5.01 DEFINITIONS

See Definitions.

5.02 SCOPE OF CHAPTER

Actions concerning personnel matters affecting administrative personnel shall be made in accordance with this chapter and the ABOR-PM 6-101 et seq., Conditions of Administrative Service, as amended.

5.03 DUTIES AND RESPONSIBILITIES

Duties of administrative personnel shall consist of those responsibilities assigned by the President. All duties and responsibilities shall be carried out under the direction of the President, or a designated administrator, who may alter or amend assigned duties or change working titles at any time. Performance of assigned duties and responsibilities by administrative personnel shall be subject to evaluation by the President. Performance shall be considered in decisions relating to compensation and personnel matters.

5.04 PROHIBITED CONSIDERATIONS: REVIEW OF DECISIONS INVOLVING PERSONNEL MATTERS

No action involving personnel matters shall be based on unlawful discrimination or other unconstitutional grounds. Any administrator who believes that an action involving a personnel matter is a result of unlawful discrimination or was based on other unconstitutional grounds may file a complaint with the Provost's Office. The complaint shall be investigated by the Office of Institutional Equity or another appropriate office or person designated by the Provost 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.

5.05 NOTICE

Wherever notice is called for herein, it shall be made 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.

5.06 APPOINTMENTS
Rev. 1/2000; 9/2002

Each administrator is appointed subject to the duties and responsibilities detailed in the ABOR-PM 6-101, et seq. and this Handbook, and is entitled to all the rights and privileges set forth herein. Appointment procedures are set forth in the Human Resources online site as follows:

• Recruitment Policy
  http://www.hr.arizona.edu/09_rel/policies/pp116var.php

Appointments may become effective when approved by the President, but require approval or ratification by the ABOR. Except in extraordinary circumstances, the President shall obtain the approval of the ABOR prior to the effective date of an administrative appointment.

All administrators shall receive each year a Notice of Appointment or a Notice of Reappointment for an academic year beginning on or about August 15 or for a fiscal year beginning July 1, or a portion thereof. Appointments and reappointments shall not be for more than one fiscal year nor extend beyond June 30 of any 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 Administrative Service (ABOR-PM 6-101, et seq.) shall become a part of the conditions of employment.

Appointment to administrative service carries with it no assurance of reappointment. Administrative appointments are not eligible for tenure or continuing status. The decision of the President not to renew an administrative appointment is final.

Administrators whose compensation is funded from a source other than state appropriations shall have the words "nonstate funded" in their Notice of Appointment thereby indicating their funding status. Such appointments may terminate when the funding is no longer available.

5.07 COMPENSATION

All administrative positions are assigned salary ranges by the ABOR. The President may set individual salaries within the salary ranges.

When an administrator returns to or changes to an appointment as a faculty member or a professional, a new salary shall be determined by the President on the same basis as all other salaries. In no case shall the administrator have any expectation that an academic year salary shall be set by dividing the fiscal year salary for the administrator by 1.2 or by any other numerical factor. The President shall consider the individual's rank, time in that rank, prior achievements, potential for performance, and salaries of peers in establishing the individual's new salary.

Salary adjustments are based on performance. Performance shall be evaluated as provided in Section 5.08. Decisions relating to compensation, including merit increases or reductions in salary, are not subject to review or appeal except as provided in Section 5.14 and Chapter 6.

5.08 ANNUAL PERFORMANCE REVIEW
Rev. 7/97

5.08.01 General
Administrative personnel of The University of Arizona are evaluated with respect to all personnel matters, including equal employment opportunity and affirmative action efforts, on the basis of excellence in performance and the promise of continued excellence in carrying out their duties and responsibilities.

The performance review shall be conducted by the immediate administrative supervisor. It will include, where applicable, peer review, and input from those directly supervised. Each performance review shall contain, at a minimum, a discussion of the administrator's (1) past and present performance with respect to assigned duties, (2) professional development, and (3) future potential and expectations.

In cases of appointments of less than 100% administrative assignment, teaching, research and creative activity, and service and outreach shall be evaluated according to the same process for faculty in the unit where the administrator performs those activities. Performance ratings for these assignments shall be given proportionate weight in the total evaluation. Appeals of ratings of the academic portion of an administrator's assignment shall be conducted according to procedures outlined in Section 3.10.06. In cases where the academic portion of an administrator's assignment is 25% or less, appeals shall be made to the next administrative level, according to procedures outlined in Section 5.08.04.

Annual performance reviews are intended:

1. To involve administrators in the formulation of objectives and goals related to their departments or divisions and their professional development;
2. To assess actual performance and accomplishments in the areas of each administrator's responsibility;
3. To promote the effectiveness of administrators through articulation of the types of contributions they might make to the University community that will lead to greater professional development, recognition and rewards;
4. To provide written records of administrators performance to support personnel decisions;
5. To recognize and maximize the special talents, capabilities and achievements of administrators;
6. To identify weaknesses that should be addressed during the next evaluation period; and
7. To recognize efforts towards affirmative action goals in the hiring and retention of staff, faculty, and professionals, and in the recruiting of students.

5.08.02 Procedures
The following sequence shall be used for the annual performance review of administrators:

1. The administrative head of the college or administrative unit develops written criteria to express performance expectations.
2. The administrative head evaluates the administrator on the basis of written evaluation criteria and prepares a written assessment of the administrator's performance, including an evaluation of teaching effectiveness, research and scholarly growth, creative activity, service and outreach responsibilities when applicable.
3. The administrative head discusses the evaluation of past performance and future expectations with the administrator.
4. The administrator adds comments as desired to the written evaluation before he or she signs the document and returns it.

5.08.04 Appeals of Annual Performance Reviews
Administrators who disagree with their evaluations may request that they be reviewed at the next administrative level. Such requests for review must be presented in writing to the administrative head at the next level within 30 days after receipt of the written record of the performance evaluation. The request must state:

1. The points of disagreement;
2. The specific findings to be reviewed;
3. Facts in support of the request; and
4. Corrective action sought.

In cases of more than 25% academic assignment, disagreement with the teaching and/or research component of the evaluation shall be appealed according to the same procedures outlined for faculty in Section 3.10.06.

5.09 GUIDELINES FOR FIVE-YEAR REVIEWS OF DEANS AND DEPARTMENT HEADS
Rev. 1/2000; 5/2004

5.09.01 General
Five-year reviews of deans and department heads provide a broader basis for personnel evaluations regarding past performance and an opportunity to assess long-range goals and objectives. Such reviews shall appropriately take into consideration the progress of the college or department over the period reviewed, and the role of the dean or department head in this development. These reviews are to focus on the performance of the individual administrator and are distinct from academic program reviews.

The policy and procedures described here may not be modified by colleges or departments. For purposes of clarification, "general faculty" herein refers to members of the general faculty as defined in the "Constitution of the General Faculty of The University of Arizona," Article 2.

5.09.02 Initiation of Reviews
Deans shall initiate a comprehensive review of each department head in their colleges, and the Provost shall initiate a comprehensive review of the dean of each college at intervals of no greater than five years. These reviews should be scheduled so as not unduly to burden or disrupt ongoing activities by having an excessive number of reviews at the same time.

The administrator to be reviewed shall be notified in writing no later than the beginning of the appointment period in which the review is to take place. Each administrator shall prepare a written summary of personal goals, accomplishments, and other activities in office for the period to be reviewed. This summary shall be delivered to the initiating administrator within 45 days of the notice of review. The initiating administrator shall provide a copy of the written summary to the review committee at the inception of the review process. Reviews should be conducted in a timely manner. The administrator reviewed is encouraged to share the results of what he/she learned from the review with all personnel in his/her unit, with special emphasis on what was learned in relation to five-year goals.

5.09.03 Extraordinary Reviews
Under unusual circumstances, the faculty of a college or department may wish to initiate a review of a dean or department head prior to the next scheduled periodic review. In such a situation, the following will apply:

1. If a petition calling for an extraordinary review of a dean or department head, signed by one-half or more of the general faculty of the college or department is presented to the Provost or dean, the Provost or dean shall initiate a review. The anonymity of the petitioners shall be protected.
2. The extraordinary review will not replace the next periodic review unless that periodic review would have occurred within 18 months. Generally, no more than one extraordinary review may occur within a single five-year cycle. An extraordinary review generally will not occur sooner than two years following a periodic review.

1. Where a dean is to be reviewed, the general faculty of the college shall nominate eight of their members to serve on the review committee. The Provost shall appoint four of those nominated. In addition, the Provost has the discretion to appoint up to three additional general faculty members drawn from the college involved or from elsewhere and to appoint others from the following groups: students, classified staff, professionals or community representatives, together constituting less than half of the membership. If the college has departments, at least one member of the committee shall be a department head in the college.
2. Where a department head is to be reviewed, the general faculty of the department shall elect three of their members to serve on the review committee. The dean has the discretion to appoint up to two additional general faculty members drawn from the department involved or from elsewhere and to appoint others from the following groups: students, classified staff, professionals or community representatives, together constituting less than half of the membership.
3. The initiating administrator shall select the chairperson of the review committee from the committee membership.
4. The initiating administrator shall direct the committee in writing, with a copy to the dean or department head to be reviewed, to conduct a review of the achievements of the dean or department head and the effectiveness of the means used to produce those achievements. The review shall be based on a description of the position, its responsibilities and all the established objectives, together with the unit's planning effort and the annual reviews of the dean or department head.

The review shall also include, but not be limited to, an assessment of the effectiveness of the performance of the dean or department head in the following areas:

1. Leadership;
2. Commitment to scholarly and academic affairs;
3. Recruiting;
4. Management of fiscal affairs;
5. Affirmative action;
6. Developing and maintaining open communication;
7. Facilitating goal-setting by individuals and by the unit as a whole;
8. Identifying issues and resolving conflicts affecting the unit;
9. Developing internal and external resources;
10. Implementing performance evaluations and salary adjustments;
11. Nourishing morale and establishing a working environment conducive to achieving individual and unit goals;
12. Building relations with constituencies.
5. The committee shall establish its own methods of obtaining information on the areas to be reviewed, but the process must include the following:
   1. An early meeting with the administrator being reviewed to discuss his/her role and to gather any information and perspectives that the administrator would like to provide.
   2. Solicitation of information through a standard questionnaire distributed to all faculty members assigned to the unit. Results of the survey shall be tabulated and attached to the committee report.
   3. Systematic gathering of input from academic professionals, staff, and students through questionnaires or other means, the results of which shall be tabulated and attached to the committee report.
   4. An announcement that the committee is available to individual faculty, academic professionals, staff, and students for written input.

5.09.05 Committee Report
The review committee shall complete its work and submit a written report to the initiating administrator within 120 days of receiving its written directive. The report shall (1) describe briefly the procedures used, gather information; (2) discuss important issues identified in the course of the review; and (3) present the conclusions reached by the review committee.

All communications with the committee shall be confidential and treated accordingly. The committee shall not divulge or otherwise reveal the source of any communications. The report shall contain no confidential supporting material.

5.09.06 Action by Initiating Administrator
The initiating administrator shall review the summary prepared by the dean or department head and the report of the committee. The initiating administrator has the discretion to develop other information bearing on the performance and effectiveness of the dean or department head. Copies of the report and the initiating administrator's evaluation and comments shall be submitted to the President.

After meeting with the review committee to review the report, the initiating administrator shall discuss with the dean or department head the report of the review committee as well as any other relevant information developed by the dean or department head within 60 days from the day the committee's report is received.

Within 60 days following the meeting between the initiating administrator and the dean or department head, the initiating administrator and the review committee will jointly prepare a procedural report covering the methods by which the review committee obtained its information. This procedural report will then be sent to all members of the reviewed unit.

5.10 REASONS FOR NONRENEWAL OF APPOINTMENT

An administrator whose appointment is not renewed shall not be entitled to a statement of reasons for that action. The nonrenewal, however, need not be construed as due to failure or poor performance. Considerations such as the need for a different area of specialization or for a new emphasis, 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 appointment not be renewed.

5.11 EFFECT ON PRIOR STATUS

Adoption of the Conditions of Administrative Service (ABOR-PM 6-101, et seq.) as a policy of the University shall not divest an administrator of any tenured faculty status or continuing professional status acquired prior to adoption, except as hereinafter provided.

An administrator who, prior to adoption of the Conditions of Administrative Service, held tenure-eligible faculty or continuing-eligible professional status shall be provided the option of remaining employed under the terms of the Conditions of Faculty Service (ABOR-PM 6-201, et seq.) or the Conditions of Professional Service (ABOR-PM 6-301, et seq.) whichever applies.

An administrator who attains tenure as a faculty member or continuing status as a professional after adoption of the Conditions of Administrative Service and who accepts an appointment which is subject to the Conditions of Administrative Service, will not lose that tenure or continuing status in their prior position except by resignation, retirement, release due to financial emergency, reorganization or dismissal.

5.12 NOTICE OF NONRENEWAL

5.12.01 State-funded Positions
All administrative 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 shall have the limited effect of extending the end of the administrator's appointment period to 90 days following the giving of notice.

5.12.02 Nonstate-funded Positions
Administrative personnel whose Notice of Appointment or Notice of Reappointment reflects they are nonstate-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 administrators.

5.13 REMOVAL, DISMISSAL, AND SUSPENSION

Administrators may be removed by the President from their administrative assignments at any time. However, they may not be dismissed during an appointment period without reasons for dismissal, except when deemed necessary due to a financial emergency as declared by the ABOR.

An administrator dismissed with reason may submit, within 15 days, a written appeal of the President's decision to the ABOR. ABOR's determination shall be final.

An administrator may be suspended with pay if the President determines that the continued presence of the individual on the campus may constitute a substantial interference with the orderly functioning of the University or of a substantial area, unit, college or department of the University.

5.14 RELEASE DUE TO INSTITUTIONAL FINANCIAL EMERGENCY

Release of an administrator may occur when deemed necessary by the President due to a financial emergency as declared by the ABOR. Upon occurrence of release, the individual's personnel file shall reflect that "the release was due to institutional financial emergency."

An administrator released due to institutional financial emergency shall be accorded the following rights and privileges:

1. The individual shall be notified in writing as far in advance of the release date as the President deems possible.
2. The University shall make a reasonable effort to secure alternative appointments within the University in open positions for which the affected individual is qualified under existing criteria and to provide the administrator with information concerning other employment opportunities within the University which may be available.
3. An administrator released for institutional financial emergency shall not be entitled to a hearing except as provided in Section 5.14.

This site is maintained by The University of Arizona, Human Resources University Services Building, Rm. 114 Tucson, Arizona 85721-0158 phone: (520) 621-3662    fax: (520) 621-9098 email http://www.hr.arizona.edu 5/2008