal and state laws, regulations

and guidance; Ensure compliance with federal and state laws, regulations, and guidance related

to prevention of and response to sexual assault. • Generate data, metrics and reporting that allow for sound decision making. Survey students on rates of sexual assault and awareness of campus resources; Gather, track, and assess information at an institutional level; Evaluate program effectiveness regularly.

• Establish policies and procedures that set direction, clarify intent, and guide

coordinated work. Revise the current Student Conduct Code sexual assault investigation and

disciplinary policy and process; Review, revise and ensure alignment of University policies that relate to sexual

assault. • Provide effective oversight and follow guiding principles to ensure common

direction. Provide effective oversight to guide strategic direction of Task Force

recommendations. The Task Force set a goal to see significant progress on the majority of recommendations in the report by November 2014. This will be followed by a two year review in November 2015, reviewing outcomes of changed policies, procedures, staffing, and resources to determine new or different needs. And then a ten year review. In 2023 a Task Force or audit/review team will evaluate progress and make adjustments.

CONSENT AGENDA


Regent Smith noted there were five items for approval on the consent agenda, and called for a motion.

MOTION: Upon the recommendation of the Chair of the Board and the motion made

by Regent Harrell, the Board voted to approve the five items on the consent agenda as shown below:

Minutes for the meeting of January 9, 2014

Institute for Health Metrics and Evaluation Board New Appointments and Reappointments (Agenda no. A–4) It was the recommendation of the University President and the Academic and Student Affairs Committee that the Board of Regents make the following new appointments and reappointments to the Institute for Health Metrics and Evaluation (IHME) Board: New Appointments: Mr. John Stanton and Mr. Stephen Cucchiaro for terms from March 1, 2014 through June 30, 2016. Reappointments: Dr. Lincoln Chen and Dr. Harvey Fineberg for terms from July 1, 2013 through June 30, 2016. See Attachment A–4. Appointment to the UW Medicine Board (Agenda no. A–5) It was the recommendation of the Chair of the Board of Regents and the Academic and Student Affairs Committee that the Board of Regents appoint Carolyn Parnell as a Valley Medical Center Board member of the UW Medicine Board to complete a three-year term from February 15, 2014 through June 30, 2016. See Attachment A–5. Approve Amended Debt Management Policy – Statement of Objectives and Policies (Agenda no. F–3) It was the recommendation of the administration and the Finance and Asset Management Committee that the Board of Regents adopt the amended Debt Management Policy – Statement of Objectives and Policies to broaden the definition of personal property. See Attachment F–3. HR/Payroll Modernization Project – Adopt Project Budget, Approve Financing Plan and Delegate Authority to Execute Vendor Contract (Agenda no. F–4) It was the recommendation of the administration and the Finance and Asset Management Committee that the Board of Regents: 1) Adopt a project budget of $70 million for the HR/Payroll Modernization project; 2) Approve project financing up to $65 million; and 3) Delegate authority to the President or his designee to execute the vendor contract.


See Attachment F–4.

STANDING COMMITTEES ACADEMIC AND STUDENT AFFAIRS COMMITTEE: Regent Ayer, Chair

Regent Smith invited Regent Ayer to provide a report from the Academic and Student Affairs Committee meeting.

Academic and Administrative Appointments (Agenda no. A–1)

MOTION: Upon the recommendation of the administration and the motion made by

Regent Ayer, the Board voted to approve the personnel appointments. Regent Scott abstained from the vote.

See Attachment A–1.

Introduction of New Leadership: Robert G. and Jean A. Reid Dean of Nursing (Agenda no. A–2) (Information only) See Attachment A–2. Building an Inclusive Faculty at the University of Washington (Agenda no. A–3) (Information only) Regents heard a presentation about building an inclusive faculty, led by Sheila Edwards Lange and Luis Fraga. They were joined by Alexes Harris, Associate Professor in Sociology and Julia Aguirre, Associate Professor in Education Programs at UW Tacoma who shared their perspectives. This was a candid and thought-provoking discussion with lots of questions and involvement. The University is making progress, but there is much more to do, with a continued focus on the hiring pipeline to improve faculty diversity. Regents affirmed diversity is about excellence, not just “access for access sake.” This is true for both faculty and students. Board members firmly believe diverse organizations are “just better.” Regents asked how the UW can do better to improve diversity. They heard concerns expressed about the pipeline and retention of faculty as well as some positive actions including a change to the faculty code to formally add a commitment to increasing faculty diversity. Specific recommendations were made: continue to develop the hiring pool and to provide resources for faculty retention and mentoring. Regents plan to keep current on the progress of diversity and to think about their role in providing leadership on how UW improves diversity. Regents want to hear more about this topic in the future. See Attachment A–3.

FINANCE AND ASSET MANAGEMENT COMMITTEE: Regent Shanahan, Chair


Regent Smith thanked Regent Blake for serving as Chair of the Finance and Asset Management Committee in Regent Shanahan’s absence, and invited her to provide a report from the Committee meeting.

UW Medicine Board Annual Compliance Report (Agenda no. F–2) (Information only) Regents heard a compliance report from the UW Medicine Board. A detailed and thoughtful written report was provided in advance. Rich Jones, Chair of the Compliance Committee, attended with Dr. Ramsey and UW Medicine’s Chief Compliance Officer, Sue Clausen, to discuss the compliance program. Regents asked about the tone of compliance, whether it comes from the top, and were reassured by the answers they received. They feel comfortable about the way compliance is being handled. Mr. Jones talked about the qualifications of the community members who serve on the Compliance Committee. Regent Blake said the University thanks them for their work and the focus and attention they bring to compliance. See Attachment F–2. Deferred Maintenance Update (Agenda no. F–5) (Information only) At the request of Regent Shanahan, Charles Kennedy presented a report about deferred maintenance on Seattle campus buildings. Regent Blake termed this a “discouraging report” as the University lacks adequate resources to properly maintain its facilities. There is a need to continue to provide the resources necessary to maintain campus buildings. Given the changes in the way classes are being taught and electrical and disability requirements, there is a long way to go to catch up on maintenance needs. Additional investments would address this challenge. See Attachment F–5.

REPORTS TO THE BOARD OF REGENTS

Regent Smith invited the ASUW Presidents from Bothell and Tacoma, Peter Pentescu and Talwinder Singh, to join the Board seated at the table.

Faculty Senate Chair: Professor Jack Lee Professor Lee’s report is attached to these minutes. ASUW President: Mr. Michael Kutz Mr. Kutz commented on the current legislative session, saying students recently held a “Huskies on the Hill” lobby day in Olympia attended by about seventy undergraduate and graduate students who met with legislators to share their concerns. Students are excited about the Dream Act legislation moving forward. Mr. Kutz believes this legislation will be helpful to students.


ASUW’s student debt reduction working group visited the House Higher Education Committee to present its findings and tell legislators the students’ stories about the effect of tuition increases. ASUW leaders are conducting presentations to make students aware of the upcoming deadline to complete FAFSA forms for financial aid. The Husky Pride Fund, started by ASUW to support students, has reached endowment level, which will allow ASUW to accept applications for support. They plan to offer $1,500 scholarships to support students studying abroad in exploration seminars. GPSS President: Mr. Christopher Lizotte Mr. Lizotte said GPSS is also involved in the legislative session supporting the Dream Act, full funding of the state need grant, and in-state tuition for veterans. Reflecting on the presentation on faculty diversity, Mr. Lizotte said graduate students form the pipeline for hiring and retention of diverse faculty. GPSS is undertaking a series of focus groups to better understand the international graduate student experience at UW. The goal is to find out who they are, where they are concentrated, how GPSS can reach out to them, and what their needs are distinct from undergraduate international students. The GPSS Diversity Committee is sponsoring a series of programs, beginning with a forum on race. Mr. Lizotte expressed his commitment to helping graduate students from all degree programs achieve a “sense of the unity of purpose.” He described plans for a campus-wide graduate peer mentoring program, consisting of a corps of graduate students available to provide advice on graduate student life with the goal of providing a more communal experience. He thanked Ellen Taylor for her help with this project. ASUW Tacoma President: Mr. Peter Pentescu Mr. Pentescu expressed his sorrow at Chancellor Friedman’s passing. The Tacoma campus feels it is in good hands and feels supported, but misses the Chancellor’s vision. She strongly believed in UW Tacoma as an institution for social change and social justice. She built a culture of excellence by expecting students, and others, to stand up, be resilient in the face of failure, and achieve excellence. This was exemplified in the way she interacted with students. She had faith in students, believing in each student. She recognized leadership and community engagement are important learned skills and ensured opportunities for everyone at UWT to develop those skills. Mr. Pentescu said the UW Tacoma campus will miss her deeply. Her legacy will continue. ASUW Bothell President: Mr. Talwinder Singh


Mr. Singh told Regents that UW Bothell students plan to participate in an upcoming lobby day in Olympia. He reported the Martin Luther King Day of service was a huge success.

In January, UW Bothell opened a Student Success Center to provide timely, accurate, and cross-unit services to students. The Center currently houses undergraduate research, student diversity, engagement and leadership development, career services, and many other programs and resources in a central location. ASUW Bothell students met with Regents Rice, Riojas, and Scott. Mr. Singh thanked them for visiting campus. ASUW Bothell leaders received a report on food services on campus and are looking at identifying potential revenue streams. They reviewed new course fees and proposed housing rates. Alumni Association President: Mr. Mike Egan Mr. Egan recently traveled to Cuba with a UW alumni tour group. He highlighted the UW Alumni Tours travel program which conducts over forty trips per year, consisting of about one thousand travelers serving as ambassadors of the University in a people-to-people exchange. Mr. Egan introduced a new program to support parents and family. During Husky Parents 101 parents and families are invited to campus to learn more about the University. Mr. Egan invited Regents to the twenty-fifth Dawg Days in the Desert in March. Regent Ayer will be the featured speaker at the scholarship luncheon. President Young and Husky Football Coach Chris Petersen will speak at the “Chow Down to Washington” dinner. UW Impact is coordinating its District Dawg program, educating people and encouraging them to advocate an important agenda. There is a current focus on engaging lawmakers in eastern Washington with the goal of statewide support for the University. Mr. Egan thanked Regents for traveling to Olympia to participate in Regents and Trustees Day. UW Impact co-hosted a reception there, attended by twenty-five elected officials. Mr. Egan distributed lapel pins commemorating the celebration of the 125th birthday of the Alumni Association, a great year to be a Husky!

DATE FOR NEXT MEETING

The next regular meeting of the Board of Regents will be held on Thursday, March 13, 2014, at UW Tacoma.


EXECUTIVE SESSION

Regent Smith called for the Regents and others to meet in an executive session to review the performance of public employees.

ADJOURNMENT

The regular meeting was adjourned at 2:15 p.m.

______________________________ Joan Goldblatt Secretary of the Board of Regents

Approved at the meeting of the Board on March 13, 2014.

Remarks to the Regents, February 13, 2014 Jack Lee

As you well know, there’s been a lot of anxiety about faculty salaries over the past few years. Although the crisis has eased up a bit since the legislature started reinvesting in higher ed, the problems are actually still quite urgent. So we’ve been working for the past year and a half on trying to design a new faculty salary policy to address the problems.

There are actually two problems with faculty salaries: one, there’s not enough money; and two, our salary distribution system has real difficulty making effective use of the money we have to support excellence, competitiveness, and diversity. The first problem you’re very familiar with, and no change in salary policy can fix it. But the second is in some ways more vexing because it’s more subtle.

The basic distribution problem is that the salary funds that have been broadly available to continuing faculty members have just not been enough to keep pace with the rise in entry-level salaries. The consequence is that too often, long-serving senior faculty members make little more than new Assistant Professors, and therefore talented people are driven to seek outside offers just to have some chance of getting paid appropriately for their achievements and stature. Sometimes they accept those offers and go away. This undermines our ability to recruit and retain excellent faculty.

The good news is that right now we have an almost perfect confluence of factors that could allow us to fix these problems. We have a president and provost who are truly committed to working with the faculty to solve problems; we have an amazing, dedicated, and smart joint administration-faculty task force that’s been working on the problem for the last 18 months, and which I’ve had the honor to co-chair along with Bob Stacy, Dean of Arts & Sciences; and the fact that we’ve lived through a devastating recession that we’re just starting to recover from gives everyone a lot of motivation to put in the effort to fix this. (The only ingredient missing for a perfect confluence would be lots more money. Three out of four isn’t bad.)

The task force’s work isn’t done, and you’ll be hearing more about this in the coming months, but I just wanted to give you a little sense of what the proposal looks like from a faculty point of view. Most importantly, instead of trying to recognize excellence with very small differences in raises every year, we’re proposing a system of tier advancements that come with significant raises at less frequent intervals. These will be based on achievements, and will be essentially like promotions, in contrast to our current system in which faculty members get at most two promotions across the course of an entire career.

One important advantage of the proposed system is that it separates career salary progression, provided by tier advancements, from adapting to market inflation, which is provided by a system of market and peer-equity adjustments. This will allow the university to adapt to changing economic times.

Another advantage is that, when resources are tight, we can run the system with no additional cost. But when additional resources are available, it will enable to much more effectively reward excellence without having to rely nearly as much on retention raises.

We’ll be engaging in conversations about the proposal with faculty, chairs, deans, councils, and administrators over the next few months, and it will probably evolve as we get more feedback. But so far just about everyone we’ve talked to, from new assistant professors to senior faculty to deans to the provost and president, thinks the new system is sorely needed and will be a big improvement. And we’re convinced it will make the university much more effective at accomplishing its mission.

A–1

A–1/202-14 2/13/14

VII. STANDING COMMITTEES A. Academic and Student Affairs Committee Academic and Administrative Appointments

RECOMMENDED ACTION It is the recommendation of the administration and the Academic and Student Affairs Committee that the Board of Regents approve the appointments to the University faculty and administration as presented on the attached list.

Attachment Academic and Administrative Appointments

ADMINISTRATIVE APPOINTMENTS

ROTC Department of Aerospace Studies

Bigger, Brent D Chair, Aerospace Studies, effective 7/1/2014 Degrees:

• MA, 2008, Air University • MS, 1996, University of Oklahoma • BS, 1989, Oregon State University

College of Engineering Department of Chemical Engineering

Baneyx, Francois Chair, Chemical Engineering, effective 1/1/2014 Continuing Appointments:

• Professor, Chemical Engineering • Adjunct Professor, Bioengineering

Degree: • PhD, 1991, University of Texas (Austin)

School of Medicine Department of Anesthesiology and Pain Medicine

Crowder, Charles Michael Chair, Anesthesiology and Pain Medicine, effective 3/1/2014 Degrees:

• MD, 1989, Washington University • PhD, 1989, Washington University • BA, 1982, Hendrix College

Department of Bioethics and Humanities

Dudzinski, Denise Marie Acting Chair, Bioethics and Humanities, effective 2/1/2014 Continuing Appointments:

• Associate Professor, Bioethics and Humanities • Adjunct Associate Professor, Family Medicine • Adjunct Associate Professor, Pediatrics

Degrees: • PhD, 2001, Vanderbilt University • MS, 1993, Vanderbilt University • BA, 1991, Emory University

ATTACHMENTA–1.1/202-14 2/13/14

Page 1 of 9

University of Washington, Bothell Division of Engineering and Mathematics, School of STEM, UW Bothell

Berger, Arnold Stanley Acting Chair, Engineering and Mathematics, School of STEM, Bothell, effective 3/16/2013 Continuing Appointment:

• Associate Professor, School of Science, Technology, Engineering, and Mathematics, Bothell

Degrees: • PhD, 1971, Cornell University • BS, 1966, Cornell University

ENDOWED APPOINTMENTS College of Engineering Department of Electrical Engineering

Roy, Sumit Distinguished EE-COE Professorship in Integrated Systems, effective 9/16/2013 Continuing Appointment:

• Professor, Electrical Engineering Degrees:

• PhD, 1988, University of California (Santa Barbara) • MA, 1985, University of California (Santa Barbara) • MSEE, 1985, University of California (Santa Barbara) • BTech, 1983, Indian Institute of Technology (India)


Crowder, Charles Michael Allan J. Treuer Endowed Professorship in Anesthesiology, effective 3/1/2014 Degrees:


A–1.1/202-14 2/13/14

Page 2 of 9

Department of Pediatrics Zerr, Danielle Marie

Seattle Children's Hospital Guild Association Endowed Chair For Pediatric Infectious Disease Research, effective 1/1/2014 Continuing Appointment:

• Professor without Tenure, Pediatrics Degrees:

• MPH, 1997, University of Washington • MD, 1993, Temple University • BA, 1989, Brandeis University

Daniel J. Evans School of Public Affairs Daniel J. Evans School of Public Affairs

Anderson, Caroline Leigh Marc Lindenberg Endowed Professorship in Humanitarian Action, International Development and Global Citizenship, effective 9/16/2013 Continuing Appointment:

• Professor, Public Affairs Degrees:

• PhD, 1989, University of Washington • MA, 1987, University of Washington • BA, 1984, University of Calgary (Canada)

Gugerty, Mary Kay

Nancy Bell Evans Endowed Professorship in Non-Profit Management and Philanthropy, effective 9/16/2013 Continuing Appointments:

• Associate Professor, Public Affairs • Adjunct Associate Professor, Political Science

Degrees: • PhD, 2001, Harvard University • MPA, 1993, Harvard University • BA, 1985, Georgetown University

School of Public Health Department of Biostatistics

Carone, Marco Genentech Endowed Professorship in Biostastistics, effective 1/2/2014 Continuing Appointment:

• Assistant Professor, Biostatistics Degrees:

• PhD, 2010, Johns Hopkins University • BS, 2005, Mcgill University (Canada)

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NEW APPOINTMENTS

ROTC Department of Aerospace Studies

Bigger, Brent D Professor without Tenure, Aerospace Studies, effective 7/1/2014 Degrees:

• MA, 2008, Air University • MS, 1996, University of Oklahoma • BS, 1989, Oregon State University

College of Arts and Sciences Department of Germanics

Benthien, Claudia Visiting Professor, Germanics, effective 3/16/2014 Degrees:

• PhD, 1998, Humboldt University (Germany) • MA, 1994, University of Washington

Department of Speech and Hearing Sciences Dowden, Patricia Ann

Senior Lecturer, Full-time, Speech and Hearing Sciences, effective 1/1/2014 Prior UW Appointment:

• Clinical Assistant Professor, Speech and Hearing Sciences Degrees:

• PhD, 1992, University of Washington • MS, 1980, University of Washington • BA, 1974, School of Engineering and Applied Science (New York)

School of Music

Ragan, Kari Artist In Residence, Music, effective 12/16/2013 Prior UW Appointment:

• Lecturer Full-Time, Music Degrees:

• DMA, 2005, University of Washington • MM, 1991, Indiana University • BM, 1987, Indiana University

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College of Engineering Department of Bioengineering

Hendricks, Dianne Grayce Lecturer, Full-time, Bioengineering, effective 12/16/2013 Degrees:

• PhD, 2010, Duke University • BA, 1999, University of Texas (Austin) • BS, 1999, University of Texas (Austin)

College of the Environment Department of Earth and Space Sciences

Collins, Brian David Senior Lecturer, Full-time, Earth and Space Sciences, effective 1/15/2014 Degrees:

• PhD, 2009, University of Washington • MS, 1984, University of Washington • BS, 1980, University of Washington • BA, 1979, Oberlin College

Information School Information School

Williams, Helene Cherald Senior Lecturer, Full-time, Information School, effective 2/1/2014 Prior UW Appointment:

• Lecturer Part-Time, Information School Degrees:

• MLS, 1989, Indiana University • MA, 1987, Purdue University • BA, 1982, University of The Pacific


Crowder, Charles Michael Professor, Anesthesiology and Pain Medicine, effective 3/1/2014 Degrees:


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Department of Laboratory Medicine Murphy, Sean Christopher

Assistant Professor without Tenure, Laboratory Medicine, effective 1/2/2014 Prior UW Appointment:

• Acting Assistant Professor, temporary, Laboratory Medicine Degrees:

• MD, 2008, Northwestern University • PhD, 2006, Northwestern University • BS, 1999, Iowa State University

Department of Medicine Adamson, Rosemary

Assistant Professor without Tenure, Medicine, effective 2/1/2014 Prior UW Appointment:

• Fellow, Medicine Degrees:

• Bachelor of Medicine, Bachelor of Surgery (MB BS), 2004, St. Thomas' Hospital Medical School (UK)

• BA, 2001, Cambridge University (UK) Bridges, Tiffany Michelle

Assistant Professor without Tenure, Medicine, effective 2/1/2014 Degrees:

• MD, 2005, George Washington University • BA, 1997, University of Colorado (Boulder)

Cassaday, Ryan Assistant Professor without Tenure, Medicine, effective 1/2/2014 Prior UW Appointment:

• Senior Fellow, Medicine Degrees:

• MD, 2007, University of Wisconsin (Madison) • BS, 2000, University of Wisconsin (Madison)

Kanter, Jenny Eva Lotta Research Assistant Professor, Medicine, effective 1/2/2014 Prior UW Appointment:

• Senior Fellow, Medicine Degrees:

• PhD, 2010, University of Washington • MS, 2004, Linkoping University (Sweden)

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Department of Neurology Kim, Michelle Se-Kyung

Assistant Professor without Tenure, Neurology, effective 1/2/2014 Degrees:

• PhD, 2011, Fuller Graduate School of Psychology • MA, 2008, Fuller Theological Seminary • MA, 2006, Fuller Graduate School of Psychology • BS, 2002, University of Washington

Department of Pediatrics Jenny, Carole

Professor without Tenure, Pediatrics, effective 2/1/2014 Degrees:

• MBA, 1976, University of Pennsylvania • MD, 1972, University of Washington • BMS, 1970, Dartmouth Medical School • BA, 1968, University of Missouri

Department of Psychiatry and Behavioral Sciences Bowen, Sarah

Assistant Professor without Tenure, Psychiatry and Behavioral Sciences, effective 2/1/2014 Prior UW Appointment:

• Acting Assistant Professor, temporary, Psychiatry and Behavioral Sciences Degrees:

• PhD, 2008, University of Washington • BA, 2001, University of Washington

Parker, Myra Elizabeth Assistant Professor without Tenure, Psychiatry and Behavioral Sciences, effective 2/1/2014 Prior UW Appointment:


• PhD, 2010, University of Washington • MPH, 2002, University of Arizona • JD, 2001, University of Arizona • BA, 1996, Stanford University

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Smucker Barnwell, Sara Vanessa Assistant Professor without Tenure, Psychiatry and Behavioral Sciences, effective 2/1/2014 Prior UW Appointment:


• PhD, 2007, University of Southern California • MA, 2005, University of Southern California • MED, 2000, Harvard University • BA, 1999, Wellesley College

Stappenbeck, Cynthia Ann Assistant Professor without Tenure, Psychiatry and Behavioral Sciences, effective 2/1/2014 Prior UW Appointment:


• PhD, 2011, University of Texas (Austin) • MA, 2002, State University of New York (Buffalo) • BA, 2000, Niagara University

Department of Radiology Shriki, Jabi Elijah

Associate Professor without Tenure, Radiology, effective 1/2/2014 Degree:

• MD, 2000, University of Texas (San Antonio)

Department of Surgery Lavallee, Danielle Marie

Research Assistant Professor, Surgery, effective 2/1/2014 Degrees:

• PhD, 2007, University of Maryland • PharmD, 2003, University of Kansas

University of Washington, Bothell UW Bothell School of Business

Sinha, Praveen Visiting Professor, School of Business, Bothell, effective 12/16/2013 Degrees:

• PhD, 1992, Carnegie Mellon University • MPHIL, 1991, Carnegie Mellon University • MA, 1981, University of Lucknow (India) • BA, 1979, University of Lucknow (India)

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University of Washington, Tacoma Institute of Technology, Tacoma

De Cock, Martine Visiting Associate Professor, Institute of Technology, Tacoma, effective 1/1/2014 Degrees:

• PhD, 2002, University of Ghent (Belgium) • MS, 1998, University of Ghent (Belgium)

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VII. STANDING COMMITTEES

A. Academic and Student Affairs Committee Introduction of New Leadership: Robert G. and Jean A. Reid Dean of Nursing For information only. In March of 2012, Provost and Executive Vice President Ana Mari Cauce convened a search committee with the charge of identifying and recommending candidates for the position of Dean of the School of Nursing. The search committee, chaired by Chancellor Debra Friedman (UW-Tacoma) identified several finalists for campus visits. After those visits, Provost Cauce invited Dr. Azita Emami to join the University of Washington as the new Robert G. and Jean A. Reid Dean of Nursing. Dean Emami has been with UW since July 15, 2013. BIOGRAPHICAL SKETCH

Azita Emami, PhD, MSN, RNT, RN, FAAN is the Robert G. and Jean A. Reid Dean of Nursing and professor in bio behavioral nursing and health systems. Dean Emami is an internationally recognized scholar, a dynamic and forward-looking nursing educator and administrator, and a person with a deep commitment to nursing as a profession that will have a priority role in the future of healthcare nationally and globally.

Dr. Emami has conducted research and taught in countries around the world. Her research focus has been gerontology and the health of older adults, as well as transcultural nursing care. She has published more than 60 scientific articles in refereed international and national journals, three book chapters and two scientific reports. She serves on the editorial boards or as a reviewer at six peer-reviewed journals. She has participated in major international collaborations with institutions in the U.S., Great Britain, Australia and Iran, including creating and leading a joint doctoral program between institutions in Iran and Sweden. Dr. Emami holds a bachelor's degree in nursing from the Karolinska Institutet, a master's degree in international health care from Karolinska and the Red Cross College of Nursing, a nursing education degree with a teaching certification, and a doctorate in medical sciences, also from Karolinska. She is a fellow of the

VII. STANDING COMMITTEES A. Academic and Student Affairs Committee Introduction of New Leadership: Robert G. and Jean A. Reid Dean of Nursing (continued p. 2)

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American Academy of Nursing. Dr. Emami speaks Farsi, Swedish, and English and is working on French. Prior to joining the University of Washington School of Nursing in July 2013, Dr. Emami was dean and professor at Seattle University’s College of Nursing. She came to Seattle from Sweden, where for seven years she was an endowed professor in elder care research, and senior lecturer at the renowned Karolinska Institutet (KI) in Stockholm. She held several administrative and research leadership positions at KI, including Head of the Division of Nursing in the Department of Neurobiology, Care Sciences and Society; Chair of the Division’s research and research education program; and principal investigator for transcultural and gerontological care research.

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VII. STANDING COMMITTEES A. Academic and Student Affairs Committee Building an Inclusive Faculty at the University of Washington For information only. BACKGROUND Building an inclusive faculty at the UW aligns directly with our university-wide goal of continuously working to broaden and deepen our intellectual, analytical, and programmatic capacities to do first-rate research, teaching, and service. Our strategic efforts to reach this goal focus on five specific areas: 1) financial resources, 2) strategic consultation, 3) policy guidance, 4) training seminars, and 5) individual consulting with deans, department chairs, and faculty. The UW has developed a set of policies and practice among these are:

• Faculty Recruitment Initiative – supplemental contributions to salaries and research start-up packages of new hires funded by the Provost.

• Changes to the Faculty Code – the UW successfully added language that recognizes excellence attained in research, teaching, and service that focus on access and inclusion for appointment and promotion.

• Faculty Inclusion Briefings – piloted training sessions for department chairs and chairs of search committees to provide tools for strategies of outreach, assessment, recruitment, and retention; working towards implementation in 2014-15.

• Establishment of the Greater Washington State Higher Education Recruitment Consortium (GWS HERC) – a regional chapter of a national organization focused on increasing access to talented and diverse applicant pools and improving collaboration in cases of dual-career hiring; established at the UW in October 2013.

• Diversity Research Institute (DRI) – support to faculty offered through seed grant funding and participation in two lecture series hosted by DRI in an effort to promote faculty research projects.

s to successfully recruit, promote, and retain faculty. Included The data currently available come from the annual Affirmative Action Reports required by the Federal Government that are developed by the Vice Provost for Academic Personnel. The data (attachment A-5-8) show steady and sustained progress, although much hard work still needs to be done. In part, this is due to an overall decline in faculty hiring during the economic downturn. The UW has been very successful in working to position faculty to earn tenure. We have also been successful in working with deans and department chairs on key retentions.

VII. STANDING COMMITTEES A. Academic and Student Affairs Committee Building an Inclusive Faculty at the University of Washington (continued p. 2)

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We look forward to hearing your suggestions and ideas as to how we can further our goal of building a more inclusive faculty. Attachments 1. Faculty Biography: Julia Aguirre 2. Faculty Biography: Alexes Harris 3. Faculty Biography: Luis Fraga 4. Faculty Recruitment Initiative 2012-13, Office for Faculty Advancement 5. UW Faculty Senate General Legislation, approved May 17, 2012 6. Greater Washington State Higher Education Recruitment Consortium 7. UW Diversity Research Institute 8. UW system faculty data, 1997–2012

EDUCATION PROGRAM

1900 Commerce Street Tacoma, Washington 98402-3100 253.692.4430 Fax 253.692.5612 TDD 253.692.4413 http://www.tacoma.uw.edu/education-program

Campus mail: Box 358435

Dear Members of the UW board of regents: I have been asked to share my background with you as associate professor in Education at the University of Washington Tacoma. I came to UW Tacoma in 2007 and received tenure 2013. My field of study is mathematics education. My research focuses on teacher education and development, culturally responsive mathematics pedagogy, and the role race, class, culture, and language play in the teaching and learning of k-12 mathematics. My work has been supported by grants from the Spencer Foundation, Carnegie Foundation, and the National Science Foundation. My scholarship, teaching, and service seek to strengthen mathematics knowledge and practice among teachers, engage children’s mathematical thinking and cultural/linguistic resources to support mathematics learning of students, and transform educational structures and practices to better serve historically marginalized students in STEM-related fields (e.g. African American, Latino/a, American Indian, English learners, and poor children). Background I grew up in the Seattle area – a product of the Seattle public schools, graduate of Garfield high school in 1985 and a daughter of two parents that attended UW. My mother, Marlinda Pierce Aguirre, a Seattle native raised in Ballard met my father in 1962 while attending UW. She is a retired Seattle public school teacher. My Father, Ricardo Aguirre, played football for the UW and was a member of the national championship team of 1961. He was also an activist, artist, and local businessman in the Seattle community, participating in the fight for social justice and civil rights in the 1970s, including the struggle to open the ethnic studies department here on campus and was founding member of the Centro de La Raza. My sister is also a graduate of UW Seattle in ethnic studies. I grew up in an environment that valued family, faith, culture, education, and social justice. I currently live in the Renton, Washington with my two children (ages 11 and 9), and my husband. My educational experience is important to understand because of its impact on my journey as an academic. Starting in high school I was part of special programs designed to support and retain under-represented students of color in STEM fields. I was a MESA (Math Engineering Science Achievement) student at Garfield High School. As an undergraduate, I attended the University of California Berkeley, majoring in Psychology. I participated in a special program called the Professional Development Program (PDP) directed by Uri Treisman and Robert Fullilove. The thrusts of both MESA and PDP programs were academic excellence and cultural affirmation. These kinds of programs provided

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positive spaces for students of color to think, create, imagine and excel. More importantly, the spaces helped to protect us from the negative interactions and questions of competency often experienced by students of color in predominantly white institutions. Upon graduation from UC Berkeley in 1990, I began working with the PDP program, teaching afterschool math programs at local middle and high schools in Oakland, CA, as well as coordinating undergraduate math programs at the campus. This experience working with youth of color spurred my interest in mathematics education. In 1992, I was introduced to internationally renowned Professor Alan Schoenfeld and his research team in the School of Education at UC Berkeley. Professor Schoenfeld was engaged in a project exploring how high school students learn algebra, specifically linear functions and problem solving. It is through his mentorship along my work in PDP that inspired me to pursue a doctorate in mathematics education. After receiving a masters degree in education from the University of Chicago (1993), I pursued my doctoral studies with Alan Schoenfeld at UC Berkeley as my advisor. My dissertation examined the relationship between high school teachers’ beliefs and mathematics department culture on instructional-decision making and practice when implementing mathematics reform. I was awarded the prestigious Spencer Dissertation Fellowship (2000-2001). I completed my dissertation in 2002 while an acting assistant professor at the University of California Santa Cruz. I served as an assistant professor at UC Santa Cruz from 2003-2007. We moved back to the Seattle area to be near family. In 2007, University of Washington Tacoma became my new academic home. Scholarship My achievements at the University of Washington Tacoma reflect my strong commitment to prepare and support new generations of teachers to effectively teach mathematics to young people at the k-12 level. My research in the field of mathematics teacher education, specifically culturally responsive mathematics teaching, has garnered national and international attention. This includes a book and 14 published articles and book chapters. I have published in national and international journals in teacher education and mathematics teacher education. My research is collaborative with many first and co-author publications that make important theoretical, empirical and practical contributions to the field of mathematics teacher education. This includes recently first-authored articles in the Journal of Teacher Education (Aguirre et al, 2012) and Pedagogies: an International Journal (Aguirre & Zavala, 2013), as well as a first-authored book titled, The impact of identity in K-8 Mathematics: Rethinking equity-based practices, and published by the National Council of Teachers of Mathematics (Aguirre, Mayfield-Ingram & Martin, 2013). Furthermore, I have a proven track record in securing major grant funding for my research. I am currently Co-PI of TEACH MATH (Teachers Empowered to Advance Change in Mathematics), a multi-institution $3.5 million grant from the

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National Science Foundation of which UWT receives $403,0001. Additionally, starting in 2007 I became the PI for an additional $40,000 grant from a Carnegie Foundation that funded the Language, Culture, and Mathematics Teaching Project as a part of the Teachers for a New Era Grant awarded to UW. My research agenda at UWT has also greatly benefited from my involvement in the Center for the Mathematics Education of Latinos/as (CEMELA), a National Science Foundation Center for Learning and Teaching.2 I am excited to build on this scholarship and grant record as a newly tenured faculty at UWT. Teaching I view teaching as a scholarly activity. Thus critical analysis, reflection, and linkages among theory, research, and practice are important and intentional parts of course design. My teaching aims to prepare new teachers to excel in increasingly diverse school systems. In the teacher credential program, my primary teaching responsibilities are the elementary/middle school K-8 mathematics methods courses (TEDUC 560, 561) as well as the new secondary mathematics methods courses (TEDSM 517, 519). In the master’s program for practicing teachers, I have taught TEDUC 502 Learning about Learning, TEDUC 520 Multicultural Education, and developed and taught two new STEM focused courses: TEDUC 565 Research and Methods in Mathematics and Science Instruction for English Language Learners and TEDSM 505 Teaching and Learning Mathematics in the Middle Grades. In all of my courses I bring an explicit focus on student learning, reflective practice, community/family engagement, equity and social justice. My courses reflect our university values of excellence, community, and diversity and our program values of knowledge, service, professional excellence, diversity, and justice. In my math teacher preparation courses I support future k-12 mathematics teachers to deepen their knowledge about the content, prepare meaningful and culturally responsive math lessons that explicitly and simultaneously attend to math content, student learning, and issues of language, culture, class and power that impacts student engagement with and advancement in mathematics. This multi-dimensional emphasis on mathematics education and equity can be quite challenging for some future teachers who view math as a cut and dry subject filled with disconnected facts and procedures that must be memorized. I work with teachers to change the narrative about math to be a dynamic pattern-generating, problem-solving domain that is an integral part of our lives in and out of school. Moreover, given increased standards, quantitative literacy demands and the new demographic norms in our nation’s schools, a more multifaceted approach to teaching and learning mathematics is critical for an active democratic citizenry. Service 1 TEACH MATH involves five institutions: Michigan State University, Queens College – City University of New York, University of Arizona, University of Washington Tacoma, and Washington State University Tri-Cities. 2 CEMELA was a National Science Foundation Center for Learning and Teaching established in 2004. It was a collaboration among 4 institutions: University of Arizona, University of Illinois Chicago, University of New Mexico, and University of California Santa Cruz. While at UCSC, I was a co-PI on the 10 million dollar grant from 2004-2006. While at UW Tacoma, I was affiliated faculty active in research and mentoring doctoral students. http://math.arizona.edu/~cemela/english/research/research_overview.php

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http://math.arizona.edu/~cemela/english/research/research_overview.php

My record of service has strengthened partnerships between the campus and the community to enhance academic excellence and equity at the local, state and national levels. Over the past six years my department has seen extensive leadership and program changes. These changes demanded new and revised programming to meet the changing professional demands of the field. I have contributed to designing the secondary math teacher credential program as well as our dual-track K-8 elementary and English Language Learner endorsement program. I have served on the UW Tacoma’s diversity task force, academic policy committee and the distinguished research award committee. At the state level I have helped revamp the teacher credential endorsement requirements in light of new common core standards and at the national level through task force work with the Association of Mathematics Teacher Educators. I am an active member of many professional organizations including the American Educational Research Association (AERA) and the Society for the Advancement of Chicanos/Native Americans in Science (SACNAS). As a major thrust of my service work, I actively collaborate with local schools that service high poverty and cultural/linguistic diverse communities, to advance culturally responsive teaching. For example, through the annual Math Ambassador Project, I work with a local Tacoma middle school to bring 50-100 students to UW Tacoma for pre-college advising and to be guest presenters in my math methods courses. I frequently present my research to various teacher, parent and student audiences. These school/community partnerships are vital resources for my work in mathematics education. My journey toward tenure at the University of Washington Tacoma has been inspiring and challenging. I am fortunate to be a member of an organization called WIRED (Women Investigating Race Ethnicity and Difference). This group of UW women scholars of color across all three campuses has served to be an incredible support to help navigate the tenure process through scholarship activities such as writing retreats as well as mentoring activities to address the political, practical, and personal aspects of obtaining tenure at a major university. A second source of support at the UW has been the Office of Faculty Advancement directed by Associate Vice Provost Luis Fraga. He has provided mentoring support when questions arise about annual reviews, promotion and tenure policies and practices, and academic roadblocks. The Office of Faculty Advancement in combination with UW Tacoma’s Diversity Resource center headed by Sharon Parker, Assistant Chancellor for Equity & Diversity, has proved invaluable resources toward supporting my successful tenure journey. I am proud of my family’s UW legacy and I look forward to making additional contributions with my scholarship, teaching, and service work.

Julia Aguirre Associate Professor [email protected]

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Box 353340 211 Savery Hall Seattle, WA 98195-3340 206.543.5882 fax 206.543.2516 [email protected] soc.washington.edu

Dear Members of the Board of Regents, I have been asked by members of the University of Washington administration to describe my background to you as an associate professor of sociology in order to provide context for my presentation and discussion with you on February 13th, 2014. I am a Seattle native, a graduate of Garfield High school (class of 1993), and I was an undergraduate student at the University of Washington (class of 1997). While here as a student I majored in sociology, became a sociology honors and Early Identification Program (EIP) student, and received a Mellon Demography fellowship. After being inspired by several faculty on this campus (Bob Crutchfield, Al Black, Darlene Conley, Johnnella Butler), I decided I wanted to become a university professor. I applied to graduate school and subsequently enrolled in an MA/PhD program at the University of California, Los Angeles. There I studied the juvenile justice system, race and ethnicity, and social stratification and inequality (MA 1999, PhD 2002). I was fortunate enough to remain in contact with several of my mentors from the UW and was offered a two-year position as a post-doctorate fellow in the sociology department and then a position as an assistant professor (2004). I received tenure in 2011. My research and teaching foci are in the areas of social stratification and inequality. I am particularly interested in how institutions impact individuals’ life chances. I have studied, using both quantitative and qualitative data and methods, the juvenile and criminal justice system, economic markets, and educational systems. I have authored and co-authored ten peer-reviewed research articles in the top general and specialty journals related to my discipline’s professional associations. I have recently completed a manuscript that investigates the system of monetary sanctions imposed to felony convicts across the United States. My single-authored book, A Pound of Flesh: Monetary Sanctions as a Permanent Punishment for Poor People, will be released through the American Sociological Association’s (ASA) Rose Series and published by Russell-Sage (NYC) in the fall of 2014. I have designed and taught several courses over the past 12 years. These include social problems (soc 270), race and ethnicity in the United States (soc 362), juvenile justice (soc 375) and several special topics courses (subprime lending, criminal sentencing, and an upcoming course for the spring of 2014: race, higher education and sports). I also teach the qualitative research methods two-quarter sequence course and the teaching sociology course for the sociology graduate program.

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I participate in a wide variety of national, university and community service activities. I am an associate editor of the journal Social Problems, and on the editorial board for the ASA’s flagship journal, American Sociology Review. I am an active member of the ASA, participating on the Crime Law and Deviance Council and on the Cox-Johnson-Frazier award committee (the association’s career award for scholars who conduct and engage in issues related to race and ethnicity). I am a member of the Racial Democracy, Crime and Justice Network based at The Ohio State University. Here at the University of Washington I am an active member of an organization named WIRED (Women Investigating Race Ethnicity and Difference). As a founding member in 2007, we were organized by three women of color to form a group of about seven female tenure track scholars who realized that in order to be successful, happy and healthy we needed professional and social support as we navigated academia, the university and the tenure process. Today, we are an organization of 40 women of color (with the exception of one individual) all on tenure track across the three University campuses. We all in some way conduct research on race, ethnicity and difference. All of our members who have gone up for tenure have received it. We have supported each other through the tenure process by having professional development workshops (e.g., preparing for tenure review, transitioning from associate to full, mentoring workshops with visiting scholars). We have a mentoring program where a senior WIRED woman is matched with a new junior member. Every year we hold a writing retreat at the Whitely Center in Friday Harbor for members to develop their projects (grants, journal articles or book manuscripts). We also support each other in moments of tension that arise via teaching, negotiating department politics, or attempting a work/life balance. I am one of three WIRED members who is serving as an editor for a collaborative book that is comprised of theoretically rich and critically engaged chapters to describe and critique the interventions made by women of color on tenure-track at a large research university. In which, we highlight the ways WIRED has supported us through the tenure process and beyond. We are currently in conversation with the University of Washington Press about the possibility of publishing the book with them. Other service work that I have engaged in on the UW campus includes: being a member of the GOMAP (Graduate Opportunity Minority Achievement Program) advisory board, a member of the president’s Advisory Council on Intercollegiate Athletics (ACIA), and a member of the Faculty Council on Multicultural Affairs (FCMA). I was also a member of the most recent search committee for the Dean of Arts and Sciences, and am currently on the search committee for the chair of the department of communications. In the local community, I am a board member for the American Civil Liberties Union of Washington State. I am also a board member of the Garfield High

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School Foundation, an alumni driven organization with the aim of generating private funds to support students, teachers and staff at Garfield. I regularly present my research to audiences ranging from high school students, community organizations, to the Washington State legislature, Washington State Judges Association, and the Washington State Supreme Court. I have also written several research reports (for such organizations as the Washington State Minority and Justice Commission, the ACLU, and evaluations of local re-entry programs). As a result of my research, teaching and service I have been honored to receive several awards and recognition. Most recently I was honored to present the Samuel E. Kelly Distinguished Faculty Lecture, I received the Office of Minority Affairs and Diversity Distinguished Teaching Award, I was acknowledged as a UW College of Arts and Sciences’ Timeless Award honoree, and, was one of twelve scholars nationwide selected by Diverse magazine’s annual honor of academics under 40 years of age, all in 2012. In my “regular life” I am a mother of two small children, a wife and a daughter of two aging parents. I hope this brief outline gives you a sense of who I am, my educational and professional background, and my current activities on and off campus. I look forward to discussing my experiences further with you. Sincerely, Alexes Harris, PhD Associate Professor of Sociology [email protected]

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Luis Ricardo Fraga Associate Vice Provost for Faculty Advancement Russell F. Stark University Professor Director of the Diversity Research Institute Professor of Political Science He has the responsibility for developing strategies and policies with the Provost, Vice Provosts, Deans, and Department Chairs to recruit, promote, and retain faculty at the UW. He has been on the faculty at Stanford University, the University of Notre Dame, and the University of Oklahoma. He is a native of Corpus Christi, Texas. He received his A.B., cum laude, from Harvard University and his M.A. and Ph.D. from Rice University. His primary interests are in American politics where he specializes in the politics of race and ethnicity, Latino politics, immigration policy, education politics, voting rights policy, and urban politics. His most recent co-authored book is Latinos in the New Millennium: An Almanac of Opinion, Behavior, and Policy Preferences (Cambridge University Press 2012). He has two other recent books: the co-authored Latino Lives in America: Making It Home (Temple University Press 2010) and United States Government: Principles in Practice (Holt McDougal 2010), a high school textbook. He has also published the co-authored book Multiethnic Moments: The Politics of Urban Education Reform (Temple University Press 2006). He was a member of the APSA standing committee on Civic Engagement and Education that co-authored Democracy at Risk: How Political Choices Undermine Citizen Participation, and What We Can Do About It (Brookings Institution Press 2005). He is also co-editor of Ethnic and Racial Minorities in Advanced Industrial Democracies (Greenwood 1992). He has published extensively in scholarly journals and edited volumes including the American Political Science Review, the American Journal of Political Science, Perspectives on Politics, The Journal of Politics, Urban Affairs Quarterly, Western Political Quarterly, Dubois Review, Journal of Women, Politics & Policy, and the Harvard Journal of Hispanic Policy. He is also completing the co-authored manuscript Invisible No More: Latino Identities in American Politics as well as The Changing Urban Regime: Toward an Informed Public Interest, a history of the political incorporation of Tejanos in San Antonio city politics from 1836-2009. In 2011 President Barak Obama appointed him to the President’s Advisory Commission on Educational Excellence for Hispanics. The Commission develops action plans and priorities for President Obama and Secretary of Education Arne Duncan to improve the educational attainment of Hispanics. He is co-chair of the Higher Education Committee that organized a symposium in August 2012 entitled “Enriching America Through the 21st Century: Enhancing Latino Postsecondary Completion.” In 2011, Hispanic Business named him one of the top “100 Influentials” in the U.S. In 2013, Seattle Mayor Michael McGinn appointed him to the Immigrant Voting Rights Task Force. He is President of the Board of Directors of OneAmerica, an immigrant rights and advocacy organization based in Seattle, WA. In 2011 Archbishop Peter Sartain appointed him to the board of the Fulcrum Foundation that provides financial support to families and schools in the Archdiocese of Seattle. In 2008 he was appointed by Governor Christine Gregoire to serve on Washington’s New Americans Policy Council.

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He is a past Vice-President of the American Political Science Association (APSA). He was also co-chair of the Presidential Task Force on Political Science in the 21st Century of the APSA. He was Secretary of the APSA in 2006-07. He served on the Executive Council of the APSA in 1998-2000. He served as president of the Western Political Science Association in 1997-98. In 2003-04 he was a Fellow at the Radcliffe Institute for Advanced Study, Harvard University, and in 1989-90 he was a Fellow at the Center for Advanced Study in the Behavioral Sciences, Stanford University. Fraga is also one of six principal investigators on the Latino National Survey (LNS), the first-ever state-stratified survey of Latinos in the U.S. The LNS asks questions regarding political attitudes, beliefs, behavior, and policy preferences. This project received $1.5M in support from major foundations and universities. During his tenure at Stanford University, Luis received a number of teaching, advising, mentoring, and service awards including the Rhodes Prize for Excellence in Undergraduate Teaching (1993), the Dinkelspiel Award for Distinctive Contributions to Undergraduate Education (1995), the Allan V. Cox Medal for Faculty Excellence Fostering Undergraduate Research (1997), the Faculty Award from the Chicano/Latino Graduating Class (1993, 1996, 1997, 1999, 2000, 2001), the Undergraduate Faculty Advisor of the Year Award (2001), and the Associated Students of Stanford University Teaching Award (2003). The Luis R. Fraga Fellowship was established in 2007 in his honor through the Haas Center for Public Service at Stanford University. He was also given the Adaljiza Sosa-Riddell Award for Exemplary Mentoring of Graduate Latina/o Students by the Committee on the Status of Latinos in the Profession of the American Political Science Association (2001) and this same award for mentoring junior faculty (2004). In 2010 he received an award from the Graduate School of the University of Washington for exemplary advocacy and leadership on behalf of graduate education. He was recognized as one of the Champions of Catholic Education in 2012 for his work to establish the first Spanish-English, two-way immersion school in the Seattle Archdiocese, the Juan Diego Academy at Holy Rosary School in Tacoma, WA. In 2013 he was the first recipient of the Juan Diego Award.

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Faculty Recruitment Initiative 2012-13

Office for Faculty Advancement

The Provost has allocated $300,000 to the Office for Faculty Advancement for the 2012-2013 academic year to work collaboratively with Deans and Department Chairs to further build a diverse and inclusive faculty. This is done to further implement the goals of the university-wide Diversity Blueprint that has been presented to each Dean and can be found at http://www.washington.edu/diversity/blueprint/index.shtml. It is also consistent with recent changes to the Faculty Code the recognize excellence attained by faculty in research, teaching, and service that promotes diversity and inclusion. These changes to the Code are located at http://www.washington.edu/admin/rules/policies/FCG/FCCH24.html.

The monies are to be used to contribute to the recruitment of faculty whose research, teaching, mentoring, and/or service interests focus on expanding and enriching traditional disciplinary boundaries. In some disciplines the focus may be on historically underrepresented and/or underserved communities, while in others it may be on broadening methodological approaches to address questions of special relevance to understudied communities. It is important to note that the focus of diversity and inclusion is not on the demographic background of faculty candidates but on the intellectual focus of their work.

A total of $200,000 will be made available to enrich recruitment offers made to junior faculty. These monies are given for a specified number of years and can be used for purposes such as summer support or supplemental research funds. A total of $100,000 will be used in a similar way for senior searches. None of these funds are to be used for the retention of current faculty.

All requests for support from the Faculty Recruitment Initiative should be sent to Luis R. Fraga, Associate Vice Provost for Faculty Advancement at [email protected] or 206.685.4831.

Please submit a letter outlining the justification for the request, a copy of the candidate’s curriculum vitae, and any other relevant supporting documentation. If you have any questions, please do not hesitate to contact us at the email and phone number above.

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http://www.washington.edu/diversity/blueprint/index.shtml

http://www.washington.edu/admin/rules/policies/FCG/FCCH24.html


Class A Bulletin No. 125 May 17, 2012 ____________________________________________________________________________________________

GENERAL LEGISLATIVE ACTION

At its meeting on May 17, 2012, the Faculty Senate approved legislation that would make accomplishments related to enriching diversity in teaching, research and service considered, but not required, in faculty, appointments and promotions decisions. These changes, which would amend the Faculty Code, have been approved at every step of the legislative process. The Faculty Council on Multicultural Affairs has developed and approved this legislation. PLEASE VOTE BY June 7, 2012, 5 p.m. Rationale: Proposed changes make accomplishments related to enriching diversity in teaching, research and service considered, but not required, in faculty appointments and promotions decisions. [Faculty Code Chapter 24.32 and 24.54] For several decades, the University of Washington has committed itself to increasing the diversity of its students, faculty, and staff. On the University’s main website at www.washington.edu/diversity, it states, “At the University of Washington, diversity is integral to excellence. The University values and honors diverse experiences and perspectives, strives to create welcoming and respectful learning environments, and promotes access, opportunity, and justice for all. Valuing and honoring diversity. It’s the Washington way.” The proposed changes in the Faculty Code in Section 24-32, unanimously endorsed by the Faculty Council on Multicultural Affairs, are designed to allow that the work done by faculty in research, teaching, and service that enriches diversity at the UW be recognized in the processes of appointment and promotion. The Council recommended that language be added to the existing Faculty Code that will allow departments, review committees, chairs, deans, and the provost to consider this work in reviewing faculty. At least one set of peer institutions, the University of California system, has adopted language similar to that contained in this proposal. Nothing in this proposed language requires that any member of the faculty demonstrate accomplishments in this area to be appointed or promoted. However, it does formally allow a faculty member’s accomplishments in this area to be part of the file that is reviewed and evaluated at all appropriate levels of the University. As the University continues to build excellence for the 21st century, a continued focus on diversity integrates the changing demographics of the country with the expansion of intellectual boundaries in many disciplines. A faculty with more of its members committed to diversity in research, teaching, and service will make the University of Washington better positioned to meet its stated goals in the 21st century. In reviewing Chapter 24 of the Faculty Code, it was determined that Section 24-32, Scholarly and Professional Qualifications of Faculty Members, should be amended to include language that allows faculty work that promotes diversity and equal opportunity to be recognized in appointments and promotion. All proposed language appears in the attachment to this statement. The proposed amendment was unanimously approved by the Faculty Senate. Counter Argument to Proposals Discussion of the proposed changes included the opinions of some faculty that the existing language sufficiently allows consideration of accomplishments related to enriching diversity in teaching, research and service,and thus, specific additional statements are unnecessary.

University of Washington

FACULTY SENATE Box 351271

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http://www.washington.edu/diversity

Faculty Code, Chapter 24 Appointment and Promotion of Faculty Members Section 24–32 Scholarly and Professional Qualifications of Faculty Members The University faculty is committed to the full range of academic responsibilities: scholarship and research, teaching, and service. Individual faculty will, in the ordinary course of their development, determine the weight of these various commitments, and adjust them from time to time during their careers, in response to their individual, professional development and the changing needs of their profession, of their programs, departments, schools and colleges, and the University. Such versatility and flexibility are hallmarks of respected institutions of higher education because they are conducive to establishing and maintaining the excellence of a university and to fulfilling the educational and social role of the institution. In accord with the University’s expressed commitment to excellence and equity, contributions in scholarship and research, teaching, and service that address diversity and equal opportunity may be included among the professional and scholarly qualifications for appointment and promotion outlined below. A. Scholarship, the essence of effective teaching and research, is the obligation of all members of the faculty. The

scholarship of faculty members may be judged by the character of their advanced degrees and by their contribution to knowledge in the form of publication and instruction; it is reflected not only in their reputation among other scholars and professionals but in the performance of their students.

B. The creative function of a university requires faculty devoted to inquiry and research, whose attainment may be

in the realm of scholarly investigation, in constructive contributions in professional fields, or in the creative arts, such as musical composition, creative writing, or original design in engineering or architecture. While numbers (publications, grant dollars, students) provide some measure of such accomplishment, more important is the quality of the faculty member's published or other creative work. Important elements in evaluating the scholarly ability and attainments of faculty members include the range and variety of their intellectual interests; the receipt of grants, awards, and fellowships; the professional and/or public impact of their work; and their success in directing productive work by advanced students and in training graduate and professional students in scholarly methods. Other important elements of scholarly achievement include involvement in and contributions to interdisciplinary research and teaching; participation and leadership in professional associations and in the editing of professional journals; the judgment of professional colleagues; and membership on boards and committees. In all these, contributions that address diversity and equal opportunity may be included.

C. The scope of faculty teaching is broader than conventional classroom instruction; it comprises a variety of

teaching formats and media, including undergraduate and graduate instruction for matriculated students, and special training or educational outreach. The educational function of a university requires faculty who can teach effectively. Instruction must be judged according to its essential purposes and the conditions which they impose. Some elements in assessing effective teaching include the ability to organize and conduct a course of study appropriate to the level of instruction and the nature of the subject matter; the consistency with which the teacher brings to the students the latest research findings and professional debates within the discipline; the ability to stimulate intellectual inquiry so that students develop the skills to examine and evaluate ideas and arguments; the extent to which the teacher encourages discussion and debate which enables the students to articulate the ideas they are exploring; the degree to which teaching strategies that encourage the educational advancement of students from all backgrounds and life experiences are utilized; the availability of the teacher to the student beyond the classroom environment; and the regularity with which the teacher examines or reexamines the organization and readings for a course of study and explores new approaches to effective educational methods. A major activity related to teaching is the instructor's participation in academic advising and counseling, whether this takes the form of assisting students to select courses or discussing the students' long–range goals. The assessment of teaching effectiveness shall include student and faculty evaluation. Where possible, measures of student achievements in terms of their academic and professional careers, life skills, and citizenship should be considered.

D. Contributions to a profession through published discussion of methods or through public demonstration of an

achieved skill should be recognized as furthering the University's educational function. Included among these

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contributions are professional service activities that address the professional advancement of individuals from underrepresented groups from the faculty member’s field.

E. The University encourages faculty participation in public service. Such professional and scholarly service to

schools, business and industry, and local, state, national, and international organizations is an integral part of the University's mission. Of similar importance to the University is faculty participation in University committee work and other administrative tasks and clinical duties, including the faculty member’s involvement in the recruitment, retention, and mentoring of scholars and students in an effort to promote diversity and equal opportunity. Both types of service make an important contribution and should be included in the individual faculty profile.

F. Competence in professional service to the University and the public should be considered in judging a faculty

member's qualifications, but except in unusual circumstances skill in instruction and research should be deemed of greater importance.

Section 13–31, April 16, 1956; S–A 58, May 16, 1978; S–A 64, May 29, 1981; S–A 71, February 5, 1985; S–A 75, April 6, 1987; S–A 86, December 8, 1992; S–A 99, July 9, 1999: all with Presidential approval. Section 24–54 Procedure for Promotions Annually, all eligible members of the faculty shall be informed of the opportunity to be considered for promotion by their department chair (or chair's designee or the dean of an undepartmentalized school or college, or the dean's designee). At the request of the faculty member, or if the promotion decision is mandatory, a promotion review shall be conducted following the procedure below. A. The voting members of the appropriate department (or undepartmentalized college or school) who are superior

in academic rank or title to the person under consideration shall decide whether to recommend the promotion. Research faculty shall be considered by voting members of the appropriate department, or undepartmentalized college or school, who are superior in academic rank to the person under consideration. Faculty with instructional titles outlined in Section 24-34 Subsection B shall be considered by voting members of the appropriate department or undepartmentalized college or school who hold an eligible professorial appointment or an instructional title superior to that of the candidate being considered. In this decision they shall take into account the qualifications prescribed in Sections 24–32, 24–33, 24–34, and 24–35 for the various academic ranks and titles. Promotion shall be based upon the attainment of these qualifications and not upon length of service. In arriving at recommendations for promotion, faculty, chairs, and deans are directed to study shall consider the whole record of candidates' qualifications described in Section 24–32

Submitted by:

Faculty Council on Multicultural Affairs January 9, 2012

Approved by:

Senate Executive Committee January 9, 2012

Referred by:

Faculty Senate to Special Committee January 26, 2012

Approved by:

Faculty Senate March 1, 2012

Approved by:

Senate Executive Committee April 30, 2012

Approved by:

Faculty Senate May 17, 2012

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Greater Washington State Higher Education Recruitment Consortium

The Higher Education Research Consortium (HERC) was founded in 2000 to advance the efforts of member organizations to recruit the most talented faculty and staff, expand opportunities to promote diversity, and assist in the placement of dual career couples. Since its founding, over 600 higher education institutions, non-profit organizations, and research institutes have joined regional chapters of HERC across the country. The University of Washington Office for Faculty Advancement, with the Bill and Melinda Gates Foundation and the Fred Hutchinson Cancer Research Center, co-sponsored a HERC information session that was held at the UW campus in October 2012. The following year, with support from representatives of organizations in attendance at that meeting, the Office for Faculty Advancement moved forward in establishing the Greater Washington State HERC (GWS HERC) at the UW. Membership in the GWS HERC allows organizations to share their job openings with HERC job seekers nationwide, thereby increasing the chances of attracting a more diverse applicant pool. In addition, GWS HERC members are able to collaborate with each other in their efforts to assist in the placement of dual career couples. Conferences held for GWS HERC members will allow for all those in attendance to share and learn from each other on best practices surrounding particular issues of faculty and staff recruitment. The recent launch of the GWS HERC has produced a strong group of 13 founding members. As the GWS HERC’s membership grows to include an increased number of organizations from across the region, the opportunities to work together on these important issues will, undoubtedly, serve to benefit all those involved.

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http://www.hercjobs.org/home/index.cfm?site_id=793

http://www.washington.edu/diversity/faculty-advancement/

http://www.gwsherc.org/

UW Diversity Research Institute The UW Diversity Research Institute (DRI), developed in 2004 by the Office of Minority Affairs and Diversity, focuses on generating new, interdisciplinary knowledge about diversity, social justice, and institutional transformation. This is achieved through the promotion of faculty research and hosting or sponsoring diversity-related events and speakers. The DRI is managed by the Office for Faculty Advancement. UW faculty whose work contributes to diversity on campus are eligible to apply for seed grant funding from the DRI. As those funded projects develop, faculty may be asked to present on their research through the DRI Brown Bag Lecture Series, which serve to highlight diversity-related research projects conducted by UW faculty. Brown Bag lectures serve the additional function of exposing faculty research to other faculty who might serve as collaborators on future projects. The DRI also hosts the Senior Scholars Invited Lecture Series (SSILS), which brings to campus national speakers who are prominent in their diversity-related field of study. In addition to inviting established scholars to the UW, the SSILS also provides the opportunity for relevant departments/schools on campus to attend the talks and determine whether there might be an interest in recruiting a speaker to join their faculty. A variety of additional diversity-related events -- speaker presentations, conferences, and film screenings -- are hosted or co-hosted by the DRI on a quarterly basis.

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http://www.washington.edu/diversity/diversity-research-institute/

UW Seattle Tenured/Tenure-Track Faculty, 2012

White 78%

Black 2%

Asian 12%

Hispanic 4%

American Indian .01%

Two or More Races

1% Not Reported 3%

Source: Office of the Vice Provost for Academic Personnel, 2012 Affirmative Action Plan ATTACHMENT 8

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UW Bothell Tenured/Tenure-Track Faculty, 2012

White 64%

Black 7%

Asian 16%

Hispanic 4%

American Indian 1%

Two or More Races

2% Not Reported

6%

Source: Office of the Vice Provost for Academic Personnel, 2012 Affirmative Action Plan A–3.8/202-14, 2/13/14 Page 2 of 7

UW Tacoma Tenured/Tenure-Track Faculty, 2012

White 62%

Black 5%

Asian 13%

Hispanic 6%

American Indian

0%

Two or More Races

1% Not Reported

13%


Gender Distribution of New Faculty Hires University-wide, 2001-2012

2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012Total 167 156 148 198 220 249 249 285 214 233 206 243Male 106 94 86 129 122 155 147 162 118 137 116 137Female 61 62 62 69 98 94 102 123 96 96 90 106

0

50

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Ethnic Distribution of New Faculty Hires University-wide, 2000-2012

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012Total 184 167 156 148 198 220 249 249 285 214 233 206 243White 145 132 112 115 145 150 167 157 162 135 155 115 140Asian 33 26 31 26 39 33 46 51 60 46 35 29 38Black 2 3 5 2 7 7 4 6 10 8 4 8 1Hispanic 2 4 7 3 7 5 7 9 6 3 5 8 17American Indian 2 2 1 2 0 0 1 1 0 1 1 0 0Multi-Racial 5 8 5 0 2 3 3 7

0

50

100

150

200

250

300

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ulty


Change in Total Tenured and Tenure-Track Faculty University-wide, 1997-2012

0

200

400

600

800

1000

1200

1400

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

White Female

White Male

Black Female

Black Male

Asian Female

Asian Male

Hispanic Female

Hispanic Male

American Indian Female

American Indian Male

2+ Races Female

2+ Races Male


Profile of Tenured and Tenure-Track Faculty, University-wide, 1997-2012


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VII. STANDING COMMITTEES A. Academic and Student Affairs Committee Institute for Health Metrics and Evaluation Board New Appointments and Reappointments RECOMMENDED ACTION It is the recommendation of the University President and the Academic and Student Affairs Committee that the Board of Regents make the following new appointments and reappointments to the Institute for Health Metrics and Evaluation (IHME) Board: New Appointments Mr. John Stanton March 1, 2014 through June 30, 2016 Mr. Stephen Cucchiaro March 1, 2014 through June 30, 2016 Reappointments Dr. Lincoln Chen July 1, 2013 through June 30, 2016 Dr. Harvey Fineberg July 1, 2013 through June 30, 2016 BACKGROUND Article I, section 1.1 of the IHME Board Bylaws states “The Board shall consist of nine (9) members. The Board members shall be appointed by the Board of Regents from nominations submitted by the President. The Chair of the Board of Regents shall appoint the Chair of the Board. Four members shall be from key global health institutions but shall serve in their individual capacity, four members shall be eminent scientists or policy makers from around the world, and the Chair of the Board shall be a leading figure with a scientific background and substantial leadership experience with health policy programs. The term of office of each appointed Board member shall be three years. No appointed Board member may serve more than three successive three-year terms. However, the terms of Board members shall be staggered so that the final terms of no more than one-third (1/3) of the members will expire simultaneously on the last day of June in any one year. Whenever more than one third (1/3) of the members’ final terms expire simultaneously, lots will be drawn to determine which expiring term shall be extended for one more year to eliminate this condition.”

VII. STANDING COMMITTEES A. Academic and Student Affairs Committee Institute for Health Metrics and Evaluation Board New Appointments and Reappointments (continued p. 2)

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Dr. Lincoln Chen is President of the China Medical Board of Cambridge, MA. In 2001-2006, Dr. Chen founded and directed the Global Equity Initiative of Harvard University’s Asia Center. In an earlier decade, 1987-1996, Dr. Chen was the Taro Takemi Professor of International Health and Director of the university-wide Harvard Center for Population and Development Studies. In the five years 1997-2001, Dr. Chen served as Executive Vice-President of the Rockefeller Foundation, and in 1973-1987, he represented the Ford

Foundation in India and Bangladesh. From 2001-2007, Dr. Chen was Chair of the Board of Directors of CARE/USA. He currently serves as a Board member of the Social Science Research Council, the Secretary-General’s Global Advisory Board to the UN Fund for International Partnership, BRAC Foundation USA, the Public Health Foundation of India, the Carso Instituto de la Salud, and the Institute for Health Metrics and Evaluation. In 2004-2007, he was the Special Envoy of the WHO Director-General in Human Resources for Health, and in 2006, he was elected the first Board Chair of the Global Health Workforce Alliance. Dr. Chen is a member of the National Academy of Sciences’ Institute of Medicine, the American Academy of Arts and Sciences, the Council on Foreign Relations, and the World Academy of Arts and Sciences. He graduated from Princeton University (BA), Harvard Medical School (MD), and the Johns Hopkins School of Public Health (MPH).

Mr. Stephen Cucchiaro is the Chief Investment Officer of Windhaven Investment Management, Inc., a Boston-based global investment advisory firm managing over $18 billion in assets as of October, 2013 for individuals, trusts, retirement plans, foundations and endowments. Through his research, Mr. Cucchiaro has developed a proprietary model of key economic, fundamental and behavioral relationships driving the global capital markets. He earned a B.S. in Mathematics at M.I.T. and an M.B.A. in Finance at Wharton, where he began to apply the principles of nonlinear dynamic systems from

science and engineering to portfolio theory and investment management. In 2010 The Charles Schwab Corporation (Windhaven's parent company) purchased the assets and intellectual property of Windward Investment Management, a company founded by Mr. Cucchiaro. Prior to founding Windward, Mr. Cucchiaro held positions as a management consultant, senior economist and technology entrepreneur. He was president and co-founder of Datext which was sold to Lotus


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Development Corporation, and president of ICAD which he helped position for IPO and sale to Oracle Corporation. Mr. Cucchiaro has appeared on Bloomberg TV and Radio, CNBC and the Nightly Business Report and has been quoted in The Wall Street Journal, Barron's, The Financial Times, Forbes and Businessweek. During the late 1970s, Mr. Cucchiaro was a member of the U.S. Olympic Team in yacht racing and became national champion of his class in 1978 and Gold Medalist in the 1979 Pan American Olympic Games.

Dr. Harvey V. Fineberg is President of the Institute of Medicine. He served as Provost of Harvard University from 1997 to 2001, following thirteen years as Dean of the Harvard School of Public Health. Dr. Fineberg helped found and served as president of the Society for Medical Decision Making and also served as consultant to the World Health Organization. At the Institute of Medicine, he has chaired and served on a number of panels dealing with health policy issues, ranging from AIDS to new medical technology. He also served as a member of the Public Health Council of

Massachusetts (1976-1979), as chairman of the Health Care Technology Study Section of the National Center for Health Services Research (1982-1985), and as president of the Association of Schools of Public Health (1995-1996). Dr. Fineberg is co-author of the books Clinical Decision Analysis, Innovators in Physician Education, and The Epidemic that Never Was, an analysis of the controversial federal immunization program against swine flu in 1976. He has co-edited several books on such diverse topics as AIDS prevention, vaccine safety, and understanding risk in society. He has also authored numerous articles published in professional journals. Dr. Fineberg is the recipient of several honorary degrees and the Joseph W. Mountin Prize from the US Centers for Disease Control. He earned his bachelor’s and doctoral degrees from Harvard University.

Mr. John Stanton is Co-founder and Managing Director of Trilogy Partnership, a private equity firm for early stage wireless opportunities, headquartered in Bellevue, Washington. Until July, 2013, he was Chairman of Clearwire Corporation which was acquired by Sprint for $3.8B+. From 2001 to 2003, John served as Chairman and CEO of Deutsche Telecom, which later became T-Mobile USA. John is Co-founder of three top-10 wireless operators in the United States over the last 25


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years including VoiceStream Wireless (founded in 1995, he was Chairman and CEO from 1995-2001, sold to Deutsche Telecom in 2001 for $50.7B), Western Wireless Corporation (founded in 1989, he was Chairman and CEO from 1989-2005, acquired by Alltel in 2005 for $6.2B), and McCaw Communications (founded 1982, he was COO and Vice Chairman until 1989, sold in 1994 to form AT&T Wireless). John serves on the Board of Columbia Sportswear.

IHME BOARD APPOINTMENT DATES Name Appointment Date Action

Lincoln Chen 7/1/13 through 6/30/16 Reappointment Stephen Cucchiaro 3/1/14 through 6/30/16 New Appointment Harvey Fineberg 7/1/13 through 6/30/16 Reappointment Julio Frenk (Chair) 7/1/11 through 6/30/14 Jane Halton 7/1/11 through 6/30/14 David Roux 7/1/11 through 6/30/14 John Stanton 3/1/14 through 6/30/16 New Appointment Tomris Turmen 7/1/10 through 6/30/13 Vacant Position

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VII. STANDING COMMITTEES A. Academic and Student Affairs Committee Appointment to the UW Medicine Board RECOMMENDED ACTION It is the recommendation of the Chair of the Board of Regents and the Academic and Student Affairs Committee that the Board of Regents appoint Carolyn Parnell as a Valley Medical Center Board member of the UW Medicine Board for a three-year term from February 15, 2014 through June 30, 2016. BACKGROUND Article 1, Section 1.1 of the UW Medicine Board Bylaws states, “The Board shall consist of seventeen (17) members, including the President of the University and the CEO/EVPMA/Dean, who shall serve as ex officio members of the Board with full voice and vote. The Board members shall be appointed by the Board of Regents. The Chairperson of the Board of Regents shall appoint the Chairperson of the Board. At least one Board member shall be a member of the Board of Regents. One Board member shall be a member of the faculty of the University nominated by the President of the University. Pursuant to the Affiliation between the University, Health Resources Northwest, and NWH effective January 1, 2010, two NWH Trustees designated by the NWH Board (the “NWH Designated Board Members”) shall serve as members of the Board. Pursuant to the Strategic Alliance agreement with Public Hospital District No. 1 of King County, two (2) non-UW Medicine Designated Trustees from the VMC Board of Trustees shall serve as members of the Board. The remaining ten (10) Board members shall be nominated by the President of the University, following consultation with the CEO/EVPMA/Dean and the Board, from among people who have broad public perspectives and do not represent any special interest group.”

Carolyn Parnell has served on the Valley Medical Center Board of Commissioners since 1998 and as a Valley Medical Center Board member since 2011. She has served as a board member of Renton Area Youth and Family Services. She has over 30 years of management experience and her experience spans from making business decisions, evaluating concepts, public speaking, residing on other boards and committees, reviewing personnel performance, interviewing applicants and providing advice as needed. She has been a volunteer in

Renton and Seattle Public Schools for over 10 years and has been involved in the Renton Community for over 30 years. It is recommended that Ms. Parnell be appointed to the UW Medicine Board for a three-year term ending June 30, 2016.

VII. STANDING COMMITTEES A. Academic and Student Affairs Committee Appointment to the UW Medicine Board (continued p. 2)

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Under the Bylaws of the UW Medicine Board it states that “The term of office of each appointed Board member shall be three (3) years. No appointed Board member may serve more than three (3) successive three-year (3) terms unless the person is serving as Chairperson or Vice Chairperson of the Board.”

UW MEDICINE BOARD APPOINTMENT DATES Name Appointment Date Action

James Anderson 7/1/2013 through 6/30/2016 Kristianne Blake 5/9/2013 through 5/8/2016 Alan Frazier 7/1/2012 through 6/30/2015 Michael D. Garvey (Chair) 7/1/2012 through 6/30/2015 Allan C. Golston 11/1/2011 through 6/30/2014 Gerald Grinstein 7/1/2012 through 6/30/2015 Richard Jones (Vice Chair) 7/1/2012 through 6/30/2015 Gary Kohlwes 1/1/2012 through 6/30/2014 Kimberly McNally 12/1/2013 through 6/30/2016 Julie Nordstrom 11/1/2011 through 6/30/2014 Dennis Okamoto 7/1/2012 through 6/30/2015 Carolyn Parnell 2/15/2014 through 6/30/2016 New Appointment William Rex 7/1/2013 through 6/30/2016 Herman Sarkowsky 7/1/2013 through 6/30/2016 JoAnn Taricani 7/1/2011 through 6/30/2014 Paul G. Ramsey, M.D. CEO/EVPMA/Dean, ex officio Michael K. Young University President, ex officio

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B. Finance and Asset Management Committee Actions Taken Under Delegated Authority The Administration has approved and executed all instruments for the following projects or contracts that, at the time these actions occurred, were authorized for projects or contracts that exceeded $1,000,000 in value or cost but were less than $5,000,000 pursuant to the Standing Orders of the Board of Regents delegation of authority, and to the delegation of authority from the President of the University to the Senior Vice President in Administrative Order No. 1. REPORT OF ACTIONS TAKEN UNDER GENERAL DELEGATED AUTHORITY – CAPITAL PROJECT BUDGETS 1. Guthrie Research Facilities Repairs, Project No. 204638

Action Reported: Select Architect

On December 6, 2013, an architectural agreement was awarded to Perkins + Will, Inc. for the Guthrie Research Facilities Repairs project. In August 2013, the Capital Projects Office selected three firms from the Shared Procurement Portal. Interviews were conducted on September 18, 2013, with Hoshide Wanzer Williams (MWBE), McGranahan Architects, and Perkins + Will, Inc. Perkins + Will, Inc. was selected as the most qualified firm for this project. The agreement is for professional services in the amount of $63,258 (a portion of the total budget of $91,128 for design consultants). The balance of the design budget is intended for a hazardous materials consultant, preparing as-built conditions, and completing a building-wide mechanical analysis. This project will complete a renovation of research spaces and improve compliance with current standards for state-of-the-art animal research facilities. The priorities are: a Histology working area, additional low-flow fume hoods, a sterile surgery area located on the fourth floor, electrical upgrades, new casework, ceiling tile and new light fixtures in the laboratory areas, and new flooring in specific areas. A building mechanical and electrical systems review will also be completed. This project will study these components in hopes of preparing a more comprehensive building analysis for future potential renovations. The predesign study will be complete in February 2014. Design is anticipated for completion in September 2014. Construction is expected to begin in November 2014, with completion forecast for May 2015.


B. Finance and Asset Management Committee Actions Taken Under Delegated Authority (continued p. 2)

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The anticipated budget is $2 million from 2013-2015 College of Arts and Sciences funding. No donor funding is being used nor are any naming opportunities envisioned. Previous Actions Reported: None to date.

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VII. STANDING COMMITTEES B. Finance and Asset Management Committee UW Medicine Board Annual Compliance Report For information only. Attachment UW Medicine Annual Compliance Report to the UW Board of Regents

UW MEDICINE

UW MEDICINE BOARD

ANNUAL COMPLIANCE REPORT TO THE UW BOARD OF REGENTS

February 13, 2014

ATTACHMENT F–2.1/202-14 2/13/14

TABLE OF CONTENTS EXECUTIVE SUMMARY ................................................................................................................................... 1 I. INTRODUCTION .................................................................................................................................. 4

A. Purpose of the Annual Report ...................................................................................................... 4

B. UW Medicine Structure ................................................................................................................ 4

II. UW MEDICINE COMPLIANCE PROGRAM .................................................................................... 5

A. Program Components.................................................................................................................... 5

B. Roles and Responsibilities ............................................................................................................. 5

C. Program Structure .......................................................................................................................... 6

1. Organizational Changes in 2013 .......................................................................................... 7

2. Compliance Resources .......................................................................................................... 7

3. Channels of Communication ............................................................................................... 7

III. KEY COMPLIANCE AREAS ................................................................................................................. 9

A. Clinical Billing ............................................................................................................................... 9

B. Information Security and Privacy ................................................................................................ 12

C. Stark/Anti-Kickback .................................................................................................................... 14

D. Conflict of Interest....................................................................................................................... 15

IV. LOOKING FORWARD………………………………………………………………………………………………………16

Attachment A ............................................................................................................................. .....................17

UW Medicine Board Compliance Committee: Fiscal Year 2013 Roster

Attachment B................................................................................................................. ..................................18 UW Medicine Board Compliance Committee Charter

Attachment C ................................................................................................................. .................................22 UW Medicine Compliance Organization Chart

Attachment D ............................................................................................................................. .....................23 UW Medicine Compliance Issues Channels of Communication

Attachment E ................................................................................................................. ..................................25 UW Medicine Board Compliance Committee - Schedule 2013

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UW Medicine Board Annual Compliance Report: February 2014 Page 1

EXECUTIVE SUMMARY The eighth annual UW Medicine Board Compliance Report to the University of Washington (UW) Board of Regents covers the 2013 calendar year, describes UW Medicine’s compliance programs, identifies key responsibilities, and highlights the year’s primary compliance activities. UW Medicine is a large organization, consisting of eight owned or managed entities that operate in a highly regulated environment with a variety of compliance requirements and potential risks. UW Medicine’s compliance programs include the eight elements typically found in effective compliance programs (including standards of conduct, safe reporting mechanisms and activities such as education, monitoring and auditing). Clearly defined roles and responsibilities for workforce members, supervisors and managers, senior leaders and compliance staff provide the foundation for a culture of compliance. These expectations are conveyed in new employee orientations, mandatory and voluntary training, regular communications from compliance officers and senior leaders, “Integrity at Work” brochures and the Codes of Conduct for UW Physicians, Children’s University Medical Group, and Valley Medical Center. System-wide oversight is provided by UW Medicine’s chief compliance officer and UW associate vice president for medical affairs. Program functions are performed by compliance officers and staff throughout the organization. UW Medicine continues to refine its structure and channels of communication to manage internal and external developments. Modifications made in 2013 continue to align the vision, strategic planning and operating philosophy for all facility-related compliance efforts. The result is a scalable organizational configuration that facilitated the integration of Valley Medical Center. In fiscal year 2013, the annual compliance budget was $9 million with 65 FTEs dedicated specifically to compliance functions. These figures do not represent the full cost of time, effort and systems devoted to compliance activities throughout the organization. For example, considerable professional effort devoted to compliance by leadership and operational staff across UW Medicine is not reflected in the UW Medicine Compliance budget. UW Medicine’s formal communication channels support compliance efforts within each entity, enhance the sharing of information between entities and provide safe options for reporting compliance concerns or seeking assistance. Each compliance office has dedicated intake points for general questions, coding help and complaints. The central hotline in the office of the UW Medicine chief compliance officer and UW associate vice president for medical affairs enables anonymous reporting of concerns. Five compliance areas (clinical billing including ICD-10 coding, information security, privacy, Stark/Anti-Kickback and conflicts of interest) were the subject of comprehensive presentations to the UW Medicine Board Compliance Committee in 2013. These presentations included general information about the regulatory framework as well as UW Medicine-specific information regarding each compliance area. The largest compliance area for UW Medicine is clinical billing. The program’s rigorous internal audit activities provide the foundation for identifying and mitigating clinical billing risks; system-wide mandatory training educates clinical practitioners about billing rules. In 2013, the Medicare Recovery Audit Contractor (RAC) requested significantly fewer claims for review than in prior years. During this reporting period the RAC auditors reviewed 3,111 claims representing approximately $37 million in reimbursement; they alleged overpayments on 557 claims representing roughly $3.8 million.

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The majority of the denials were once again for inpatient care that the auditor believed could have been safely provided in the less intensive and less costly outpatient setting. In response to increasing industry concerns about denials of appropriate care, CMS revised its rules to clarify the criteria for inpatient admission. CMS also finalized rules to allow hospitals to rebill denied inpatient services as outpatient claims. The Office of Inspector General (OIG) conducted an audit of UW Medical Center inpatient claims and identified a small group of claims for bone marrow transfusion services that should have instead been billed as outpatient services. The misunderstanding of the Medicare rule that led to the problem has been corrected. The net repayment is expected to be roughly $1.7 million. UW Medicine initiated a professional fee billing education and audit program for Northwest Hospital physicians, and began planning to do the same at Valley Medical Center in 2014. Clinical research billing continues to be a nationally recognized focus area for academic health centers. This year UW Medicine revised the clinical research billing policies to clarify scope and process requirements, and conducted an extensive campaign to communicate the changes. Audit results this year showed an increased error rate of nine percent over prior years, attributed primarily to one medical specialty where training and process improvements are now focused. Information security has taken on added significance with the Sept. 23 change in the breach notification rules per the federal Omnibus Rule, a number of breach incidents, and a malware attack on a workstation in Patient Financial Services resulted in the notification of 90,000 individuals. In response, UW Medicine expanded its delivery of training and services to help the workforce protect confidential data, continued the awareness and educational campaigns which emphasize personal and professional responsibility for data security, and educated users to correctly store and encrypt data and reliably detect email-based attacks. UW Medicine Information Security engaged directly with workforce members across all eight entities to provide specialized information security expertise. UW Medicine’s compliance program includes mandatory orientation, job-specific education, auditing and monitoring, and internal processes to facilitate patient rights under the privacy and identity theft prevention laws. In 2013, the Office for Civil Rights opened several new cases, three of which arose from breaches that were self-reported by UW Medicine. The UW School of Medicine, UW Physicians, and UW Medicine Compliance jointly manage compliance with the Stark Law, which prohibits physician self-referrals, and the Anti-Kickback Statute, which prohibits any person from accepting remuneration for referring an individual for items or services covered by federal healthcare programs. UW Medicine reported no Stark violations in 2013, and continued to direct its efforts toward standardizing the physician contracting process. Situations that may create conflicts of interest (COI) arise in various contexts (including acceptance of gifts, outside professional work, research, authorship, relationships with vendors, and purchasing). Numerous regulations and policies govern COI, and compliance efforts involve several UW offices. In 2011, the National Institutes of Health (NIH) adopted substantive changes to the COI rules for research to lower the disclosure threshold and to increase the requirements related to institutional oversight.

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The UW, under leadership of the Office of Research with assistance from the UW School of Medicine, substantially revised its policy on research financial COI to comply with the new NIH requirements and implemented an online financial disclosure system. The current UW Medicine COI policy, which addresses non-research COIs, has been in place for three years. The policy's purpose and intent was reaffirmed during a recent evaluation, and a small number of targeted changes to help strengthen the policy were adopted effective July 1, 2013. Section III provides detailed information about major activities and issues occurring in 2013.

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I. INTRODUCTION

A. Purpose of the Annual Report Section 1.4.3 of the UW Medicine Board Bylaws requires an annual report to the UW Board of Regents regarding the effectiveness of UW Medicine compliance programs, which includes but is not limited to, the following topics: Key compliance policies and issues Status of the compliance program infrastructure and reporting relationships Scope of authority of key positions Current assessment of compliance risks Level of resources dedicated to the compliance programs

B. UW Medicine Structure

UW Medicine includes the following owned or managed entities: Harborview Medical Center (HMC)1 Northwest Hospital & Medical Center (NWH) Valley Medical Center (VMC) University of Washington Medical Center (UWMC)2 UW Neighborhood Clinics (UWNC) UW Physicians (UWP) UW School of Medicine (SoM) Airlift Northwest (ALNW)3

UW Medicine is also a corporate member of two non-profit corporations: Children’s University Medical Group (CUMG), a pediatric practice plan founded with Seattle Children’s (Children’s), and the Seattle Cancer Care Alliance (SCCA) founded with Children’s and the Fred Hutchinson Cancer Research Center (FHCRC). UW Medicine closely collaborates and partners with each entity’s compliance program. All physician clinical services at the SCCA are provided by UW SoM faculty physicians who are members of UWP or CUMG. SoM faculty physicians provide clinical service at Children’s primarily through CUMG. The SoM also has regular faculty physicians employed at the Puget Sound Veterans Administration Health System hospitals and the Boise VA Medical Center, which are part of the Veterans Administration, a federal agency.

1 HMC is owned by King County and governed by a board of trustees appointed by King County. Pursuant to a management contract between King County, the board of trustees and the UW Board of Regents, UW Medicine manages HMC and provides physician services through UWP. All personnel at HMC, including most faculty physicians, are employed by the UW. 2 The governance authority for hospital accreditation, operations, and quality of patient care at UWMC is vested in the UW Medicine Board. The UW Board of Regents retains authority for some financial matters and capital plant expansion at UWMC. 3 All personnel of ALNW are UW or Seattle Children’s employees.

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II. UW MEDICINE COMPLIANCE PROGRAM

A. Program Components All UW Medicine compliance programs include these core components:

B. Roles and Responsibilities

A culture of compliance relies on clearly defined roles and accountabilities. UW Medicine expects all faculty, staff, students, trainees and volunteers to meet the professional, ethical and regulatory standards associated with their individual roles. Specifically, they are expected to understand and adhere to compliance policies and procedures, participate in required training, fulfill recordkeeping requirements, report compliance concerns, seek clarification when questions arise and respond in a timely manner to requests for information associated with audits or investigations. These expectations are conveyed in new employee orientations, mandatory and voluntary training, regular communications from compliance officers and senior leaders, “Integrity at Work” brochures and the codes of conduct for UWP and CUMG. UW Medicine is seen as a national leader among its peers for its policies on professional conduct and conflicts of interest.

Staff in management or supervisory positions have additional responsibilities, including communicating compliance expectations, ensuring that personnel complete training, implementing and enforcing policies, monitoring compliance and providing personal support of compliance initiatives.

Compliance officers and staff in compliance support roles lead the development of effective internal controls, respond to compliance inquiries, investigate allegations of noncompliance, monitor compliance, conduct audits and participate in the development and delivery of compliance training.

The UW Medicine chief compliance officer and UW associate vice president for medical affairs provides system-wide oversight and coordination, is a member of UW Medicine’s

Ongoing Assessment of Regulatory Environment, Best Practices and Program Effectiveness

Timely Investigation of Reported Concerns and Appropriate Response to Noncompliance

Hotlines, Reporting Mechanisms

Monitoring and Auditing

Education & Outreach

Policies, Procedures, Standards of Conduct

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senior leadership team and the UW Medicine Executive Compliance Committee (ECC), serves as an ex-officio member of all entity-specific compliance committees, and staffs the UW Medicine Board Compliance Committee.

The UW Medicine Board Compliance Committee (UW Medicine Board CC) is advisory to the UW Medicine Board with regard to the following: strategic planning, program development, organizational structure and resource allocation associated with UW Medicine compliance efforts; the role of UW Medicine compliance programs; advocacy and support for compliance efforts; risk assessment; and analysis of urgent, emergent and on-going compliance issues. The current roster of UW Medicine Board CC members and the charter for this committee are provided in Attachments A and B.

The UW Medicine Executive Compliance Committee includes the senior leadership from each UW Medicine entity, as well as representatives from key stakeholder groups (for example: risk management, health information management and patient financial services). This group receives detailed compliance reports, approves UW Medicine system-wide compliance policies and ensures that there are adequate resources and operational involvement directed to compliance initiatives.

Paul G. Ramsey, M.D., CEO, UW Medicine, executive vice president for medical affairs, and dean of the School of Medicine, University of Washington, has delegated additional specific responsibilities for key senior leadership positions. These responsibilities are reflected in the written job description for each position.

C. Program Structure

Since 2005, coordination of system-wide activities and initiatives has been provided by the chief compliance officer and associate vice president for medical affairs. The UW Medicine compliance enterprise (see Attachment C) includes UW Medicine Compliance (responsible for all facility-related compliance, including VMC as of July 1, 2013), SoM Compliance (responsible for compliance issues involving SoM faculty, trainees and staff), and UWP and CUMG compliance programs (responsible for professional fee billing compliance in the practice plans).

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1. Organizational Changes in 2013

UW Medicine Compliance continued to refine its structure and reporting relationships in response to various internal and external factors, including staffing changes, shifting workloads, increased regulatory activity, and new strategic alliances. In 2013, privacy and identity theft prevention compliance was centralized under the UW Medicine compliance officer, who reports directly to the chief compliance officer and associate vice president for medical affairs. This change aligns the mission, vision, strategic planning, operating philosophy, policy structure and education/outreach programs for the majority of facility-related compliance efforts. It maximizes utilization of internal expertise, centralizes accountability and provides for a more vertical, scalable structure that will facilitate the integration of new entities. UW Medicine Compliance assumed full responsibility for oversight of NWH compliance functions in 2013. Former NWH compliance staff are now UW employees, and compliance education provided to NWH workforce members is the same as that provided at UWMC and HMC. At VMC, integration efforts in 2013 focused on privacy and identity theft prevention, incorporating external review data into UW Medicine reports, and bringing VMC compliance staff on-board as UW employees.

2. Compliance Resources

UW Medicine devotes significant resources to both organization-wide and entity-specific compliance efforts. In fiscal year 2013, the annual budget was $9 million and there were 65 FTEs dedicated specifically to compliance functions. This remains consistent with 2012 figures. These figures do not represent the full cost of time, effort and systems devoted to compliance-related activities throughout the organization. For example, this budget does not include considerable time and effort spent by a large number of faculty and staff who serve in administrative positions and have operational responsibilities that are critical for success of the compliance programs.

3. Channels of Communication

UW Medicine has established numerous formal communication channels (see Attachment D) to support compliance efforts within each entity and enhance the sharing of information between entities. These groups provide a venue for compliance officers and senior leaders to identify risks and mitigation strategies, respond proactively to emerging issues, report on the status of projects and initiatives and strategize about program priorities. Workforce members must also have safe communication and reporting channels. In 2013, the central hotline maintained by the chief compliance officer and associate vice president for medical affairs, which provides for anonymous reporting of compliance concerns, was the focus of a comprehensive outreach campaign to the

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hospitals and clinics, ALNW, UWP and the SoM. In addition, UWP and CUMG both maintain a helpline to answer compliance questions. The majority of inquiries, requests for consultation and complaints are conveyed directly to compliance staff across the UW Medicine enterprise.

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III. KEY COMPLIANCE AREAS The key compliance focus areas identified for 2013 included the following:

Clinical billing (covering facility and professional fee billing for all clinical services, including clinical research)

Information security Privacy/identity theft prevention Stark/Anti-Kickback Conflicts of interest

Although these were not the only risk areas for UW Medicine, they were the focus of significant attention throughout the system and within the communication venues described in Section IIC3 above. At each meeting of the UW Medicine Board Compliance Committee in 2013 (see Attachment E), a content expert led an interactive session on a specific focus area. Presentations focused on key concepts, primary risks, mitigation strategies, and emerging issues; these are contained in the official committee records. The following sections highlight major activities and developments that occurred in 2013.

A. Clinical Billing

External Reviews. The Medicare Recovery Audit Contractor (RAC) program is still the largest of multiple federal and state billing audit programs impacting UW Medicine. Although the volume of claims reviewed in 2013 decreased over prior years, the RAC continued to audit claims from each UW Medicine billing entity, including HMC, NWH, UWMC and UWP. In 2013, 3,111 claims representing $37,026,406 million in reimbursement were reviewed, compared to 4,279 claims representing $49,675,915 in 2012. To date, RAC auditors have alleged overpayments for 557 of the claims reviewed in 2013, representing just over $3.8 million dollars. As in 2012, most overpayments – at UW Medicine and nationally – were the result of denials of inpatient claims where the auditor concluded that the care could have been safely provided in the less intensive and less costly outpatient setting. In response to increasing concerns from the hospital industry about denials of appropriate care, late in 2013 CMS revised its rules to clarify the criteria for inpatient admission. UW Medicine educated physicians and affected staff members and implemented process changes to comply with the new rules, although it is too early to know if the clarifications will reduce external audit denials. Early in 2013, also in response to industry pressure, CMS ended its demonstration project and issued new rules allowing all hospitals to rebill services as an outpatient claim when a one-to-two day inpatient stay is denied for medical necessity. Prior to the new rule, a denial usually resulted in the loss of all or most of the inpatient payment. Under the demonstration project, NWH averaged a 43 percent payment recapture rate. To date, HMC and UWMC

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have experienced a much lower average recapture rate of 13 percent because unlike NWH, most of the denied/rebilled cases at HMC and UWMC do not include surgical procedures. In April 2013, the Office of Inspector General (OIG) announced an audit of 151 UWMC Medicare inpatient claims for coding and medical necessity. Through an interactive process lasting four months, the OIG and UW Medicine concurrently reviewed the claims and came to agreement on the results. The primary finding was the denial of 22 inpatient claims for a bone marrow procedure that is normally provided in the outpatient setting. A misunderstanding of the Medicare coverage requirements led to the inpatient admissions. After the claims are rebilled as outpatient, the net repayment will be roughly $1.7 million. The Washington state Medicaid RAC program has still not expanded beyond critical access hospital claims, and none of the UW Medicine hospitals received any requests in 2013. The Washington State Department of Social and Health Services (DSHS) initiated other types of audits at all four hospitals, but there are no results yet for the 2013 audits or for several audits still open from 2012. Although the number of claims per audit is low, all UW Medicine hospitals are experiencing numerous audits of inpatient claims from multiple Managed Medicare and Managed Medicaid insurance payors. During 2013, the software used to track external reviews was populated with the Managed Medicare/Medicaid claims, to allow use of the software for these audits in addition to RAC audits. In addition to tracking results, the software facilitates management reporting and robust assessment of risk areas to inform mitigation activities. Planning is underway to also integrate VMC external review activity into the centralized processes. All external review activities are reported in detail to the UW Medicine Executive Compliance Committee; reports are maintained in the official committee files. Facility Billing. Audits conducted as part of the annual facility billing audit plan identified areas for focused education and training, but did not result in any significant repayments. Follow-up audits are conducted after education, to confirm the effectiveness of remediation activities. Discussions are in progress to assess the education and audit priorities for VMC facility billing, which will be incorporated into the 2014 billing audit plan. In 2013, CMS proposed changes to the way hospitals code their charges for clinic visits. If finalized, the new rules will become effective sometime in 2014, and would greatly simplify the coding process and reduce errors. Currently, using general guidelines provided by Medicare, hospitals are expected to develop and consistently apply their own model for selecting the visit level based on consumption of hospital resources, which tends to be a cumbersome process. As a result, hospital clinic visit coding has been a constant focus of internal audits and education.

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Professional Fee Billing. In the fall of 2013, UW Medicine Compliance implemented an education and audit plan for professional fee billing compliance at NWH. The plan features baseline education followed by pre-billing reviews of documentation and coding, with feedback as an extension of the training. UW Medicine Compliance assumed responsibility for professional fee billing compliance at VMC in mid-2013, and is assessing education and audit priorities. Since 2009, UWP and CUMG have operated separate but closely coordinated compliance programs covering professional fee billing for practice plan members. Policies and standards are aligned where appropriate, but they are designed to address the unique risks of the respective clinical practices and complement specific medical staff processes, facility systems and controls. Both practice plans engage in rigorous auditing, on-going risk assessment, mandatory training and investigations of reported or observed billing issues. Efforts in 2013 included the following:

CUMG completed reviews and updated 10 policies, including a significant revision of the policy on teaching physician documentation to ensure a better understanding of the rules that govern teaching physicians.

CUMG trained all 450 member practitioners and provided training and review to 58 new CUMG members.

CUMG completed 100 percent of their scheduled reviews (490 practitioner audits) and responded to 12 internal inquiries with investigations and risk assessments.

Between Jan. 1, 2013, and Dec. 31, 2013, UWP conducted individual reviews affecting 276 providers. These included reviews of 158 new providers, second reviews on 29 providers, and individual reviews of a targeted billing risk on another 89 providers. UWP also conducted seven risk-based scheduled reviews and 13 scheduled risk assessments affecting 430 providers.

As of Dec. 31, 2013, 98.3 percent of all identified UWP providers completed specialty and fraud, waste and abuse compliance training. One-hundred percent compliance was not achieved because of technical challenges with the Learning Management System and insufficient communication by the UWP education team to departments. The UWP Board granted a one month extension (end of January) to complete the training. Only one non-healthcare professional did not complete the required compliance training by the end of 2013. This will be completed in January.

Clinical Research Billing. UW Medicine continued its focus on maintaining efficient and effective compliance and operational programs for clinical research billing. This year the Clinical Research Billing oversight committee implemented policy revisions to clarify the scope of the policies and the internal process requirements that support compliant billing. An extensive communication campaign targeted at researchers at UW Medicine, FHCRC, and the SCCA facilitated the policy implementation.

In 2013, the Clinical Research Billing Audit Program that was established in 2007 completed 30 audits. The results yielded an increased error rate of nine percent over prior years, primarily as a result of audits of studies in the Medical Oncology division. SCCA

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recently launched a major initiative to retool their research billing processes, which is expected to address the types of errors identified in the audits.

B. Information Security and Privacy

The UW Medicine chief health system officer and vice president for medical affairs serves as the UW privacy official. The UW Medicine Information Security Program (ISP) operates under the direction of the UW Medicine chief information officer, who reports to the chief health systems officer and vice president of medical affairs. Privacy protection and identity theft prevention are part of the system-wide compliance program under direction of the chief compliance officer and associate vice president for medical affairs, who serves as chief privacy officer for UW Medicine and has a dotted line relationship to the UW privacy official for privacy and identity theft prevention. The ISP and UW Medicine Compliance are responsible for developing and maintaining their respective policies, providing related education and outreach, monitoring and auditing compliance and reporting regularly to appropriate leadership groups. UW Medicine Compliance investigates all privacy, identity theft and information security complaints.

Information Security. The ISP continues to proactively manage information security risks in partnership with executive leaders and compliance teams. In 2013, the ISP expanded its outreach to all eight entities with delivery of awareness campaigns, training, and services. Awareness campaigns: Orientation for new employees, residents and fellows Data stewardship Training: Phishing prevention training Security 101 presentations Guidance on device encryption, securing email, legal agreements, accounts and

passwords, cloud computing, and system security In-person Q&A sessions Standards on system security, security reviews, and encryption Core competencies Services: Exposure Management: 500,000 connections blocked/day through reputation filtering,

18 million connections blocked/day through firewall management Vulnerability Management: 16,000 devices, capable of scanning devices at all entities Incident Response (YTD): 453 compromised UW Net IDs, 63 other incidents Digital Forensics (YTD): seven cases for HR Event Management: 60,000,000 messages/day Customer Engagements (YTD):177

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The ISP conducted Enterprise Risk Assessments for the 72 Core Systems of UW Medicine and Northwest Hospital, both in support of meaningful use. Phishing and email-based attacks remain the greatest threat to individual accounts and workstations. Almost all email-based attacks require some level of user-interaction to be successful. Often this comes in the form of the user clicking a link or opening a file. More than 400 employee passwords have been compromised in 2013 and malware held UW Medicine data for payment on three occasions. In October 2013, an email-based attack resulted in the compromise and notification of 90,000 UW Medicine patients, and required notification to the Office for Civil Rights (OCR). UW Medicine is providing education and implementing technical controls to reduce the risk of a similar incident. In May 2013, the ISP team launched a phishing education program that used realistic email-based attacks targeting the UW Medicine workforce. Users that clicked were directed to a page explaining how they could detect attacks in the future. Initial tests resulted in click rates as high as 27 percent. The program is being expanded to new employees and departments that have historically been vulnerable to email-based attacks. The UW Medicine network is largely open to the public internet and each system must manage its own exposure. Larger systems are hosted in data centers with large-scale firewalls protecting them. Smaller systems and unmanaged devices may be left exposed. In April 2013, the ISP implemented reputation-based blocking at the UW Medicine network border. Traffic to or from internet addresses known to be malicious is blocked at the rate of 500,000 connections per day. A further 18 million connections per day are blocked by over 500 host-based firewalls supported through the ISP management platforms. The Security Program Executive Committee (SPEC) approved a standard process for conducting System Security Reviews in February 2013. The review identifies compliance, business process, and technical security gaps by combining the system staff's knowledge with the security team's assessment expertise. Twenty-five security reviews have been initiated and five completed. Standards and guidance are published on the ISP website covering secure email, cloud computing, legal agreements, and general system security. Additional information on these topics and emerging topics is routinely published and available to all of UW Medicine.

Privacy/Identity Theft Prevention. Mature policies, mandatory education, auditing, timely responses to complaints and robust processes for meeting patient rights requests form a strong framework for the protection of patient privacy at UW Medicine. Patient Identification and Clarification Committees are charged with managing cases involving potential identity theft. Early in 2013, the federal government published the Omnibus Final Rule with an enforcement date of Sept. 23, 2013. The revised Health Insurance Portability and Accountability Act (HIPAA) rules impacted UW Medicine internal practices and generated

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many policy revisions; all were completed in advance of the deadline and accompanied by education and outreach about the practical implications of the policy changes. Under the new rules, Business Associates are subject to the same requirements as Covered Entities, and all existing Business Associate Agreements must be updated to reflect this change. The Final Rule provided an additional year (to September 2014) for completion of this work, which is already in process at UW Medicine. Inappropriate but accidental disclosures of protected health information (PHI) still comprise the majority of the incidents investigated. Operational improvements and educational outreach, with a focus on data stewardship messaging, are the primary tools used to reduce these occurrences. There were also several incidents of workforce members sharing what they believed to be de-identified PHI in a public forum (such as Facebook postings), though in each case just enough descriptive information was provided to potentially allow family, friends and caregivers to identify the patient. One major incident involved malware that gained access via email to a workforce member’s computer which stored many files that collectively included the PHI of over 90,000 patients. Mitigation activities are underway to reduce the risk of future events of this nature. A total of nine events resulted in privacy breaches that required notification of 90,395 patients. One patient complaint was received in 2013 from the OCR. In contrast to previous experiences, the OCR chose to resolve this complaint informally by providing technical guidance materials, requesting that UW Medicine review and share the materials with workforce, and suggesting that it conduct its own assessment of the specific incident. The OCR closed the case without further action. The OCR opened two cases to acquire more information about five of the incidents UW Medicine reported in the 2012 annual breach report, and one case as a result of the malware incident noted above. The OCR closed an existing case from 2012 without any fines, penalties or other corrective actions. In addition to the new cases about the annual breach report and the malware incident, one case from 2011 remains open; there has been no further contact from the OCR on this case since that time. Clinical area audits are conducted to evaluate operational practices against privacy and information security rules/regulations. In 2013, audits highlighted the primary opportunities for improvement through education and awareness. Clinical areas have responded well to these audits, and have shown improvement in follow-up audits. Audits of electronic access to patient medical records are also routinely performed. Following the addition of VMC to the UW Medicine covered entity designation last year, UW Medicine Compliance has identified operational changes necessary for VMC to conform to UW Medicine policies and has developed a detailed work-plan to accomplish these changes.

C. Stark/Anti-Kickback

The Stark Law prohibits physicians from referring Medicare/Medicaid patients for designated health services to an entity with which the physician (or immediate family

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member) has a financial relationship, unless a regulatory exception applies. There were no significant changes to Stark in the past year. UW Medicine did not detect or report any Stark violations in 2013. Compliance with Stark is managed jointly by the SoM, UWP and UW Medicine Compliance. In the past year, efforts have continued to focus on maintaining a standardized physician contracting process. Planned activities for the coming year include: Continue work project to standardize documentation for faculty physicians engaged in

teaching and other activities throughout the Washington, Wyoming, Alaska, Montana, and Idaho (WWAMI) region to clearly identify all services provided and compensation or benefits received.

Continue to review any remuneration the UW provides to non-faculty, community physicians for compliance with Stark.

The Anti-Kickback Statute (AKS) prohibits the knowing and willful payment or acceptance of remuneration for referring an individual for items or services covered by a federal healthcare program, or for purchasing (or recommending for purchase) an item or service that is reimbursable under federal healthcare programs. Unlike Stark, the AKS applies not only to physicians but also to non-physicians and entities. There were no significant changes to the AKS in the past year. During 2013, educational efforts focused on the UW procurement and purchasing offices and SoM clinical departments. Also, a Vendor Gifts Work Group was created to develop and refine guidance regarding vendor support of educational, research and other activities. Planned risk mitigation activities for the coming year include: Continue to review and develop policies and procedures on disclosure of conflicts in

connection with drug and device purchases Continue to develop and refine guidance regarding vendor support of educational and

research activities Continue to develop and refine guidance regarding purchase contracts with vendors

D. Conflict of Interest

Conflicts of interest are governed by a significant number of regulations and policies, including but not limited to the following:

State Ethics in Public Service Act and University Policy on Employee Conflict of Interest University Outside Professional Work Policy University Significant Financial Interest Disclosure Policy (GIM 10) UW Medicine Policy for Faculty on Potential Financial Conflicts of Interest With

Commercial or Non-Profit Entities UW Medicine Ghost Authorship Policy Entity level policies on specific conflict issues such as Vendors in Clinical Areas and

Drug and Device Purchasing UWP Conflict of Interest Policy CUMG Conflict of Interest Policy

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In 2011, the National Institutes of Health (NIH) modified rules governing disclosure of financial interests in research. These changes expand the definition of significant financial interest by lowering the threshold for disclosure, require researchers to disclose interests related to all their institutional responsibilities rather than just those related to their research, and require disclosure in advance rather than after the fact and shift the burden of determining whether a conflict exists from the researcher to UW. They also impose a training obligation on UW, require more UW reporting to NIH and require public accessibility to the information disclosed by researchers and UW’s response to those disclosures. The new rules became effective on Aug. 24, 2012. The UW Office of Research, with significant assistance from the SoM, substantially revised the Significant Financial Interest Disclosure Policy (GIM 10) to comply with these new rules. The UW also implemented an online Financial Interest Disclosure System (FIDS) for disclosure of significant financial interest and online financial COI training in 2012, as part of the changes to address the new NIH requirements. This was the fourth year of the UW Medicine COI policy. The purpose of the policy is to ensure that faculty avoid, or disclose and address, perceived or real COI between their responsibilities as faculty and their outside activities, while encouraging appropriate relationships between faculty and industry to the extent they further the mission of UW Medicine. The policy addresses such issues as consulting, service on boards and advisory panels and other outside work; speeches, meetings and travel funded by outside entities; gifts; food and beverages; teaching activities; and outside support for educational events. A key provision of this policy is that faculty must disclose in advance the amount of compensation to be received for outside work. The policy was reviewed in 2012 with targeted revisions made that were effective July 1, 2013. SoM faculty are now prohibited from presenting at speaker’s bureaus or other programs designed solely or predominantly for company promotional, sales or marketing purposes. SoM faculty members are also prohibited from endorsing a product for the primary purpose of promoting its purchase.

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IV. LOOKING FORWARD: 2014

Planning for compliance program activities is an on-going process which involves all program areas identified in Section IIA1 (including auditing, development and modification of policies, and education). Our compliance priorities are heavily influenced by the increasingly dynamic external regulatory environment (including new and changing rules, workplans and audit priorities established by regulatory agencies and programs), as well as our own audit findings, issues and incidents, and risk assessments. In 2014, we expect to focus on four major areas: 1. Sustaining a proactive, risk-based internal audit and monitoring program for clinical billing and

privacy protection, while continuing to meet the demands of external review programs. 2. Participating in system-wide initiatives including ICD-10, meaningful use, Accountable Care

Organization development, and Learning Management System deployment. 3. Continuing progress toward the integration of Northwest Hospital and Valley Medical Center

compliance functions. 4. Continuing to enhance information security through on-going education and refinement of

internal tools and controls.

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Attachment A

UW Medicine Board Compliance Committee: Fiscal Year 2013 Roster

Voting Members Rich Jones, board member and committee chair o President and CEO of the Washington Society of Certified Public Accountants o Former officer and member of the Board of FHCRC; founding member and former chair of the Board of

SCCA o Former officer and member of the Board of the Pacific Science Center o Retired partner of Ernst & Young LLP Jim Anderson, board member o Chair of Health Resources Northwest/Northwest Hospital (HRN/NWH) o Serves as chair of HRN/NWH Information Systems & Committee and Finance Committee o Former chair of the Strategic Planning Committee for the Board of Directors for Northwest Healthcare

Insurance Services and Washington Casualty Company o Former chair of the Budget Committee of the Board of Overseers of Whitman College o Former board of director for the Pacific First Financial Corporation, Multicare Health System,

Tacoma/Pierce County Economic Development Council and the Corporate Council for the Arts and Reality Based Learning

Gary Kohlwes, community member o Community trustee appointed to the Valley Medical Center Board o Served on the Valley Medical Center Board of Commissioners o Former member of the Washington Pacific Insurance SP Board o Former superintendent of the Renton School District o Former board member of Renton Chamber of Commerce and Seattle Country Day School o Executive director and board member of the First Financial Northwest Foundation o Board chair of First Savings Bank Northwest

Bruce Pym, community member o President and CEO of Elliott Cove Capital Management o Former president of the King County Bar Association, board chair of the United Way of King County,

member of the Board for the Seattle Repertory Theatre and the Board of Trustees, UW Law School Foundation, and board chair of the 5th Avenue Theatre Association

o Long-time member of FHCRC, member of the FHCRC board committee charged with oversight of the conflict of interest litigation and first chair of the Patient Protection Oversight Committee

o UW alumnus Dan Dubitzky, community member o Lead counsel for UW in its response to the now-completed Medicare fraud investigation o Former board member of the Northwest Defender Association and the Tom Wales Foundation, previous

chair of the Criminal Law Committee of the Federal Bar Association and a lawyer's representative from the Federal Bar Association to the Ninth Circuit Judicial Conference

o Former community member for the UW Physicians Board o While in private practice, represented several Fortune 500 companies and corporate officers with clients from

healthcare, fisheries, aerospace, architecture and timber

Non-Voting Members

UW Medicine Paul G. Ramsey, M.D., CEO, UW Medicine, executive vice president for

medical affairs, and dean of the UW School of Medicine Johnese Spisso, chief health system officer, UW Medicine, and vice president for

medical affairs, University of Washington Ruth Mahan, chief business officer, UW Medicine, and vice president for

medical affairs, University of Washington Lori Mitchell, chief financial officer, UW Medicine, and vice president for

medical affairs, University of Washington Sue Clausen, chief compliance officer, UW Medicine, and associate vice

president for medical affairs, University of Washington Lori Oliver, director of legal and business matters, UW Medicine, associate vice

president for medical affairs, University of Washington Liz Shirley, enterprise finance officer, UW Medicine, associate vice president for

medical affairs, University of Washington Lisa Westlund, compliance officer, UW Medicine

School of Medicine Mark Green, associate dean for business Noella Rawlings, compliance director Hospitals/Clinics Eileen Whalen, executive director, Harborview Medical Center Stephen Zieniewicz, executive director, UW Medical Center Meg Kerrigan, executive director, UW Neighborhood Clinics Cindy Hecker, executive director, Northwest Hospital Christine Martin, executive director, Airlift Northwest Rich Roodman, chief executive officer, Valley Medical Center Traci Pranzini, integrity officer, Seattle Cancer Care Alliance

Practice Plans Mika Sinanan, M.D., president, UW Physicians Catherine Boelke, executive director, UW Physicians Beth DeLair, interim compliance officer, UW Physicians Robert Sawin, M.D., president, CUMG Patricia Adams, interim executive director, CUMG Sheryl Forrester, compliance officer, CUMG Attorney General’s Office Jane Yung, assistant attorney general, University of Washington Non-Profit Entities General Counsel Margaret Peyton VMC General Counsel David Smith

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Attachment B

UW Medicine Board Compliance Committee Charter

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Attachment C

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Attachment D

UW Medicine Compliance Issues Channels of Communication

Committee/Chair Committee Role Members and Attendees UW Medicine Board Compliance Committee, chaired by Rich Jones (UW Medicine board member)

This committee has a wide scope of advisory responsibilities including strategic planning, advocacy and support for compliance efforts and assessment of progress on major compliance matters. The group meets at the call of the chair as often as necessary, but not less than quarterly, receives semi-annual reports regarding entity-specific program activities and is briefed at each meeting about urgent, emergent and on-going issues. Minutes of each meeting are provided to the UW Medicine Board.

Voting members: community members, the UW Medicine board chair and other UW Medicine board members. Non-voting attendees: senior executive leaders and entity compliance officers. See Attachment A for the full roster and Attachment B for the Committee Charter.

UWP Business Excellence Committee, chaired by John Bramhall, M.D. CUMG Physician Billing & Education Compliance Committee, chaired by Jack Salerno, M.D.

These committees provide a venue for engaging administrative, clinical and operational leaders in the planning, problem-solving and risk assessment activities associated with key compliance initiatives. The committees work closely with compliance and operations staffs to assess risk, establish compliance standards, monitor program effectiveness, implement effective educational and outreach activities and endorse policies and standards.

Executive leaders, physicians, clinical department representatives, legal counsel, training and operational staff, the practice plan compliance officers, the SoM compliance director, and the chief compliance officer and associate vice president for medical affairs.

UW Medicine Executive Compliance Committee, chaired by Johnese Spisso, chief health system officer, UW Medicine, and vice president for medical affairs, UW

This committee serves as a forum for engaging key executives from the health system in compliance planning, policy approval, problem-solving and risk assessment activities. The group works closely with UW Medicine compliance to evaluate urgent and emergent issues, monitor progress toward resolution of compliance issues and establish strategies for communicating and enforcing expectations to staff.

Executive directors and senior officers from the hospitals, clinics and ALNW, administrative directors from key operational units, the chief compliance officer and associate vice president for medical affairs, the UW Medicine compliance officer, and a representative from the attorney general’s office.

Northwest Hospital Compliance Committee, chaired by Lisa Westlund, compliance officer, UW Medicine

This committee serves as a forum for addressing operational implications of the compliance program for Northwest Hospital.

Members include senior and operational leaders of Northwest Hospital, and related UW Medicine compliance content experts.

Valley Medical Center Corporate Compliance Committee, chaired by Lisa Westlund, compliance officer, UW Medicine

This committee serves as a forum for addressing the operational implications of the compliance program for Valley Medical Center.

Members include senior and operational leaders of Valley Medical Center, and related UW Medicine compliance content experts.

Compliance Officers Group, chaired by Sue Clausen, chief compliance officer, UW Medicine, and associate vice president for medical affairs, UW

This group provides a forum for engaging entity compliance officers in the identification of and response to regulatory developments, assessment of risks and development of mitigation strategies. Subgroups provide a venue for working collaboratively on mutual concerns, establishing system-wide standards and coordinating the handling of urgent/emergent issues that involve multiple entities.

Members include compliance and related content experts from UW Medicine compliance, the Institute for Translational Health Sciences (ITHS), Pharmacy, Laboratory, Patient Financial Services, UW and UW Medicine ITS Security; the UW School of Dentistry, Health Sciences Administration, Risk Management, Environmental Health and Safety, both human and animal research protection programs and affiliated organizations.

UW Medicine Operations and Finance Committee, chaired by Paul G. Ramsey, M.D., CEO, UW Medicine, and dean of the School of Medicine, UW

This committee provides a venue for engaging senior leaders in the evaluation of, and response to, UW Medicine-wide compliance issues.

Members include the vice presidents for medical affairs, vice dean for clinical affairs, UWP president, executive directors (HMC, UWMC, UWNC, UWP, and ALNW), the chief compliance officer and associate vice president for medical affairs financial officers, school associate deans for administration, finance and business affairs, UW medicine chief of staff and associate vice president for medical affairs and director of business and legal matters and associate vice president for medical affairs.

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Committee/Chair Committee Role Members and Attendees Executive Clinical Leadership, chaired by Johnese Spisso, chief health system officer, UW Medicine, and vice president for medical affairs, UW

This group provides clinical operations leadership for UW Medicine, develops/implements strategic operating and financial plans and addresses related issues (for example: access management, coordination of care, process improvement, human resources, regulatory affairs, recruitment/retention needs, space planning, and information technology).

Members include the executive leadership team from UW Medicine clinical health system entities (HMC, NWH, VMC, UWMC, UWNC, UWP and ALNW) and other UW Medicine leadership.

Security Program Executive Committee (SPEC), chaired by Johnese Spisso, chief health system officer, UW Medicine, and vice president for medical affairs, UW

SPEC provides executive direction for the UW Medicine Information Security Program, reviews and endorses security policies, strategic plans, annual budget requests and risk assessments.

Members include the chief business officer and vice president for medical affairs, director of security and networking, chief compliance officer and associate vice president for medical affairs, chief information officer, director of Health Science Risk Management, UWP President, executive directors (HMC, UWMC, UWNC) and UW chief information security officer.

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Attachment E

UW Medicine Board Compliance Committee - Schedule 2013

Meeting Date Focus Areas/Special Briefings Focus Area Presenter(s)

Reports

January 14 9:30–11:30 am

Focus Area – ICD-10

Sarah Lucas

Briefings Preview of 2012 Annual

Compliance Report UW Medicine Board CC

Charter External Review Activity

February No meeting March No meeting

April 29 9:30–11:30 am

Focus Area – Privacy & Information Security

Sue Clausen and Paul Henderson

Briefings FY 13 Qtr 1 & 2 Reports External Review Activity

May No meeting June 17 9:30–11:30 am

Focus Area – Stark/Anti-Kickback Statute

Noella Rawlings and Mark Green

Briefings VMC Compliance Integration External Review Activity

July No meeting August No meeting September 9 9:30–11:30 am

Focus Area – Clinical Billing Lisa Westlund Briefings FY 13 Qtr 3 & 4 reports External Review Activity

October No meeting November 4 9:30–11:30 am

Focus Area – Conflicts of Interest

Noella Rawlings and Mark Green

Briefings External Review Update

December No meeting

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VII. STANDING COMMITTEES B. Finance and Asset Management Committee Approve Amended Debt Management Policy – Statement of Objectives and Policies RECOMMENDED ACTION It is the recommendation of the administration and the Finance and Asset Management Committee that the Board of Regents adopt the amended Debt Management Policy – Statement of Objectives and Policies to broaden the definition of personal property. BACKGROUND The University of Washington’s Debt Management Policy guides the institution’s internal lending, debt issuance, and debt portfolio management practices. The Regents first adopted the policy in 2002 and subsequently adopted amendments in 2004, 2008, and 2012. The Internal Lending Program (ILP), a “best practice” among peer higher education institutions, was approved by the Regents in the 2008 amendment to the debt management policy. The policy currently exempts personal property (e.g. equipment) capital leases and Certificates of Participation (COPs) from participation in the ILP. The proposed amendment clarifies this exemption by specifying that the exemption is limited to financings consisting solely of personal property and allows the use of financing mechanisms other than capital leases and COPs. The personal property component of large capital projects (i.e., furniture, fixtures and equipment, or “FF&E”) would continue to be eligible for ILP financing. The second proposed amendment to the Debt Management Policy will align the policy with Board of Regents adopted amendments to Standing Orders, Chapter 1, Delegation of Authority. These amendments were adopted in November 2013 and provide the authority to the President to approve instruments less than $15 million relating to real property, capital projects budgets, and other instruments. REVIEW AND APPROVAL The amended Debt Management Policy has been reviewed and recommended for approval by the Senior Vice President and Treasurer, Board of Regents. Attachment Debt Management Policy – Statement of Objectives and Policies – annotated

University of Washington Debt Management Policy

Statement of Objectives and Policies

Approved by the Board of Regents, September 19, 2002 Amended July 16, 2004, May 15, 2008, July 12, 2012, and February

13, 2014 Overview This statement of objectives and policies addresses the University's Internal Lending Program ("Program") and the active management of the institution's external debt portfolio. The Internal Lending Program will make loans to internal borrowers at a uniform internal lending rate. These internal loans will be funded through the issuance of University General Revenue debt obligations. The University's internal loan portfolio will be comprised of the outstanding loans to internal borrowers, while the institution's external debt portfolio will be comprised of the institution's outstanding short-term and long-term debt obligations. The external debt portfolio will be actively managed to reduce the institution's cost of capital and to achieve stability and predictability in the internal lending rate. Active management of the external debt portfolio will entail the use of risk-evaluated debt structures and debt management techniques to achieve the lowest risk-adjusted cost of capital consistent with market conditions and institutional credit considerations. The management of the Internal Lending Program and the external debt portfolio will be performed in accordance with policies set forth in this document and University debt management guidelines. The diagram below outlines the relationship between the University's internal borrowers, the Internal Lending Program, and the external debt market:

ATTACHMENTF–3.1/202-14 2/13/14

Page 1 of 8

This statement of objectives and policies includes: A. Introduction. Statement of overall objectives, management, and

reporting. B. Internal Lending Program. Description of Program scope, loan

categories, internal lending rate, loan agreement, and Program fund.

C. Debt portfolio management. Description of external debt portfolio

management objectives, institutional credit rating, core financial benchmarks, debt structure, refunding bonds, and financial derivatives.

D. Roles and responsibilities. Description of roles and responsibilities

relating to the management of the Program and the University's external debt portfolio.

A. Introduction

1. Objectives. The primary objectives of the Internal Lending Program and active management of the University's external debt portfolio are to provide internal borrowers with access to funds at more stable and predictable interest rates and to reduce the institution's risk-adjusted cost of capital.

2. Management. The Program and the University's external debt

portfolio will be managed by the Treasury Office under authority granted to the President by the Board of Regents.

Internal Debt Portfolio

External Debt Portfolio

UW Internal Borrower

Rate Stabilization

Account / Program

Costs

External Debt Market

Capital

Debt Service

Internal Debt

Service

Internal Loan

Funding

External Debt

Service

Capital

Internal Lending Program

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3. Reporting. A report on the Program and the University's external debt portfolio will be presented annually to the Finance, Audit, and Facilities and Asset Management Committee of the Board of Regents.

B. Internal Lending Program

The Internal Lending Program will make funds available to internal borrowers at a uniform interest rate that reflects the University's cost of capital.

1. Program scope. The Program will encompass all institutional

financing needs, except as noted below. Alternative arrangements for any other financing action will require the approval of the Board of Regents.

Financing actions exempted from participation in the Internal Lending Program:

a. Debt repaid from appropriated University local funds (e.g.,

debt supported by Metro Tract revenue)

b. Debt issued by an external entity on behalf of the University (e.g., 63-20, public-private, conduit financings)

c. Financings consisting solely of personal property. Personal

property capital leases (e.g., equipment leases, equipment certificates of participation)

d. Credit lines

2. Loan Types. Loan types for internal borrowing will include:

a. Large capital expenditures (above $5 15 million). The

approval of the Board of Regents will be required for capital expenditure loans exceeding $5 15 million. The maximum term of these loans will be 30 years (or the estimated useful life of the facilities).

b. Small capital expenditures (less than $5 15 million). The

approval of the Treasurer of the Board of Regents will be required for capital expenditure loans up to $5 15 million. The maximum term of these loans will be 15 years (or the estimated useful life of the facilities).

. c. Operating loans. Short-term working capital loans up to $25

million and with a maximum term of two years will be available. Operating loans up to $5 15 million will require

Updates BOR Committee name Limits the personal property (equipment) exemption from ILP participation to stand-alone personal property transactions and broadens the exemption to transactions beyond capital leases and COPs. Increases $5 million threshold to $15 million in accordance with new BOR delegated authority limits.

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the approval of the Treasurer of the Board of Regents. Operating loans exceeding $5 15 million will require the approval of the Board of Regents. An additional 200 basis points (2.0 percent) above the prevailing internal lending rate will be charged on outstanding balances and a commitment fee of 10 basis points (0.10 percent) will be charged on any unused balance. The aggregate total of operating loan commitments will not exceed 30 percent of the University’s commercial paper line of credit without the approval of the Treasurer of the Board of Regents.

3. Internal lending rate. An internal lending rate will be uniformly

applied to all loans approved after Program implementation. The rate will reflect the external debt portfolio’s weighted average interest rate and will include funding for Program operating costs and a rate stabilization account.

a. Rate adjustment. The internal lending rate will be reviewed

annually and will be subject to adjustment by the Board of Regents. Any adjustment will comply with Program fund policies described in this document. Any preliminary indication of a rate adjustment will be announced to Program participants twelve months in advance of the effective date of the adjustment. Any formal proposal for a final rate adjustment will be announced to Program participants six months in advance of the effective date of the adjustment and updated internal repayment schedules reflecting the new rate will be distributed to Program participants within 45 days of this announcement.

b. Application. Adjustments to the internal lending rate will

apply to all Program debt, including outstanding debt obligations incurred prior to Program implementation.

4. Program fund policies. Payments to the Internal Lending

Program will be made monthly and held in a Program fund. External debt service payments will be made from the Program fund and all interest earnings will be retained in the Program fund. The Program fund will be managed according to the policies set forth below. Exceptions to these policies will require the approval of the Board of Regents.

a. Operating level. The Program fund will be maintained at a

level that enables the University to meet its Program obligations, including Program operating costs, debt portfolio management expenses, principal and interest on external debt, and a rate stabilization account maintained as described below. An accounting of Program fund

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activities will be included in the annual Program report to the Board of Regents.

b. Rate stabilization account. The rate stabilization account

will be managed to preserve the stability of the internal lending rate after considering forecasted external borrowing, changes in financial market conditions, and Program operating requirements. The minimum balance of the rate stabilization fund will be sufficient to buffer against an increase in the internal lending rate from a two standard deviation increase in the Municipal Market Data (MMD) long-term municipal bond rate or equivalent index over the next twenty-four months with an 80 percent confidence level.

c. Program operating expenses. Program operating expenses,

including the costs of staffing, facilities, equipment, supplies, and fees, will be paid from the Program fund.

d. Loans funded from reserves. Program reserves may be

used to fund internal loans.

e. Debt portfolio management expenses. Expenses associated with actively managing the University's external debt portfolio, including the costs of debt issuance, loan restructuring, and financial derivative transactions, will be paid from the Program fund.

f. Other University purposes. Withdrawals from the Program

fund for University purposes other than those described in this section, will require the approval of the Board of Regents. A list of Program fund withdrawals will be included in the annual Program report to the Board of Regents.

5. Internal financing agreement. An internal financing agreement

describing the loan structure and repayment terms will be required for all loans. The loan agreement may also include the following:

a. Borrower's financial condition and performance. Specific

operating benchmarks to be achieved and/or maintained by the borrower during the term of the loan, which could include cash reserve targets and/or a plan of remediation for failure to comply with loan covenants.

b. Reporting. Annual reviews and/or audits of the borrower's

financial condition and performance, including identification of any changes in, or other factors relating to, facility occupancy or facility/equipment use that could affect the

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tax-related status of University debt. C. Debt Portfolio Management

The University's external debt portfolio will be actively managed to maintain the stability of the internal lending rate and to minimize the University's risk-adjusted cost of capital over the long term. The University will use short-term and long-term fixed and variable interest rate debt obligations, bond refundings, and financial derivatives to achieve this goal within the following guidelines:

1. Objective. The objective of actively managing the University's

external debt portfolio will be to achieve the lowest risk-adjusted cost of capital consistent with market conditions and credit rating parameters set forth below. Active management decisions will take into consideration relevant risks and terms that include, but are not limited to, market conditions, bond refunding savings, call options, variable interest rate bond remarketing and auction expenses, and liquidity, tax, and counterparty risks.

2. Portfolio Credit Standard. The University will manage its

external debt portfolio to maintain a minimum “A” category credit rating on its General Revenue obligations as evaluated by Moody's Investors Service and Standard & Poor's rating agencies.

3. Debt structure. The University may issue fixed-rate, variable-

rate (up to 20 percent of the external debt portfolio), non-amortizing, and other forms of short-term and long-term debt to achieve its external debt portfolio management objectives.

4. Refunding bonds. The University may issue current and

advance refunding bonds to lower or maintain the University's cost of capital over time. Refunding bonds will be issued to capture economic benefit and to restructure the debt portfolio in order to achieve longer-term strategic objectives.

5. Financial derivatives. The University may enter into financial

derivative transactions to manage the institution's exposure to interest rate risk, reduce all-in borrowing costs of the external debt portfolio, and/or to manage other risks of the external debt portfolio that could adversely affect the internal lending rate or the Internal Lending Program. The University will enter into financial derivative transactions following guidelines in the University's Interest Rate Swap Policy. The University will not enter into financial derivative transactions for speculative purposes.

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6. Core financial ratios. The University will use the following core

financial ratios as performance benchmarks to evaluate institutional debt capacity. These ratios will be calculated and reported annually.

a. Expendable resources-to-debt. Target range: 1.5 – 3.0

times. This balance sheet ratio measures the availability of unrestricted funds to cover all outstanding debt.

Expendable Financial Resources* Direct University Debt

b. Debt service-to-operations. Target range: 2.5% – 5.0%.

This statement-of-activities ratio measures the level of debt service on all outstanding debt as a percentage of overall operating expenses. (For non-amortizing bonds, principal will be assumed to be repaid in equal annual amounts).

Peak Annual Debt Service* Total Operating Expenses

(*As defined by Moody's Investors Service)

D. Roles and Responsibilities

1. Board of Regents

a. Approves policies that guide the operation of the Internal Lending Program and the management of the University's external debt portfolio

b. Approves the annual bond resolution for the issuance of

external debt

c. Approves financing plans for loans above $5 15 million

d. Delegates to the President the authority to enter into agreements to complete debt financing transactions above $5 15 million

e. Approves exemptions of eligible financing transactions from

participation in the Internal Lending Program

f. Approves the adjustment of the internal lending rate

g. Approves exceptions to Program fund policies

Increases $5 million threshold to $15 million in accordance with new BOR delegated authority limits.

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h. Approves withdrawals from the Program fund for University purposes other than those described in Sections B.4.c, B.4.d and B.4.e above

i. Approves increases in the size of the commercial paper

program

2. Finance, Audit, and Facilities and Asset Management Committee

a. Recommends proposed financing actions to the Board of

Regents

b. Receives annual reports on the Internal Lending Program and the University's external debt portfolio

3. President

a. Delegates authority to enter into agreements to complete

debt financing transactions

b. Delegates authority to approve loans up to $5 15 million

4. Treasurer of the Board of Regents

a. Reviews all financing actions

b. Approves loans up to $ 5 15 million (as delegated)

c. Approves aggregate operating loan commitments that exceed 30 percent of the University's commercial paper line of credit

d. Approves the selection of bond counsel, financial advisor,

and other financial services providers

5. Senior Associate Treasurer

a. Oversees the day-to-day activities of the University’s Internal Lending Program

b. Consults with the Attorney General's Office in the selection

of bond counsel

Updates BOR Committee name Increases $5 million threshold to $15 million in accordance with new BOR delegated authority limits.

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VII. STANDING COMMITTEES B. Finance and Asset Management Committee HR/Payroll Modernization Project – Adopt Project Budget, Approve Financing Plan and Delegate Authority to Execute Vendor Contract It is the recommendation of the administration and the Finance and Asset Management Committee that the Board of Regents:

1) Adopt a project budget of $70 million for the HR/Payroll Modernization project;

2) Approve project financing up to $65 million; and

3) Delegate authority to the President or his designee to execute the vendor

contract. BACKGROUND The UW's existing payroll system, the Higher Education Payroll Personnel System (HEPPS), was technologically advanced and met business needs when it was implemented in 1982. In the intervening 32 years, the UW added two campuses, experienced tremendous growth in its research enterprise, and watched the demand for its medical services skyrocket. As a result, the UW's workforce has doubled to more than 40,000 employees. The UW's large and diverse workforce has many complexities that impact HR and payroll practices. This includes varying employment conditions, such as different leave plans, salary schedules, employment policies, and pay practices. The UW has more than 365 earning types and more than 165 unique pay differentials or premiums that must be factored into payroll processing. The UW also must track varying statutes, laws, and regulations that apply to employees located across 50 states and 26 countries. Yet, the underlying technology for HEPPS has not changed. As a result, the UW's payroll system has significant operational inefficiencies and service deficits. It is increasingly difficult to keep pace with ever-changing regulatory requirements. The UW also lacks basic, enterprise-wide human resources functionality. UW's existing payroll system was designed to pay people at a point-in-time; it was not designed to keep a history of employee records or to manage employees. An information item on the HR/Payroll Modernization project was presented to the Regents in January 2014 (Item F-6).


B. Finance and Asset Management Committee HR/Payroll Modernization Project – Adopt Project Budget, Approve Financing Plan and Delegate Authority to Execute Vendor Contract (continued p. 2)

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PROJECT DESCRIPTION The HR/Payroll Modernization effort will replace HEPPS with a modern, integrated human resources and payroll system. As part of this effort, it will also implement a set of standardized processes to significantly improve support for critical HR and payroll work across the UW. The benefits of modernization are substantial. An integrated system will retain comprehensive information about positions, appointments, and employees, including a full life-cycle of activities ranging from recruitment to retirement or separation—sharing information such as who is employed and in what position, which benefits they are eligible for, and so on. As a result of modernization, the UW can reduce its risks, realize efficiencies, enable modern practices, be more competitively positioned in the higher-education sector, and set the foundation on which it can choose to connect to or integrate with other systems, such as a financial system. PROJECT SCHEDULE The first phase of the project is expected to result in a “go-live” date in 22 months. The scheduled stages within the first phase include:

• Plan (Now – April 2014): The HR/Payroll Modernization project team is

finalizing the implementation plan.

• Architect (April – October 2014) and Configure (November 2014 – May 2015): The project team will calibrate the design with campus stakeholders and then will configure the system to align with design decisions.

• Test (June – November 2015): Additional stakeholders will have hands-on exposure to the new system's look, feel, and functionality. Similar to previous phases, testing will be a collaborative and iterative process. The project team will look to confirm the solution’s usability and to identify opportunities for refinement prior to system deployment.

• Deploy (November – December 2015): The team will engage future system users in pre-deployment activities such as campus forums and training activities to demonstrate how to use the new system. As the “go-live” date approaches, the team will increase the amount of regular communication with impacted users in order to prepare them appropriately. During and



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following go-live, support structures will be put in place to help users with questions and guidance on the new system.

• Go Live (January 2016): The new system is expected to "go live" on January 1, 2016. At this time, the old payroll system will be retired.

• Stabilize and Optimize (January – June 2016): Following implementation, the project will enter a six-month period of system stabilization and optimization. Support will be provided to the units to identify and help them act on soft savings.

PROJECT COST A projected HR/Payroll Modernization implementation cost of $30 million was included in the One Capital Plan and Debt Capacity reports shared with the Regents in July 2013. After an extensive procurement process, the UW received an initial cost estimate of $30 million from the apparent successful bidder. This figure, which was presented to the Regents in January 2014, aligned with the UW's initial analyses for undertaking this project. Through vendor negotiations, the vendor’s implementation costs have been reduced to $27.9 million. Total capitalized UW costs, contingency and financing costs have been determined to be $40.2 million for a total project cost of $68.1 million.



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The sources and uses of funds for the project are as follows (a detailed project budget is shown on Attachment 1): Sources of Funds ($000) UW Reserves 6,398 Debt 61,678

total 68,076 Uses of Funds ($000) Vendor Costs 27,879 UW Costs 29,586 Contingency 10,000 Financing Costs (estimated 1%) 611

total 68,076 PROJECT FUNDING The project will be funded through a combination of reserves and debt. Reserves will be used to fund the non-capitalized implementation costs. During implementation all costs will be paid by the Provost. One half of this will be considered a permanent investment by the Provost. The remaining half will be allocated to campus units on a straight line basis over 10 years. Following implementation, all ongoing costs will be allocated to campus units. These costs include UW costs, vendor subscription fees, and debt service. After the debt is retired, UW costs and vendor subscription fees will continue to be paid by campus units. ANTICIPATED SAVINGS The projected savings include hard savings due to cost reductions and potential savings due to institutional efficiencies. An estimated $1.8 million in annual hard savings will come from elimination of support, maintenance, and licenses for information technology supported systems. An additional average of $9.5 million could be saved each year due to departmental system support efficiencies, eliminated central and departmental system licenses, improved processes, reduction in redundant data entry, and



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reduction in time spent on compliance reporting and audits. The HR/Payroll Modernization project team will work in conjunction with UW leadership to provide a framework to campus units to proactively identify and realize additional savings and efficiencies. VENDOR SELECTION A RFP bidders’ conference was held in October 2012. Following the conference, the procurement office received six vendor bids—five of which were invited to present more detailed proposals. After a staged evaluation approach, Workday was selected as the most qualified vendor for this project. Workday is a provider of enterprise Software-as-a-Service (SaaS) for human resources and finance. Founded in 2005, Workday delivers human capital management, financial management, and analytics applications designed for the world’s largest organizations. Hundreds of companies, ranging from medium-sized businesses to Fortune 50 enterprises, have selected Workday. Other higher education institutions implementing its software include Brown University, Carnegie Mellon University, Georgetown University, New York University, University of Southern California, University of Texas–Austin, and Yale. Contract negotiations with Workday are expected to be complete by February 13, 2014. Through these negotiations, Workday’s implementation costs have been reduced to $27.9 million. CREDIT ANALYSIS In conjunction with the project sponsors and executive leadership, the Treasury Office performed a comprehensive due diligence on the financial plan for the HR/Payroll Modernization project. This process included reviewing the base case proforma, evaluating the key risks, performing stress tests, and identifying appropriate mitigation strategies. In addition to working with project sponsors, the Treasury Office reviewed the Gartner1 and Bluecrane2 risk and quality assurance assessments. 1 Gartner is an IT research and advisory firm, and conducted a readiness assessment at the beginning of the procurement process. 2 Bluecrane is an external quality assurance vendor, and conducts ongoing risk assessments.



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Base Case Assumptions and Proforma The base case assumes a 22-month implementation period, a six-month stabilization and optimization period, and a 10-year borrowing rate of 4.1% (Attachment 2). For purposes of financing, the HR/Payroll Modernization project is considered personal property. Therefore, it is excluded from the Internal Lending Program and will pay actual interest cost.

Stress Tests Two stress tests were performed on the base case proforma: a cost stress and a rate stress (Attachment 3). The cost stress assumes that the system takes two years longer to implement and comes online in January 2018—more than doubling the project cost and increasing borrowing from $61.7 to $125.8 million. Accordingly, annual debt service increases from $7.5 to $15.9 million. The cost stress causes greater interest rate risk and increases unit operating costs. It has a lesser impact on institutional debt capacity. The rate stress assumes that interest rates are 1% higher than in the base case, which increases annual debt service from $7.5 to $7.9 million. The cost stress has a larger effect on unit operating costs than the rate stress. The interest rate scenarios modeled under the base case and two stress cases are summarized in the table below.

Project Cost ($ millions)

Takeout financing in FY

Assumed Interest Rates* Alternative FY2014-16 FY2017-18 FY2019+

Base Case 67.5 2017 1.10% 4.10% 4.10%

Cost Stress 137.6 2019 1.10% 2.40% 4.85%

Rate Stress 67.5 2017 2.10% 5.10% 5.10% *Future interest rates are estimated using current rates and adding a forward premium derived from interest rate swap curves.



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Mitigations for Stress Already Undertaken As part of the project planning activities, efforts were undertaken to develop a realistic scope, timeline, and budget. This included: a campus-wide Business Process Redesign effort to draft future states for key processes (change management); a complete statement of work, work plan, joint resource plan, and defined change control processes with the vendor (time, budget, and scope management); and a contractually agreed-upon fixed price budget for implementation fees to the vendor (budget management). For similar projects at peer and other organizations, these critical steps are often not taken at all or done well after system implementation, which minimizes the efficiencies and change management opportunities and results in cost and time overruns or reductions in scope. Additional Mitigations As an alternative to more debt, the UW could fund any increased cost out of its own reserves. This approach would preserve the UW's external debt capacity, but reduce cash balances. The long-term financing is expected to be amortized over 10 years. In the event that costs are substantially higher than planned, it is possible to extend the term of the debt to 15 years. To maintain the same annual payment with a 15-year term, the project cost could increase by $20 million from base case to $88 million. This longer term maintains the same annual payment, but leads to higher interest rates and total borrowing costs. Impact of Stresses on Large Borrowers The costs of the HR/Payroll Modernization project will impact the net operating margins and debt service coverage of the business units. Impacts of these costs on the debt service coverage ratio of the largest UW borrowers were assessed. As shown on Attachment 4, the impacts on the debt service coverage on Intercollegiate Athletics, Housing and Food Services, and UW Medical Center are manageable, even under the cost stress.



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Impact on Institutional Debt Capacity The Treasury Office reviews three key financial ratios when assessing the impact of a project on institutional debt capacity:

1) Expendable Resources to Debt 2) Debt to Operating Revenues 3) Debt Service Coverage

The chart below shows these ratios assuming UW borrows $62 million (the base case), and $125 million (the cost stress) for the HR/Payroll system. These ratios are benchmarked against current projections without HR/Payroll debt. Under the cost stress, key UW ratios remain above peer minimums.

If the HR/Payroll system does significantly exceed budget as shown in the cost stress, the increase would likely delay future system implementations (e.g., Finance and Budget). REVIEW AND APPROVAL The HR/Payroll Modernization budget, finance plan, and contract recommendation have been reviewed and recommended for approval by the University President, Provost, Senior Vice President, Vice President for Information Technology and Chief Information Officer, Financial Planning



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Officer for UW Medicine Health System, Vice President for Human Resources, and Vice Provost for Academic Personnel. The project budget and finance plan have also been reviewed and approved by the Vice Provost for Planning and Budgeting and the Treasury Office. The State Investment Plan was submitted to the Washington State Office of the Chief Information Officer for the vendor solution and total project costs. The University expects to receive approval by February 13, 2014. Attachments 1) Summary Project Budget 2) Proforma and Cost Allocations – Base Case 3) Proforma and Cost Allocations – Cost Stress and Rate Stress 4) Impact on Large Borrowers – Debt Service Coverage

HR/Payroll Modernization – Summary Project Budget Implementation Budget FY14-16

Project Budget Total Cost ($000) % of Total

Vendor Consulting $ 25,175 37.3%

Vendor Travel $ 2,336 3.5%

Vendor Training $ 368 0.5%

Vendor Subtotal $ 27,879 41.3%

UW Staff $ 28,205 41.8%

UW Operations $ 1,381 2.0%

UW Subtotal $ 29,586 43.9%

Contingency $ 10,000 14.8%

Total Implementation Costs $ 67,465 100%

Financing $ 611

Grand Total $ 68,076

Estimated date of completion for implementation: January 1, 2016

Estimated date of completion of stabilization and optimization period: June 30, 2016

ATTACHMENT 1F–4.1/202-14 2/13/14

Page 1 of 1

HR/P Proforma and Cost AllocationsBase Case -- FY2014-2026 -- ($000)

Implementation Phase1 Debt Service Phase

2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 Total

Project Costs

Debt Service2 23 270 560 7,529 7,529 7,529 7,529 7,529 7,529 7,529 7,529 7,529 7,529 76,140

Implementation Costs Not Financed 1,094 2,691 2,612 - - - - - - - - - - 6,398

Workday Solution Fees 6,400 2,400 2,400 2,400 2,400 3,328 3,461 3,600 3,744 3,893 4,049 4,211 4,379 46,665

Ongoing UW Support - - 840 1,679 1,679 1,679 1,679 1,679 1,679 1,679 1,729 1,781 1,835 17,938

Total Costs 7,517 5,361 6,412 11,608 11,608 12,536 12,669 12,807 12,951 13,101 13,307 13,521 13,743 147,140

Less: Hard Savings - - - (900) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (17,100)

Net Costs 7,517 5,361 6,412 10,708 9,808 10,736 10,869 11,007 11,151 11,301 11,507 11,721 11,943 130,040

Less: Initial Cost Paid by Provost (7,517) (5,361) (6,412) - - - - - - - - - - (19,290)

Provost Recapture - - - 964 964 964 964 964 964 964 964 964 964 9,645

Subtotal: Net Cost to Provost (7,517) (5,361) (6,412) 964 964 964 964 964 964 964 964 964 964 (9,645)

Total Allocations to Campus Units - - - 11,672 10,772 11,700 11,833 11,972 12,116 12,265 12,472 12,685 12,907 120,395

Costs Allocated to Campus Units3

Central Units - - - 1,818 1,678 1,822 1,843 1,865 1,887 1,910 1,942 1,976 2,010 18,751

Academic Units - - - 6,116 5,644 6,130 6,200 6,273 6,348 6,427 6,535 6,647 6,763 63,082

Other (Auxiliaries, Medical Centers)4,5 - - - 3,739 3,450 3,748 3,790 3,835 3,881 3,929 3,995 4,063 4,134 38,562

Total - - - 11,672 10,772 11,700 11,833 11,972 12,116 12,265 12,472 12,685 12,907 120,395

Combined Net Cost with Soft Savings6

Net Costs 7,517 5,361 6,412 10,708 9,808 10,736 10,869 11,007 11,151 11,301 11,507 11,721 11,943 130,040

Soft Savings - - - (6,200) (6,938) (7,675) (8,413) (9,150) (9,888) (10,625) (11,363) (12,100) (12,100) (94,450)

Net Costs less Soft Savings 7,517 5,361 6,412 4,508 2,870 3,061 2,456 1,857 1,264 676 145 (379) (157) 35,590

Running Total7 7,517 12,878 19,290 23,798 26,668 29,729 32,185 34,042 35,306 35,982 36,126 35,747 35,590

1 March 2014 - June 20162 Assumes short-term borrowing through implementation phase

Long-term borrowing of $61.7 million, at 4.1%, assumed in July, 20163 Final cost allocation will be decided by the Provost4 Primarily Medical Centers5 The impact on debt service coverage for ICA and HFS is not significant. See attachment 5 for details6 Soft savings will likely take several years to materialize7 Does not reflect the impact of risk mitigation, which would result in substantial cost avoidance

ATTACHMENT 2F–4.2/202-14 2/13/14

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HR/P Proforma and Cost AllocationsCost Stress -- FY2014-2028 -- ($000)


2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2028 Total

Project CostsDebt Service2 23 270 575 1,989 2,727 15,898 15,898 15,898 15,898 15,898 15,898 15,898 15,898 15,898 15,898 164,568

Implementation Costs Not Financed 1,094 2,691 3,192 3,324 2,746 - - - - - - - - - - 13,046

Workday Solution Fees 6,400 2,400 2,400 2,400 2,400 3,328 3,461 3,600 3,744 3,893 4,049 4,211 4,379 4,555 4,737 55,956

Ongoing UW Support - - - - 840 1,679 1,679 1,679 1,679 1,679 1,729 1,781 1,835 1,890 1,946 18,416

Total Costs 7,517 5,361 6,166 7,713 8,712 20,905 21,039 21,177 21,321 21,471 21,677 21,891 22,113 22,343 22,582 251,987

Less: Hard Savings - - - - - (900) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (17,100)

Net Costs 7,517 5,361 6,166 7,713 8,712 20,005 19,239 19,377 19,521 19,671 19,877 20,091 20,313 20,543 20,782 234,887

Less: Initial Cost Paid by Provost (7,517) (5,361) (6,166) (7,713) (8,712) - - - - - - - - - - (35,470)

Provost Recapture - - - - - 1,773 1,773 1,773 1,773 1,773 1,773 1,773 1,773 1,773 1,773 17,735

Subtotal: Net Cost to Provost (7,517) (5,361) (6,166) (7,713) (8,712) 1,773 1,773 1,773 1,773 1,773 1,773 1,773 1,773 1,773 1,773 (17,735)

Total Allocations to Campus Units - - - - - 21,779 21,012 21,151 21,294 21,444 21,650 21,864 22,086 22,316 22,555 217,152


Central Units - - - - - 3,392 3,272 3,294 3,316 3,340 3,372 3,405 3,440 3,476 3,513 33,820

Academic Units - - - - - 11,411 11,009 11,082 11,157 11,236 11,344 11,456 11,572 11,693 11,818 113,779

Other (Auxiliaries, Medical Centers)4,5 - - - - - 6,976 6,730 6,774 6,821 6,869 6,935 7,003 7,074 7,148 7,224 69,553

Total - - - - - 21,779 21,012 21,151 21,294 21,444 21,650 21,864 22,086 22,316 22,555 217,152


Net Costs 7,517 5,361 6,166 7,713 8,712 20,005 19,239 19,377 19,521 19,671 19,877 20,091 20,313 20,543 20,782 234,887

Soft Savings - - - - - (6,200) (6,938) (7,675) (8,413) (9,150) (9,888) (10,625) (11,363) (12,100) (12,100) (94,450)

Net Costs less Soft Savings 7,517 5,361 6,166 7,713 8,712 13,805 12,301 11,702 11,109 10,521 9,989 9,466 8,950 8,443 8,682 140,437

Running Total7 7,517 12,878 19,044 26,757 35,470 49,275 61,576 73,278 84,387 94,907 104,897 114,362 123,312 131,755 140,437



ATTACHMENT 3F–4.3/202-14 2/13/14

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HR/P Proforma and Cost AllocationsRate Stress -- FY2014-2026 -- ($000)


2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 Total

Project Costs

Debt Service2 43 515 1,070 7,886 7,886 7,886 7,886 7,886 7,886 7,886 7,886 7,886 7,886 80,493

Implementation Costs Not Financed 1,094 2,691 2,612 - - - - - - - - - - 6,398

Workday Solution Fees 6,400 2,400 2,400 2,400 2,400 3,328 3,461 3,600 3,744 3,893 4,049 4,211 4,379 46,665

Ongoing UW Support - - 840 1,679 1,679 1,679 1,679 1,679 1,679 1,679 1,729 1,781 1,835 17,938

Total Costs 7,538 5,606 6,921 11,965 11,965 12,893 13,027 13,165 13,309 13,459 13,665 13,879 14,101 151,493

Less: Hard Savings - - - (900) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (1,800) (17,100)

Net Costs 7,538 5,606 6,921 11,065 10,165 11,093 11,227 11,365 11,509 11,659 11,865 12,079 12,301 134,393

Less: Initial Cost Paid by Provost (7,538) (5,606) (6,921) - - - - - - - - - - (20,065)

Provost Recapture - - - 1,003 1,003 1,003 1,003 1,003 1,003 1,003 1,003 1,003 1,003 10,033

Subtotal: Net Cost to Provost (7,538) (5,606) (6,921) 1,003 1,003 1,003 1,003 1,003 1,003 1,003 1,003 1,003 1,003 (10,033)

Total Allocations to Campus Units - - - 12,069 11,169 12,097 12,230 12,368 12,512 12,662 12,868 13,082 13,304 124,361


Central Units - - - 1,880 1,739 1,884 1,905 1,926 1,949 1,972 2,004 2,037 2,072 19,368

Academic Units - - - 6,324 5,852 6,338 6,408 6,480 6,556 6,634 6,742 6,854 6,971 65,160

Other (Auxiliaries, Medical Centers)4,5 - - - 3,866 3,577 3,875 3,917 3,962 4,008 4,056 4,122 4,190 4,261 39,832

Total - - - 12,069 11,169 12,097 12,230 12,368 12,512 12,662 12,868 13,082 13,304 124,361


Net Costs 7,538 5,606 6,921 11,065 10,165 11,093 11,227 11,365 11,509 11,659 11,865 12,079 12,301 134,393

Soft Savings - - - (6,200) (6,938) (7,675) (8,413) (9,150) (9,888) (10,625) (11,363) (12,100) (12,100) (94,450)

Net Costs less Soft Savings 7,538 5,606 6,921 4,865 3,228 3,418 2,814 2,215 1,622 1,034 502 (21) 201 39,943

Running Total7 7,538 13,144 20,065 24,931 28,159 31,577 34,391 36,606 38,228 39,262 39,764 39,743 39,943



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Impact on Large Borrowers - Debt Service Coverage

Fiscal Year 2016 2017 2018 2019 2020UW Medical Center Current Proforma 5.56 4.38 4.67 4.60 4.79UW Medical Center HR/P Base Case 5.56 4.07 4.34 4.27 4.45UW Medical Center HR/P Cost Stress 5.56 3.77 4.02 3.96 4.12UW Medical Center HR/P Rate Stress 5.56 4.05 4.33 4.26 4.43

Housing and Food Services Current Proforma 1.22 1.18 1.22 1.27 1.31Housing and Food Services HR/P Base Case 1.22 1.17 1.22 1.26 1.31Housing and Food Services HR/P Cost Stress 1.22 1.17 1.21 1.26 1.31Housing and Food Services HR/P Rate Stress 1.22 1.17 1.22 1.26 1.31

Intercollegiate Athletics Current Proforma 1.30 1.34 1.36 1.44 1.45Intercollegiate Athletics HR/P Base Case 1.30 1.33 1.36 1.43 1.45Intercollegiate Athletics HR/P Cost Stress 1.30 1.33 1.35 1.43 1.44Intercollegiate Athletics HR/P Rate Stress 1.30 1.33 1.36 1.43 1.45

* While the planning period for HRP extends beyond 2020, this time period is consistentwith the reports submitted semi-annually to the Board of Regents.

Debt Service Coverage

ATTACHMENT 4F–4.4/202-14 2/13/14

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F–5

F–5/202-14 2/13/14

VII. STANDING COMMITTEES B. Finance and Asset Management Committee Deferred Maintenance Update BACKGROUND The intent of this presentation is to provide information on the deferred maintenance program and status for the Seattle campus. Forty-nine percent of campus buildings are 50 years and older consisting of 12.1M gross square feet of space supported by maintenance and operations functions. As current maintenance requirements go unmet due to funding shortfalls, these requirements are added to the deferred maintenance backlog which is comprised of two categories: Backlog of Maintenance and Repair (BMAR) and Facilities Improvements (FACIMP). BMAR is defined as projects necessary to safely maintain facilities and related infrastructure for the current use. FACIMP is defined as projects that are primarily program driven which intentionally modify systems and improve facility performance beyond the original design intent (or capacity) specifically to meet program needs. The current deferred maintenance requirement for buildings is approximately $1.44B with approximately 55% in BMAR and 45% comprised of FACIMP. Together these backlogs define UW, Seattle’s deferred renewal. Building conditions are evaluated every biennium on a 1 (superior) to 5 (marginally functional) scale and reported to the Office of Financial Management. Due to limited funding for major capital investments, level 1(superior) space supporting research and academics has decreased by 6%. However, through a deliberate maintenance strategy focusing on buildings that support research and academic level 4 (limited functionality) space, there has been a 34% increase in level 3 (fair) space since 2008. Attachments 1. Facilities Services Deferred Maintenance Update 2. Facilities Services Deferred Maintenance Update – Addendum

FACILITIES SERVICES

Deferred Maintenance Update

Charles Kennedy

Associate Vice President Facilities Services

ATTACHMENT 1F–5.1/202-14 2/13/14

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FACILITIES SERVICES

Agenda

Seattle Campus Facts

Building Age by Renovation Date

Square Footage (%) over 25 Years Old (Renovation Age)

Major Building Renovations

Campus Maintenance GSF per FTE

Building Envelope Work Order Completion Rate (Lean Implementation)

Preventive Maintenance (PM) Work Order Phase Completion

Deferred Maintenance BMAR

Deferred Maintenance Backlog

Deferred Maintenance Annual Investment Scenarios

Deferred Maintenance Strategy

Research & Academic Building Conditions

Research & Academic Building Work Requests

Deferred Maintenance Repair Sample Pictures

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FACILITIES SERVICES

Seattle Campus Facts

• 680 acres

• Approximately 22 miles of public roads, drives, streets and pathways

• Approximately 12 million gross square feet of building maintenance and operations

• Over 8 miles walk-through utility tunnels used to distribute power, steam, chilled water, communications and other utilities to campus

• 213 buildings Facilities Services maintained

• Current average building age by renovation date: 49% over 50 years old

• Minor Capital 10 years average biennial funding: $29.6 million

• Deferred Maintenance Backlog = BMAR + FACIMP – BMAR (Building Maintenance and Repair): Projects necessary to safely maintain facilities and

related infrastructure for the current use

– FACIMP (Facilities Improvements): Projects that are primarily program driven which intentionally modify systems and improve facility performance beyond the original design intent (or capacity) specifically to meet program needs

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FACILITIES SERVICES

Building Age by Renovation Date

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FACILITIES SERVICES

Square Footage (%) over 25 Years Old (Renovation Age)

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FACILITIES SERVICES

Major Building Renovations

CLARK PARRINGTON ARCHITECTURE SAVERY ROBERTS SUZZALLO MARY GATES GUGGENHEIM 31K GSF 54K GSF 47K GSF 102K GSF 32K GSF 318K GSF 183K GSF 56K GSF

1896 1902 1909 1917 1921 1926 1928 1929

2009 1996 2007 2009 1987 2002 2000 2007$17M $9.5M $24M $62M $6.3M $47M $48M $28M

JOHNSON JONES PLAYHOUSE HALL HEALTH HUB CONIBEAR MAG H.S.C./H ODEGAARD 122K GSF 10K GSF 58K GSF 260K GSF 48K GSF 211K GSF 166K GSF

1930 1931 1936 1949 1949 1950 1972

2005 2008 2012 2012 2005 2008 2013$53M $10M $8M $118M $16M $38M $17M

Construction Date

Renovation Date & Amount

Construction Date

Renovation Date & Amount

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FACILITIES SERVICES

Campus Maintenance GSF per FTE (GOF/DOF)

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FACILITIES SERVICES

4% 15%

42%

73%

64%

73%

92%

96%

0%

20%

40%

60%

80%

100%

0%

20%

40%

60%

80%

100%

FY2010 FY2011 FY2012 FY2013

Building Envelope Work Order Completion Rate (Lean Implementation)

Preventative Maintenance Corrective Maintenance

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FACILITIES SERVICES

Preventative Maintenance (PM) Work Order Phase Completion 7/1/2012 - 6/30/2013

F–5.1/202-14 2/13/14

Page 9 of 17

FACILITIES SERVICES

Deferred Maintenance BMAR

BMAR $/GSF Sightlines $/GSF

F–5.1/202-14 2/13/14

Page 10 of 17

FACILITIES SERVICES

Deferred Maintenance Backlog

BMAR $/GSF Sightlines $/GSF Total Backlog $/GSF

F–5.1/202-14 2/13/14

Page 11 of 17

FACILITIES SERVICES

Deferred Maintenance Annual Investment Scenarios

Note: Rate of Inflation: 3% GSF Remains Constant

F–5.1/202-14 2/13/14

Page 12 of 17

FACILITIES SERVICES

Deferred Maintenance Strategy

• Evaluate building conditions for state buildings annually, by Superior, Adequate, Fair, Limited Functionality, and Marginally Functional

• Prioritize work requests on 1 – 7 scale – 1, Can Wait, Little or no impact issue

– 2, Can Wait, Low impact issue (normal building)

– 3, Can Wait, Moderate impact issue

– 4, Needed, Significant impact issue

– 5, Needed, High impact issue

– 6, Urgent, Very high impact issue

– 7, Urgent, Extremely high impact issue

• Focus Minor Capital resources on Urgent work requests, improve building conditions on “Fair” and “Limited Functionality” buildings

• Utilize Operating resources primarily in routine maintenance of “Superior”, “Adequate” and “Fair” buildings

F–5.1/202-14 2/13/14

Page 13 of 17

FACILITIES SERVICES

Research & Academic Building Conditions

F–5.1/202-14 2/13/14

Page 14 of 17

FACILITIES SERVICES

Research & Academic Building Work Requests

Building Condition 5 – Marginally Functional Building Condition 4 – Limited Functionality

Building Building Condition Total $ (000's) Priority 7 Work Request Total Work RequestsGuthrie Annex II 5 138 4 11

Lewis Hall 5 12,482 3 53

Sieg Hall 5 22,329 1 35

Guthrie Annex III 5 38 1 4

Guthrie Annex I 5 212 0 9

Guthrie Annex IV 5 10 0 4

MHSC B-Wing 4 50,255 15 55

Hutchinson Hall 4 25,435 12 83

Anderson Hall 4 20,607 9 30

Harris Hydraulics 4 12,296 9 25

Denny Hall 4 42,775 7 43

MHSC C-Wing 4 23,953 6 52

Smith Hall 4 42,095 5 56

Miller Hall 4 44,743 4 42

Portage Bay Building 4 39,196 2 60

Thomson Hall 4 24,482 2 52

Mackenzie Hall 4 5,272 2 25

Eagleson Hall 4 8,224 1 34

ECC Theater 4 839 1 28

Gilman Building 4 3,199 0 16

MHSC F Wing 4 509 0 1

F–5.1/202-14 2/13/14

Page 15 of 17

FACILITIES SERVICES

Deferred Maintenance Repairs Minor Capital Bien13-15 Projects

Building Envelope Odegaard Undergraduate Library - Masonry Repairs

Building Systems Magnuson Health Sciences Center - BB

Tower Hot Water Heating Bundles

Building Systems Magnuson Health Sciences Center D, E & F Wings

Variable Frequency Drive Fan Improvements

Building Envelope Anderson Hall – Envelope Repair

F–5.1/202-14 2/13/14

Page 16 of 17

FACILITIES SERVICES

Site Work Pend Oreille Road NE

Roadway, Pathway & Trail Paving, Repair & Improvements

Conveying Systems Plant Services Building Lift

Replacement

Grounds Several Locations

Building Sewer Systems & Utility Renewal/Replacement

Deferred Maintenance Repairs Minor Capital Bien13-15 Projects

Interiors Plant Operations Building

ACM Flooring Abatement &

Replacement

F–5.1/202-14 2/13/14

Page 17 of 17

FACILITIES SERVICES

Deferred Maintenance Update

Charles Kennedy Associate Vice President

Facilities Services

(Addendum)

ATTACHMENT 2F–5.2/202-14 2/13/14

Page 1 of 6

FACILITIES SERVICES

• Maintenance

• GSF served (including UW Tower): 12 million

• FY2014 operating budget: $13 million

• Full-time equivalents (FTEs): 162

• Grounds

• Area served: 400 acres

• FY2014 operating budget: $3.3 million


• Campus Operations

• GSF served (including UW Tower): 12 million

• FY2014 operating budget: $7.3 million


• Custodial Services

• GSF served: 11.0 million

• FY2014 operating budget: $13 million


• Fleet Services

• Total vehicles: 705

Facilities Services Core Functions

F–5.2/202-14 2/13/14

Page 2 of 6F–5.2/202-14 2/13/14

Page 2 of 6

FACILITIES SERVICES

Facilities Services 2013-15 Biennial Budgets Total: $332M

GOF/DOF $106.1M

32%

Self-Sustaining $103.2M

31%

Fixed Cost $100.3M

30%

Grants $22.4M

7%

F–5.2/202-14 2/13/14

Page 3 of 6F–5.2/202-14 2/13/14

Page 3 of 6

FACILITIES SERVICES

2011-13 Biennial Gross Expenditures by Fund Type Total: $308.2M

GOF/DOF $103.8M

34%

Self-Sustaining $95.6M

31%

Fixed Cost $92.9M

30%

Grants $15.9M

5%

F–5.2/202-14 2/13/14

Page 4 of 6F–5.2/202-14 2/13/14

Page 4 of 6

FACILITIES SERVICES

2011- 13 Biennial Expenditures by Account Code

Salaries $61.1M 58.8%

Benefits $17.6M 17.0%

Professional and Other Contract

Services $15.9M 15.3%

Vehicle Rental/Travel

$2.5M 2.4%

Supplies/Materials/Equipment

$6.7M 6.5%

GOF/DOF

Salaries $18.7M 19.6%

Benefits $6.2M 6.5% Professional and

Other Contract Services $66.7M 69.8%

Vehicle Rental/Travel

$1.3M 1.3%


$1.0M 1.0%

Depreciation $1.7M 1.8%

Self-Sustaining

Administrative $1.2M 7.6%

Construction $12.4M 78.0%

Project Management

$0.9M 5.7%

Research $1.1M 6.9%

Other Costs $0.3M 1.8%

Grants

Salaries $4.5M 4.8%

Benefits $1.5M 1.6%

Professional and Other Contract Services $84.8 91.3%


$2.1M 2.3%

Fixed Cost

F–5.2/202-14 2/13/14

Page 5 of 6F–5.2/202-14 2/13/14

Page 5 of 6

FACILITIES SERVICES

Minor Capital 2011-13 Expenditure Total: $30.5M

$9.6M Building

Envelope 31%

$11.9M Building

Systems 39%

$3.6M Interior / Security / Conveying

Systems 12%

$4.9M Utilities /

Grounds 16%

$0.5M ADA 2%

F–5.2/202-14 2/13/14

Page 6 of 6F–5.2/202-14 2/13/14

Page 6 of 6

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F-5 2/13/14

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Building Key 1 - Guthrie Annex II 2 - Lewis Hall 3 - Sieg Hall 4 - Guthrie Annex III 5 - Guthrie Annex I 6 - Guthrie Annex IV 7 - MHSC B-Wing 8 - Hutchinson Hall 9 - Anderson Hall 10 - Harris Hydraulics 11 - Denny Hall 12 - MHSC C-Wing 13 - Smith Hall 14 - Miller Hall 15 - Portage Bay Building 16 - Thomson Hall 17 - Mackenzie Hall 18 - Eagleson Hall 19 - ECC Theater 20 - Gilman Building 21 - MHSC F-Wing

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GILMAN BUILDING IS OFF CAMPUS

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Documents

TO: Members of the Board of Regents Ex officio ......University community was saddened by her death on January 26. On behalf of the Regents, he extended sympathies to Debra’s family