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CHAPTER 4: PROFESSIONAL STAFF PERSONNEL POLICIES AND PROCEDURESThese policies and procedures are established pursuant to Section 6-301(M) of the Arizona Board of Regents Policy Manual (ABOR-PM). They are intended for use in conjunction with the ABOR Conditions of Professional Service and supersede all previous professional personnel policies and procedures.See Definitions. Actions concerning personnel matters affecting professional personnel shall be taken in accordance with this chapter and the ABOR-PM 6-301 et seq., Conditions of Professional Service, as amended. 4.03 DUTIES AND RESPONSIBILITIES OF PROFESSIONAL PERSONNEL Duties of professional personnel shall consist of those responsibilities assigned by the President or by an appropriate administrator designated by the President. All duties and responsibilities shall be carried out under the direction of the President or the designated administrator. Duties and responsibilities shall be related to the expertise and competence of professional personnel. Within the parameters of their assigned responsibilities, professional personnel shall have the privileges and responsibilities expressed in the ABOR-approved statement contained in the Notice of Appointment. Performance of assigned duties and responsibilities by professional personnel shall be subject to evaluation by an appropriate administrator. Performance shall be considered in decisions relating to compensation, retention, promotion, continuing status, suspension, termination, or a decision not to renew an appointment. 4.04 UNLAWFUL DISCRIMINATION; REVIEW OF DECISIONS INVOLVING PERSONNEL MATTERS No action involving personnel matters shall be based on unlawful discrimination or other unconstitutional grounds. A professional staff member who believes that a personnel action has infringed this policy may request that the Provost or the Office of Institutional Equity investigate the matter and arrive at a resolution. If the Provost's ruling is unacceptable to the staff member requesting the investigation, then the individual may request a formal hearing before the Committee on Academic Freedom and Tenure (CAFT) as provided in ABOR-PM 6-301(L)(1) and in the following paragraphs. When a complaint is filed with the Provost's Office, an Office of Institutional Equity or other appropriate investigation shall be conducted and a recommendation shall be made to the Provost that the matter be closed or that further action be taken to resolve the matter. The Provost may take any lawful action deemed appropriate to resolve the matter. The Provost's decision shall be final and is not subject to further administrative review. In the event the complaint is considered by CAFT, the Committee shall be governed by the rules and procedures outlined in the Constitution and By-Laws of the General Faculty of The University of Arizona concerning the Committee on Academic Freedom and Tenure and in ABOR-PM 6-201(M). These rules and procedures have been adopted by the President in satisfaction of the requirements set out in ABOR-PM 6-301(L)(1). Wherever notice is called for herein, it shall be given in writing either by delivering the notice personally to the individual named, or by depositing the notice in the United States mail, first class, postage prepaid, addressed to the individual named at his or her current address as reflected in the records of the Department of Human Resources.
4.06 APPOINTMENTS
Each professional is appointed subject to the duties and responsibilities detailed in the ABOR-PM 6-301, et seq. and this Handbook, and is entitled to all the rights and privileges set forth therein.
Appointments become effective when approved by the President. Appointment procedures are set
forth in the Human Resources online site as follows:
All professional personnel shall receive a Notice of Appointment for their initial employment, i.e., for a fiscal year beginning July 1 or for an academic year beginning on or about August 15. Appointments and renewals of appointments shall be for the period designated in the Notice of Appointment or Notice of Reappointment, but in no event shall the appointment be longer than one fiscal year. No oral or written communication made prior to or after the execution of a Notice of Appointment that is inconsistent or in conflict with the Conditions of Professional Service (ABOR-PM 6-301, as amended) shall become a part of the conditions of employment. The type of professional appointment involved shall be determined by the President and shall be indicated on the Notice of Appointment by use of the designation "continuing-eligible," "continuing," or "year-to-year." Only professional personnel who are employed full-time and whose positions are funded by state appropriations or other sources of funds which are recognized by ABOR as the equivalent of state appropriations are eligible to be designated as continuing-eligible or as continuing. Professional personnel who hold part-time appointments or who are designated as year-to-year are not eligible for continuing status. The appointment of any professional, the performance of whose duties and responsibilities require a license or certification from the State of Arizona, is conditional upon the individual's obtaining and maintaining the license or certification. Appointments dependent for continuation on funding from a source other than state appropriations shall so state in the Notice of Appointment or Reappointment and may terminate when the funding is no longer available. Professional personnel appointed to positions supported by nonstate funds may be designated by contract as having other than the regular conditions relative to the time period for notice of nonrenewal of appointment and fringe benefits.
4.07 CONFIDENTIALITY OF PEER REVIEW PROCESS
Deliberations, evaluations, and recommendations of peer review committees are confidential, as are any evaluations or recommendations received by them. However, a summary of the results of any peer evaluation shall be communicated to the individual evaluated upon request when the results of a performance evaluation are reviewed with the individual by his or her administrative head or supervisor.
4.08 ANNUAL PERFORMANCE REVIEWS
4.08.01 General Annual performance reviews follow specific procedures outlined in Section 4.08. For continuing-eligible professionals, the mandatory successive renewal process, which occurs in the third and sixth years, follows procedures outlined in Section 4.10.03. Annual performance reviews are intended:
The evaluation of professional personnel performance shall be based on established written criteria (see Subsection 4.08.02) and shall address, at a minimum, consideration of the professional's (1) past and present performance, (2) professional progress, and (3) future potential and expectations, based upon a written agreement between the professional and the immediate administrative head or supervisor, that fits within campus mission and guidelines. The criteria shall take into account the particular objectives of the unit and the role of professionals within the unit. Each annual performance review shall include the past calendar year of the professional's performance. For professionals with academic assignments, the review period may include the past three to five years of performance, with substantial emphasis on the most recent year for evaluation of teaching. The time period shall be determined by the unit. The review should evaluate the professional's performance in his or her unit consistent with that unit's responsibilities. Every annual review of teaching will consist of peer and student input, including student evaluations of classroom performance in all classes, and other expressions of teaching performance. The immediate administrative head or supervisor will meet with the professional no later than a date established by the unit, (See Section 4.08.04), to discuss the evaluation and expectations for the next annual review. Prior to this meeting the head or supervisor will provide the professional with a preliminary written evaluation. If the professional so requests, the discussion at this meeting shall include a summary of the results of the evaluation conducted by the peer review committee, in accordance with Section 4.07. The professional may provide comments as part of the official record. When an individual holds a dual appointment involving administrative assignments in addition to assignments as a professional, the performance evaluation shall address contributions under both assignments (See Subsection 5.08.01).
4.08.02 Criteria
Depending upon assigned responsibilities, criteria for annual performance may consider teaching effectiveness, research and scholarly growth, creative activity, academic professional activity, and service and outreach. Evaluation criteria may provide for recognition of long-term activities and outcomes. Concentration of effort in one or more of the duties and responsibilities of a professional during a particular year is permissible, and may even be encouraged. Guidelines and evaluation procedures within departments shall be flexible enough to meet the particular objectives of the department without undermining the uniformity of the whole system. When teaching effectiveness is evaluated, a systematic assessment of both student and peer opinion shall constitute one component of the evaluation. Annual performance reviews may be taken into account as part of the promotion and continuing status process, but such evaluations are not determinative on promotion and continuing status issues. Satisfactory ratings in the annual performance review do not necessarily indicate successful progress toward promotion and continuing status. Progress towards promotion or continuing status requires excellence in performance over a period of years in all the duties and responsibilities assigned to the individual, and may include evaluation by external referees, which is not a part of the annual review process. Criteria and decisions with regard to promotion and continuing status are determined under Section 4.09 and Section 4.10.
4.08.03 Procedures
Each professional's performance shall be evaluated in writing on a scheduled basis at least once every 12 months. Evaluations shall be shared with the professional involved by a date established within the unit. The professional may add written comments to the evaluation before signing it. The signed evaluation shall become a part of the professional's departmental or other administrative unit records.
4.08.05 Appeals of Annual Performance Reviews Such requests for review must be made in writing to the administrative head of the next level within 30 days after the professional receives the written evaluation and must state:
After the initial year of service, a professional employee may be recommended for promotion during any subsequent year on the basis of excellent performance. Consideration for promotion may be initiated by the professional or the immediate supervisor. The promotion must be to a previously established position or rank, the responsibilities of which have been defined by the department, college, or other administrative unit and approved by the Provost. A promotion recommendation should originate with the immediate administrative supervisor and be reviewed at all appropriate administrative levels through the Office of the Provost. Peer reviews by the Standing Committees on Continuing Status (Subsection 4.10.01) shall be part of the promotion review process for academic professionals at the college or division level and, if possible, at the departmental level. Peer review shall be conducted only by professionals holding rank superior to the rank of the candidate being considered. Peer review may be sought outside the University. Promotion normally is effective at the beginning of the fiscal or academic year, as appropriate, following recommendation and approval. The Provost shall decide whether an individual will be promoted.
4.10.01 Standing Committees on Continuing Status
Standing committees shall normally meet without the administrator whom they advise.
4.10.02 Criteria
Department or other administrative unit heads and the unit standing advisory committee should meet with the continuing-eligible professionals at least once a year to review continuing-eligibility criteria and to answer questions. Continuing-eligible professionals are expected to familiarize themselves with the continuing-eligibility criteria applicable to their units. Continuing-eligible professionals experiencing or anticipating difficulties in meeting applicable continuing-eligibility requirements should discuss the matter with their immediate administrative head and unit standing advisory committee at the earliest date possible.
4.10.03 Limitation on Continuing-eligible Service An individual while holding a continuing-eligible appointment at The University of Arizona, may request a one-year "parental delay" of the continuing status decision such that each of the remaining third-year and sixth-year or continuing-status reviews will take place one year later than would have occurred without such a delay. Such a delay or connected set of delays will be granted up to twice during the individual's continuing-eligible appointment period, if the appointee becomes a parent by the birth or adoption of a child while holding such a continuing-eligible appointment, and if certain eligibility requirements are met. An individual granted a parental delay shall not be subject to additional scholarship or service requirements, above and beyond those normally required, in order to qualify for retention or continuing status. If both spouses hold continuing-eligible appointments at the University, and are otherwise eligible, then both shall be granted a parental delay upon request. Eligibility requirements for receiving a parental delay include providing a written notice to the department head as early as possible and in no case later than one year subsequent to the date of birth or adoption of the new child. In order to be eligible for a delay of the third-year or a continuing-status review, the birth or adoption date must have occurred no later than the summer (or semester) immediately prior to the semester in which the scheduled department-level review is to take place. The request for a delay of a given review must be submitted prior to departmental consideration of the candidate under review. The request for parental delay must be approved by the appropriate department head or director, dean, and the Provost. Before the end of their third and sixth (or as adjusted due to a parental delay) years of service, continuing-eligible professionals shall be informed by their department head that they are being recommended for: (a) successive reappointments for the next three years; (b) continuing status, with or without promotion; (c) nonrenewal; or (d) a terminal year appointment. This does not preclude consideration for promotion at other times, nor does it preclude a decision of nonrenewal prior to or at the next triennial review. Annual reappointments in rank for each year up to and including year six (year seven if a parental delay has been utilized) may be made without review at the college and university levels, but they must be based on the annual evaluations made by the department standing committee on continuing status and by the department head. The continuing-eligible professional is to receive written copies of these evaluation reports, which shall include reference to any problem areas. In year six (or seven if a parental delay has been utilized), a continuing-eligible professional shall be reviewed through the normal review process at the department, college and university levels. Continuing-eligible professionals may be considered and recommended for continuing status during any year of service, but they must be considered during their sixth (seventh if a parental delay has been utilized) year of service if, by then, continuing status has not been awarded.
4.10.04 Attainment of Continuing Status
4.10.05 Assurance of Appointment
4.10.06 Legal Effect of Continuing Status
4.10.07 Effect of Retirement, Resignation and Part-time Employment on Continuing Status
4.10.08 Effect of Adoption of Conditions of Professional Service on Prior Status
Professionals who, prior to adoption of these Conditions, attained continuing status in one position and who subsequently accept employment in a different position which is subject to either the Conditions of Professional Service (ABOR-PM 6-301, et seq.) or Administrative Service (ABOR-PM 6-101, et seq.) and which is designated year-to-year, shall not lose continuing status as a professional except by resignation, retirement, release due to financial emergency, reorganization, or dismissal for just cause.
4.10.09 Effect of Service in Noncontinuing Status Positions on Continuing Status Attained
After Adoption of Conditions of Professional Service
4.11 RULES AND PROCEDURES REGARDING NONRENEWAL AND CONTINUING STATUS OF CONTINUING-ELIGIBLE PROFESSIONAL PERSONNEL This section applies only to continuing-eligible professional personnel as described in Definitions.
4.11.01 Notice of Consideration for Nonrenewal or Continuing Status
4.11.02 Decisions on Nonrenewal and Continuing Status
The Provost must approve all requests for continuing status. If not approved, the professional will be given a terminal year appointment. Professional personnel employed under a year-to-year appointment shall have no expectation of employment beyond the end of the current appointment period and are not eligible for continuing status. There is no limit to the number of times such individuals may be renewed. Such appointments may be for a period of less than one year. An individual employed under a year-to-year appointment may be employed subsequently under a continuing-eligible appointment. In such event, the extent to which prior service under year-to-year appointments is considered in any review for continuing status shall be determined by the Provost upon recommendation of the dean or director and, where applicable, the department or to renew. The dean's or director's decision shall be final in all cases and is not subject to further administrative review. 4.13 DECISION ON NONRENEWAL OF YEAR-TO-YEAR PROFESSIONALS In a college or division with multiple departments or units, any decision not to renew a year-to-year professional shall be initiated by a recommendation of the department head or other immediate supervisor. The recommendation not to renew shall be reviewed by the dean or director of the college or division. The dean or director shall make any decision not to renew the professional. In a single unit college or division, the dean or director shall initiate and make any decision not to renew. The dean’s or director’s decision shall be final in all cases and is not subject to further administrative review. Decisions to renew a continuing-eligible or year-to-year professional shall be made by the President upon recommendation of the Provost and dean or division head and, where applicable, the department or unit head. All year-to-year professional personnel whose positions are funded by state appropriations are entitled to no less than 90 days notice of nonrenewal. Failure of the University to provide timely notice of nonrenewal to a state funded professional shall have the limited effect of extending the end of the appointment period to 90 days following the giving of notice. Professional personnel whose Notice of Appointment or Notice of Reappointment reflects that they are non-state funded are subject to termination on 30 days notice when such funding is no longer available; otherwise, they are entitled to the same notice as state funded year-to-year professionals.
In cases where the Provost has decided not to renew a continuing-eligible professional or not to grant promotion or continuing status, the professional may appeal the decision of the Provost to the President. Such appeals must be filed in writing with the Office of the President within 30 days after notice of the Provost's decision. The President's decision shall be issued in writing and forwarded to the professional involved, with copies to the Provost and the appropriate dean or director and department or unit head within 90 days of notice of appeal. The President's review shall be limited to the record compiled under Section 4.09 or Subsection 4.11.02, as appropriate. The President's decision is final unless, under the terms of Section 4.04, the Committee on Academic Freedom and Tenure subsequently recommends that further review or action be taken by the President. In that case, the President may direct that additional review or action be taken; otherwise, the matter is not subject to further review. At the time a recommendation regarding renewal, nonrenewal, promotion, or continuing status is transmitted by the department or unit head, dean, or director to the next administrative level, the professional involved should be advised in writing of the nature of the recommendation. The professional is not entitled to a statement of the reasons for the recommendation. 4.18 REASONS FOR NONRENEWAL OR DENIAL OF PROMOTION OR CONTINUING STATUS A professional who is not promoted or who does not acquire continuing status or whose continuing-eligible or year-to-year appointment is not renewed shall not be entitled to a statement of reasons for that action. The denial of promotion, continuing status, or renewal, however, need not be construed as due to failure or poor performance on the candidate's part. Considerations such as the need for a different area of specialization or for new emphases, the lack of a continuing position, the need to shift a position or resources to another department or unit, or the opportunity for a more vigorous program may dictate that the individual not be renewed, promoted, or granted continuing status. Professionals who intend to resign at the expiration of their appointment shall notify their administrative head in writing of their intention as early as possible.
The dismissal or suspension of professional employees shall be governed by ABOR-PM 6-301(I)(2) and ABOR-PM 6-301(K). The Committee on Conciliation established under the Constitution and By-Laws of the General Faculty of The University of Arizona shall constitute the conciliation committee required under ABOR-PM 6-301(K)(3) and the Committee on Academic Freedom and Tenure established under the Constitution and By-Laws of the General Faculty of The University of Arizona shall constitute the committee to conduct formal hearings required under ABOR-PM 6-301(K)(4). The rules and procedures provided in the Constitution and By-Laws for the respective committees shall govern the conduct of the hearings except where specific provisions of ABOR-PM 6-301(K) provide otherwise.
4.21 RELEASE OF PROFESSIONAL PERSONNEL
4.21.01 Notice to Provost's Office
4.21.02 Release Due to Institutional Financial Emergency
A professional released due to institutional financial emergency shall be accorded the following rights and privileges:
If a reorganization is necessary, a reorganization plan shall be established under ABOR and University procedures. Release of professional employees with continuing status at the University may occur when a reorganization is deemed necessary due to a budget or program decision entailing program discontinuance, curtailment, modification, or redirection, and when such a reorganization plan is approved by the ABOR. Upon occurrence of a release, the professional personnel file shall reflect that "the release was due to reorganization reasons." If the reorganization plan under consideration requires the release of professional employees, the following procedures shall be followed:
A professional released for reorganization shall be accorded the following rights and privileges:
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