webrev: 6/2009

CHAPTER VI   [PDF]

PERSONNEL POLICIES

ARTICLE A.    ADMINISTRATION   [PDF]

6-101 Conditions of Administrative Service  (PDF)

1. General

   1. These Conditions of Administrative Service (6-101) shall constitute the policy under which administrative employees of the Board are employed. Each notice of appointment for administrative employees shall incorporate this policy by reference and shall provide that acceptance of the notice of appointment constitutes recognition that this policy constitutes the conditions of employment. The Board shall not be bound by, nor does it adopt or incorporate herein, the interpretations, policies or recommendations of other organizations.

   2. The Board is charged by law to exercise control and supervision of the state universities and their property. Any authority delegated by the Board is always subject to the ultimate authority of the Board. The Board retains the right of periodic review and modification of all aspects of governance of the universities, and the right to enact such rules, regulations, policies and orders as it deems proper.

   3. It is recognized that individual administrative employees may hold dual appointments only one of which may be to a position subject to the Conditions of Administrative Service 6-101).

2. Definitions

   1. "Board" shall mean the Arizona Board of Regents.

   2. "President" shall mean the president of the appropriate university or the president's designated representative, and the Administrative Director of the central staff.

   3.  

      1. "Administrator" or "administrative" shall mean an officer who reports directly to the president or to a vice president and who is responsible for planning, organizing, directing, controlling and evaluating the activities of a major segment of a university; promulgating and implementing university rules and regulations; preparing and administering the organizational budget; maintaining relationships with administrative officials and members of business, government and civic communities. These positions shall include vice presidents, deans, academic department heads and other positions as determined by the Board.

      2. Any nonclassified or non student employee, not covered by the Conditions of Professional Service (6-203) or Conditions of Faculty Service (6-201), who reports to a person below the level of vice president and who has a direct role in planning, organizing, directing, evaluating, and controlling a major university function. Specific positions shall be determined by the president consistent with the terms of this definition.

   4. "Notice of Appointment" shall mean the document by which an appointment is made each year and which is signed by the president.

3. Appointment Procedures

   1.  

      1. The president shall establish procedures for securing recommendations for appointment to administrative positions. Appointments may become effective when approved by the president but require approval or ratification by the Board. Except in extraordinary circumstances, the president shall obtain the Board's approval prior to the effective date of an administrative appointment.

      2. Appointments to positions described in section 6 101B.3.b (Conditions of Administrative Service, Definitions) shall become effective only when approved by the president.

   2. All administrative employees shall receive each year an appointment for an academic year or for a fiscal year beginning July 1 or a portion thereof. Appointments and reappointments shall not be for more 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 Administrative Service (6-101) shall become a part of the conditions of employment.

   3. Appointments which are dependent for continuation on funding from a specific source other than state appropriations shall so state in the notice of appointment and may terminate when the funding is no longer available.

4. Compensation

   1. Salary ranges for administrative positions are set by the Board. The president may set individual salaries within those ranges or as otherwise approved by the Board. Salary rates for reappointments will depend upon available funding. Merit raises may be allocated by the president within the limitation of available funds.

   2. Certain fringe benefits are made available to all state employees and are subject to change by the Legislature or the Board.

   3. Policies governing outside activities and supplementary compensation are administered by each university.

5. Employment Related Benefits

The Board has provided various benefits, such as the Medical Service Plan, which are a part of the employment relationship. Changes to such policies pertaining to benefits will be made by the Board normally to be effective at the start of the succeeding appointment period. Additional benefits may be added to be effective as determined by the Board.

6. Duties and Responsibilities

1. Duties and responsibilities of an administrative employee shall consist of those assigned by the president. All duties and responsibilities shall be carried out under the direction of the president who may alter or amend assigned duties or change titles at any time.

2. Performance of assigned duties by administrative employees shall be subject to evaluation by the president and performance shall be considered in decisions relating to compensation, retention, termination or a decision not to reappoint.

7. Reappointment

1. Decisions relating to reappointment shall be made in accordance with university rules and procedures developed by the president. The decision of the president not to reappoint is final.

2. An administrative employee has no expectation of continued employment and shall not be entitled to a hearing following or prior to a decision of non reappointment. An administrative employee whose appointment is not renewed shall not be entitled to a statement of reasons for that action.

3. Administrative employees shall be given a ninety day (90) notification of non renewal. Failure to provide an administrative employee with a ninety day (90) notification of non renewal shall not constitute an automatic renewal of appointment. If notice of non renewal is given less than ninety days prior to the end of an administrative employee's appointment period, the employee shall be entitled to continuation of salary for ninety days from the date of notification.

8. Termination, Release and Furlough

1. Administrative employees may be removed by the president from their administrative assignment at any time, but may not be dismissed during an appointment period without reason, except as set forth in 6-101H.3 (Conditions of Administrative Service, Termination, Release, and Furlough) below.

Reasons for dismissal may include, but are not limited to, incompetence or dishonesty in professional activities, neglect of properly assigned duties, or personal conduct that impairs the individual's fulfillment of properly assigned duties and responsibilities.

Incapacity (physical or mental) to perform properly assigned duties shall also be considered as reason with due consideration given to the nature and duration of the incapacity.

An administrative employee terminated with reason may, within fifteen work days, submit a written appeal of the president's decision to the Board. The Board's determination shall be final.

2. An administrative employee may be suspended with pay if the president determines that the continued presence of the employee 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

3. Administrative employees may be released prior to the end of the appointment period, when deemed necessary due to a financial emergency as declared by the Board.

4. Regardless of the terms of the notice of appointment, administrative employees may be placed on furlough under a furlough plan approved pursuant to Board policy 6-810.

9. Implementation

The president shall establish such additional policies and procedures consistent with this policy as may be needed to carry out the Conditions of Administrative Service (6-101).

10. Severability

If any section, paragraph, subdivision, clause, sentence or phrase of this policy shall for any reason be held illegal or unenforceable, such decision shall not affect the validity of the remaining portion of the policy. If any provision of this policy contains an ambiguity, which may be construed as either valid or invalid, the valid construction shall prevail.

6-102 Appointment to Administrative Positions  (PDF)

The president of each state university is responsible for the assignment of persons to administrative positions. Assignments to administrative positions shall not be made for a period longer than one year or extend beyond June 30th, and assignments may be terminated by the president at any time without cause or explanation.

6-103 Salary Adjustments for Administrators Who Return to Faculty Positions  (PDF)

1. The Board delegates to university presidents the authority to enter employment contracts in which administrative personnel are changed to an academic assignment and to determine appropriate compensation for that assignment, consistent with applicable board policies.

2. When a former university administrator who was employed on a fiscal year contract returns to an appointment as a faculty member on an academic year basis, the academic year salary shall be determined by the president on the same basis as all other academic year faculty salaries.

   1. In no case shall the former administrator have any expectation that the academic year salary shall be set by dividing the previous fiscal year contract by 1.2 or by any other numerical factor.

   2. The president shall consider the individual's academic rank, length of time in that rank, prior achievements, potential for performance as a university faculty member and salaries of faculty peers in establishing the individual's academic year salary.

6-104 Membership on Boards of Savings and Loan Associations -  Repealed  (PDF)

6-105 Committees Used by Administrators  -  Repealed  (PDF)

6-106 Evaluation of University Presidents, Executive Director, and Counsel to the Board  (PDF)

1. General Policy

It shall be the intent of the Board of Regents that evaluation of those executives reporting to the Board (the university presidents, the executive director, and counsel to the Board) shall be an ongoing process which consists of open communication between the Regents and the executive of both individual and institutional goals and objectives to include affirmative action accomplishments. While this ongoing evaluation will frequently be informal, for compensation﷓setting purposes, a formal annual procedure will be utilized. In addition, a comprehensive evaluation of the executives' performance will be made at least once every five years. All reviews shall be conducted and maintained in complete confidence.

2. Procedures for Annual Compensation Review

The Board of Regents shall review for compensation-setting purposes the president of each university, the executive director and, following review by the executive director, the counsel to the Board, at least once each year. The evaluation shall be both written and oral and shall be completed no later than two months before the annual compensation decision is made.

1. The Board of Regents shall review with each executive to be evaluated the standard evaluation form and shall allow the executive to suggest alterations or additions to the format. A major component of the compensation review form will be a portion which identifies agreed-upon goals and objectives for the individual under review.

2. The Board shall establish procedures for the compensation review process which may include provisions for the establishment of a Regent review team comprised of less than the entire Board. Regardless of whether or not a team approach is utilized, all members of the Board will complete a compensation review form on each individual under review, transmitting the completed review form to the President of the Board. The executive may also complete a form.

1. If the team approach is used, a team form will be developed in consultation with the executive under review. After the team has completed its review, it will report to the Board in executive session.

2. If the entire Board conducts the review, upon receiving the completed forms, the President of the Board will convene the Board and the executive in an executive session to conduct the compensation review.

3. The procedure adopted by the Board will include a planning component and will provide for direct input from the executive under review. The planning component will form the basis of the review for the following year, although it may be modified throughout the year as long as any modifications or additions are fully understood by all parties.

3. Procedures for Comprehensive Performance Evaluation

In addition to the annual compensation review, to assist the Board in making compensation decisions, the Board shall undertake a comprehensive performance evaluation of each executive reporting to the Board at least once every five years. The performance evaluation process shall be a means of gathering information concerning executive performance that will be useful to the Board and the respective executive in improving the administrative or, in the case of counsel to the Board, legal operations, identifying areas of strength, and determining areas in need of improvement. Every effort shall be made to make the entire performance evaluation experience positive and constructive for all participants.

1. The Board of Regents shall establish a procedure which may include identification of a standardized form, any evaluators other than Regents, and specified time frames for completion of the process.

2. The evaluation shall be discussed by the full Board in executive session with the executive present.

3. A discussion of future goals and objectives shall be held with the executive and a date for the next comprehensive performance evaluation shall be designated prior to adjourning the executive session.

6-107 Administrative Leaves of Absence  (PDF)

1. It is understood that an administrative leave of absence is an action which should be employed in those instances where it is deemed necessary for a member of the administrative staff holding an appointment at a vice-presidential level or above to keep abreast of his or her field, remain effective in his or her present position, or render the greatest possible service to the university.

2. A leave of absence shall be taken only in those instances when in the considered judgments of the administrator concerned and the university president, the leave would be in the best interest of the university; leaves of absence for the president must be approved by the Board of Regents; and leaves will be granted only to administrators holding an appointment at a vice-presidential level or above who have served on full-time continuous appointment to the university for a period of not less than three (3) years.

3. Service counted toward requirements for a leave begins with the appointment to a vice-presidential level position or above. Service in a lower level administrative position is not counted.

4. The leave of absence will be for a period of three (3) months with full pay. Administrators on leave will be regarded as on active university employment status for purposes of benefits and will continue to receive and accrue such benefits under applicable university policies. Unless the president approves other arrangements in advance, the administrative leave must be taken in the summer months and not require employment of a replacement. Accrued annual leave shall be included as part of the administrative leave of absence.

5. It is permissible for those members of the administration on leave to supplement their compensation from the university to cover such special expenses resulting from the approved leave program, through fellowships, scholarships, employment, or grants-in-aid. Such special expenses referred to might include such items as travel, secretarial assistants, tuition, research, and publication. Additional compensation expected is to be fully explained on the application form and approved before the leave is granted. Should opportunities for supplemental compensation develop after the leave has begun or after the application form has been submitted and approved, such opportunities must be cleared with the university at the earliest opportunity.

6. Application for leave must be filed not later than February 1 to the president or to the Board in the case of a president's application. The application must detail plans for the purpose of research or investigation or to acquire professional experience of value and significance to the university.

7. An administrator granted leave is required to return to the university for further service. If he or she chooses not to return, the case will be reviewed by the proper authorities who may require a refund of the amount of pay received during the period of leave.

8. On completion of the leave, and not later than the end of the first semester thereafter, a concise final report shall be filed with the president of the university covering the attainment of the purposes stated in the application.

9. Following the leave of absence, three (3) years of further service shall be required before the administrator can become eligible for another leave.

6-108 Evaluation of Administrators  (PDF)

1. Administrative Performance Evaluation Philosophy

1. The Arizona Board of Regents recognizes the need for an administrative performance evaluation system which identifies, assesses, and enhances performance. It is essential that the evaluation process incorporate guidelines relevant to the achievement of administrative programs and departmental goals while recognizing the unique nature and diversity of the universities. To this end, it is necessary that guidelines be established and evaluations conducted in a manner that is flexible enough to meet the particular mission, objectives, and needs of the respective universities, their departments and programs.

2. The Board further recognizes that administrative staff evaluation may be an employee-participatory, cooperative and continuing process intended to assess and enhance the performance of administrative personnel. Given the nature of the varied and specialized administrative responsibilities, the administrative evaluation system must incorporate a high level of administrative staff participation in the preparation of evaluation guidelines and in the evaluation review process. The system should permit sufficient flexibility to adapt procedures to organizational unit circumstances.

3. The administrative staff performance evaluation procedure should pursue the following objectives:

1. To involve administrative staff in the formulation of objectives and goals related to their departments or divisions and their own personal and professional growth.

2. To assess actual performance and accomplishments in the areas of each employee's responsibility to include a reference to the accomplishment of affirmative action objectives.

3. To promote the effectiveness of administrative staff through articulation of the types of contributions they might make to the university community that will lead to greater personal and professional growth, recognition and rewards.

4. To provide a written record of administrative staff performance to support personnel decisions such as reappointment, merit increases, transfers and reassignment.

5. To recognize special talents, capabilities and achievements of administrative staff.

2. General Policy

It is the policy of the Arizona Board of Regents that administrative staff shall be evaluated on their performance in accordance with the following guidelines:

1. Administrative staff shall have their performance, personal progress and future potential formally reviewed on a scheduled basis at least once every twelve months.

2. Elements of the evaluation shall include, but shall not be limited to the following:

1. Written evaluation criteria will be developed through participation of the administrative staff to express performance expectations including performance in achieving affirmative action goals. Procedures and instruments for evaluation of administrative staff shall be developed by the department or organizational unit and approved by the university administration. Evaluation procedures within units shall be flexible enough to meet the particular objectives of the unit without undermining the uniformity of the whole system.

2. An assessment of the administrative staff member's performance shall include an assessment by the unit administrator.

3. The evaluation of the administrative staff member's past performance and expectations for the future shall be discussed with him/her. A written statement recording the sense of this discussion shall be provided to the administrative staff member. The employee shall be given the opportunity to add his/her comments to this statement as a part of the official record.

4. Each university shall establish a procedure by which the administrative staff member who disagrees with the evaluation may request that his/her performance evaluation be reviewed at the next administrative level.
     

ARTICLE B.    FACULTY   [PDF]

6-201 Conditions of Faculty Service  (PDF)

1. Preamble

The Arizona Board of Regents is entrusted by the people of the State of Arizona with the responsibility for developing and maintaining a system of higher education that provides an opportunity for education to all persons, explores and expands the frontiers of knowledge, and serves to improve the quality of life for the people of the state. In pursuit of these responsibilities, the Board is committed to the development and maintenance of an outstanding university system characterized by sound academic programs, distinguished faculty, institutional diversity, fully equipped facilities, and an open and stimulating environment for learning, teaching, research and service to the public.

It is the policy of the Board to provide access to the university system to all qualified persons in Arizona, to provide equal employment opportunities and due process for its employees, to promote freedom of inquiry, search and exposition of truth and to involve the faculty in the formulation of educational policy and the governance of the universities.

The Board recognizes that Arizona universities have long adhered to the honorable tradition of academic freedom in teaching, research and service and reaffirms that the process of faculty participation and consultation in matters of academic policy is a valuable tradition that must be preserved. The faculties of the respective universities have a correlative duty to share in the responsibilities and obligations of governance and administration.

To these ends, the Board of Regents establishes these Conditions of Faculty Service (6-201) for the Arizona universities.

2. Purpose

   1. These Conditions of Faculty Service (6-201) constitute the conditions of employment as a faculty member. Every Notice of Appointment shall incorporate these conditions by reference and shall provide that acceptance of the appointment is recognition that these conditions govern the employment relationship.

   2. The Board of Regents is charged by law to exercise control and supervision of each university. Any authority delegated by the Board shall always be subject to the ultimate authority of the Board. The Board shall retain the right of periodic review and modification of all aspects of governance of the universities, and the right to enact such rules, regulations, policies and orders as it deems proper, subject to the rule making procedures set forth in the Board Policy Manual

   3. The Board and the universities may adopt additional rules to govern the employment relationship. Such rules may be modified in accordance with rule making procedures, where applicable, established by the Board and/or the individual universities, which include opportunities for appropriate involvement by representatives of each university's Faculty Senate.

3. Definitions

in this section, unless the context otherwise requires:

1. “Academic Year” means the period commencing and ending with each university’s academic calendar.

2. "Appointment" means employment for a period as specified in a Notice of Appointment. The term refers to both the initial appointments and all subsequent appointments, reappointments or renewals of appointments.

3. "Board" means the Arizona Board of Regents.

4. “Clinical Professor” means a non-tenured, non-tenure eligible faculty member who has established himself or herself by professional experience and expertise over a sustained period of time to be qualified to teach or manage practicum, internship, or practice components of degree programs but who may not have substantial academic experience. The primary responsibilities of this position are teaching or managing students in the practice requirements of their degree programs in a manner that advances the educational mission of the university in a significant or substantial way.

5. "Committee on Academic Freedom and Tenure (CAFT)" means a committee selected by the faculty under procedures determined by each university. Responsibilities of the committee include, but are not limited to, the conduct of hearings in accordance with ABOR Policy 6-201L. and M. (Conditions of Faculty Service, Hearing Procedures for Faculty and Procedure to Review Allegedly Discriminatory or Unconstitutional Action (Including Violations of Due Process or Academic Freedom)).

6. "Day" means calendar day, except that where the last day of any specific time period falls on a Saturday, a Sunday or a university-recognized holiday, then the time period shall run until 5:00 p.m. Of the next day which is not a Saturday, a Sunday or a university-recognized holiday.

7. "Discriminatory Action" means an employment action that constitutes discrimination on the basis of gender, race, color, national origin, religion, age, veteran status, sexual orientation or qualified handicapped status, or any other discrimination prohibited by State or Federal law.

8. "Faculty" means all faculty members at a university.

9. "Faculty member" means an employee of the Board whose Notice of Appointment is as lecturer, senior lecturer, principal lecturer, instructor, assistant professor, associate professor, professor, professor practice, research professor, clinical professor or Regents Professor or whose Notice of Appointment otherwise expressly designates a faculty position. Graduate students who serve as teaching or research assistants, associates or otherwise, are academic appointees as well as graduate students but are not faculty members.

10. “Fiscal Year” means a period of twelve (12) months commencing on July 1.

11. "Lecturer," "Senior Lecturer," or “Principal Lecturer” means a non-tenured faculty member whose primary responsibility is teaching undergraduate, graduate or clinical courses.

12. "Multiple-year Appointment" means an appointment to a faculty position as a lecturer/senior lecturer/principal lecturer, assistant/associate/full professor of practice, assistant/associate/full research professor or assistant/associate/full clinical professor, as defined herein, for a period more than one academic or fiscal year but not more than three academic or fiscal years.

13. "Notice of Appointment" means the document by which an appointment is made to a faculty position, which is signed by the president of the university, or designee and which is more fully described in ABOR Policy 6-201D.6., (Conditions of Faculty Service, Appointment Procedures).

14. "President" or "University President" means the president of a university or the president's designated representative.

15. “Professor of Practice” is a non-tenured, non-tenure eligible faculty member who has established himself or herself by expertise, achievements and reputation over a sustained period of time to be a distinguished professional in an area of practice or discipline but who may not have substantial academic experience. The primary responsibilities of this position are teaching courses, including seminars and independent studies, to undergraduates and graduate students in a manner that advances the educational mission of the university in a significant or substantial way.

16. "Renewal" means the process by which an appointment is extended for an additional period.

17. “Research Professor” means a non-tenured, non-tenure eligible faculty member who has established himself or herself by expertise, achievements and reputation over a sustained period of time to be a distinguished scholar and a researcher but who may not have substantial academic experience. The primary responsibilities of this position are to engage in, be responsible for or oversee a significant area of research or scholarship in a manner that advances the mission of the university in a significant and substantial way.

18. "Rule" means a written statement of general applicability that implements, interprets or prescribes law or policy, or describes the procedure to be utilized in implementing law or policy.

19. "Tenure" is the employment status awarded by a president to a faculty member who has demonstrated excellence in teaching, research, and service in accordance with criteria established by each university. The status of tenure creates a legitimate claim of entitlement to continued employment unless the tenured faculty member is dismissed or released in accordance with ABOR Policy 6-201H., J., or K., (Conditions of Faculty Service, Post-Tenure Review, Dismissal or Suspension, or Release of Faculty for Reorganization Caused by Budgetary Reasons or Programmatic Changes), of these conditions.

20. "Tenured" means having tenure.

21. "Tenure-eligible" means having an opportunity to be reviewed for tenure.

22. "University" means the University of Arizona, Arizona State University, Northern Arizona University or any other university under the jurisdiction of the Board.

D.    Appointment Procedures

1. Each university president shall establish written procedures through which faculty, heads of academic units, and deans shall have opportunity for effective participation in deliberations leading to recommendations for appointment of faculty members.

2. Faculty appointments made without Board approval.

1. A university president may appoint faculty members without Board approval provided that in each instance:

(1) The appointment is for an academic year beginning on or about August 15, a fiscal year beginning July 1, or a portion of such academic or fiscal year; or the appointment is for a multiple-year term as provided for in ABOR Policy 6-201D.4., and 5., (Conditions of Faculty Service, Appointment Procedures);

(2) The appointment is documented by a Notice of Appointment as required in ABOR Policy 6-201D.6 (Conditions of Faculty Service, Appointment Procedures), which is accepted in writing by the prospective faculty member as required in ABOR Policy 6-201D.7 (Conditions of Faculty Service, Appointment Procedures);

(3) Any salary provided in connection with the appointment does not exceed the maximum salary level set by the Board; and

(4) Funds for such an appointment are available from an authorized source.

2. The appointment is effective on the date written acceptance of the Notice of Appointment is received by the university office designated to receive such acceptance unless a subsequent date is specified in the Notice of Appointment.

3. Faculty appointments made with Board approval

1. An appointment at a salary in excess of the maximum salary level shall be made only with the approval of the Board.

2. The appointment shall not be effective until a written acceptance of the Notice of Appointment is received by the university official designated to receive such acceptances and the appointment has been approved by the Board.

4. Lecturers, senior lecturers and principal lecturers may be offered one year or multiple year appointments. A multiple-year appointment may be renewed at the end of the appointment period for another multiple-year appointment or for a single year appointment. In accordance with procedures adopted by each university, review for renewal will be conducted during the year prior to the final year. There is no limit on the number of renewals. No multiple-year appointment shall become effective until approved by the university president.

5. Professors of practice, research professors, or clinical professors may be offered one-year or multiple-year appointments. Appointments may be at the rank of assistant, associate or (full) professor. In accordance with procedures adopted by each university, review for renewal of the appointment will be conducted during the year prior to the final year. There is no limit on the number of renewals. No multiple-year appointment shall become effective until approved by the university president.

6. The Notice of Appointment constitutes the employment contract of the person named in the notice when accepted in writing by the person so named. All notices of appointment shall at a minimum:

1. Be in writing and signed by the president or designee;

2. State the name of the faculty member and the period of the appointment and the salary, if any, to be paid;

3. State the type of faculty appointment and indicate whether the appointment is "with tenure" or is "tenure-eligible" or "non tenure-eligible";

4. Where appropriate for non tenure-eligible faculty, the Notice of Appointment or offer letter shall state that the appointment is dependent for continuation upon funding from a specific source other than state appropriations and that the appointment may terminate prior to the end of the designated contract period if funding is no longer available; and

5. State that these conditions of faculty service are incorporated by reference, as are other applicable rules of the Board or university.

7. A faculty member shall accept his or her appointment by signing and returning the Notice of Appointment to the designated university official no later than: (1) fourteen (14) days following the date on which the notice was posted or personally delivered if the appointment is for a fiscal year; or (2) thirty (30) days following the date on which the notice was posted or personally delivered if the appointment is for an academic year. Signatures by those holding valid powers of attorney shall be accepted as those of faculty members. If a faculty member fails to return a signed Notice of Appointment within the required time frame, the appointment may be rescinded, except that for good cause demonstrated by the faculty member the president shall cancel the rescission. Disagreement with the terms of the appointment shall not be deemed good cause, but neither the offer of nor the signing of the Notice of Appointment shall constitute an agreement as to demonstrated typographical or clerical errors contained in the notice, nor shall signing the Notice of Appointment waive the right of the faculty member to pursue a disagreement with respect to the offer for any other reason. Each faculty member shall be responsible for notifying the university of a mailing address where the Notice of Appointment is to be sent.

8. 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 Faculty Service (6-201) or other Board or university rules shall become a part of the conditions of employment.

9. Whether or not an annual salary adjustment has been included in the annual Notice of Appointment, acceptance of the Notice of Appointment shall not waive the faculty member's right to request a review of a salary adjustment in accordance with the university procedure for such a review.

10. Regardless of the terms of the notice of appointment, a faculty member may be placed on furlough under a furlough plan approved pursuant to Board policy 6-810.

5. Types of Faculty Appointments

1. Any person appointed as an Assistant Professor, Associate Professor or Professor is either tenured or tenure-eligible as designated by the Notice of Appointment, except as provided in ABOR Policy 6-201E.2. (Conditions of Faculty Service, Types of Faculty Appointments).

2. Any person appointed to a faculty position designated as "visiting," "adjunct," "research," "clinical", or such other title(s) as may be designated by each university, shall not be tenured or tenure eligible and shall have no expectation of continued employment beyond the end of the current appointment period.

3. Any person appointed as an instructor may or may not be tenure-eligible as designated by the Notice of Appointment.

4. Any person whose appointment is designated tenure-eligible shall have no legal right of continuity in his or her position beyond the current period of appointment but will be reviewed for renewal or tenure in accordance with procedures adopted by each university.

5. A tenure-eligible faculty member who has worked beyond the second year and who receives an adverse renewal or tenure decision shall be given a terminal year appointment. University policies may provide for a shorter notice of non-renewal in the first or second years.

6. Any person appointed as a lecturer, senior lecturer, or principal lecturer shall have no expectation of continued employment beyond the end of the current appointment period, with the exception of those individuals who have previously attained tenure prior to the 1991-92 appointment period. Lecturers, senior lecturers and principal lecturers may receive a multiple-year appointment.

7. Any person appointed on a multiple-year appointment as a professor of practice, research professor, or clinical professor shall have no expectation of continued employment beyond the end of the current appointment period.

8. Any person appointed to a faculty position, except those faculty members who have attained tenure status, whose appointment is dependent for continuation upon funding from a specific source other than state appropriations, shall have no expectation of continued employment if such funding is no longer available.

9. A faculty member may hold a nonfaculty appointment concurrent with a faculty appointment. Only the faculty appointment shall be subject to the conditions of faculty service.

10. Except as otherwise provided in ABOR Policy 6-208 (Honored Faculty Positions), an honorary, courtesy or other non-earned faculty appointment is not an appointment to a tenure-eligible position. No compensation shall be provided in connection with such an appointment and such appointment may be terminated at any time at the discretion of the university president.

11. At each university, the total number of multiple-year appointments as lecturers, senior lecturers, principal lecturer, professors of practice, research professors and clinical professors may not exceed fifteen percent (15%) of the number of tenure track faculty, both tenured and tenure eligible.

6. Faculty Compensation, Employment-Related Benefits and Board Policies

1. Maximum and minimum salary scales for Associate Professors, Assistant Professors, senior lecturers, lecturers, and instructors, and minimum salary scales for professors are set by the Board. The president shall approve individual salaries within those scales or as otherwise approved by the Board. Salary adjustments will depend upon available funding and are allocated by the president within the limitation of available funds and based on the provisions in ABOR Policy 6-211 (Evaluation of Faculty) and ABOR Policy 6-901 (Salary Increases).

2. Employment-related benefits are made available to faculty members as a matter of State law or Board policy and are subject to change by the Legislature or the Board.

3. Each university shall maintain a compilation of such employment-related benefits and policies and shall make good faith efforts to inform the faculty of their existence.

4. Policies governing outside activities and supplementary compensation are administered by each university.

7. Duties and Responsibilities

Duties of a faculty member shall consist of those responsibilities assigned by the president of the university or an appropriate administrator, such as a vice president, dean, director or department head/chair. Teaching assignments, schedules and other instructional responsibilities shall be carried out under the direction of the president. Duties and responsibilities shall be related to the expertise and competence of the faculty members and may include sponsored or unsponsored research projects, service activities, or administrative functions. Assigned duties may include assisting with efforts to achieve university or departmental goals related to affirmative action, including participation in student recruitment and retention programs directed at economically disadvantaged, minority, and underrepresented student populations. Teaching (including advising), research, and service performance shall be subject to evaluation by the president and performance shall be considered in decisions relating to compensation, renewal, promotion, tenure or termination.

8. Post-Tenure Review

1. Elements of Post-Tenure Review Process

Each university shall design and implement a post-tenure review process for all tenured faculty members in accordance with Board approved guidelines (set forth in a document entitled “Common Elements of the Post-Tenure Review Process,” first approved by the Board in December 1996 and as may hereinafter be modified by the Board). The purpose of the post-tenure review process is to provide accountability through emphasis on sustained high quality performance and opportunities for continued faculty development, and to provide additional accountability to the university community, to the public, and to the Board. As described in greater detail in the Board approved guidelines, the post-tenure review process at each university shall include the following essential elements:

1. Annual performance evaluations for all tenured faculty members shall be conducted by unit heads and/or peer committees, appropriate administrators and incorporate student input.

2. A faculty member's performance shall be evaluated based upon written expectations agreed to between the faculty member and the unit head and by reference to performance standards developed by each academic unit.

3. A faculty member who is determined to be performing at an unsatisfactory level shall be required to participate in developing and implementing a plan designed to improve his or her performance; the plan shall include specific goals, timelines, and benchmarks that will be used to measure progress at periodic intervals.

4. Failure to achieve the goals prescribed in the performance improvement plan in a timely manner shall result in a recommendation for dismissal.

5. A faculty member who is recommended for dismissal as a result of the post-tenure review process shall have an opportunity to challenge the recommendation as prescribed in ABOR Policy 6-201L., (Conditions of Faculty Service, Hearing Procedures for Faculty).

2. Accountability Mechanisms

In order to ensure continuing oversight and accountability, the universities shall submit reports on an annual basis in Board approved formats that provide detailed information summarizing the results of the post-tenure review process. The specific data to be included in these reports shall be prescribed in the Board approved guidelines described above.

9. Promotion, Tenure, and Renewal

1. Decisions relating to promotion, tenure, and renewal shall be made in accordance with university rules and procedures. These rules and procedures shall be developed in consultation with the faculty senate and approved by the president. The final decisions on promotion, tenure and renewal shall be made by the university president after considering all evaluations, recommendations and other evidence submitted. A tenured or tenure-eligible faculty member who receives an adverse decision on any of these matters is entitled upon request to a written summary of the reasons for the final decision from the president.

2. Lecturers, senior lecturers or principal lecturers may apply for tenure-eligible positions for which they are appropriately qualified and tenure-eligible faculty may apply for lecturer, senior lecturer or principal lecturer positions. In neither instance, however, would special priority be given in the selection process.

3. University rules and procedures applicable to tenure-eligible faculty members shall include (1) a maximum probationary period no longer than seven (7) years in full-time service at tenure-eligible rank, except in cases of waiver by the president for an individual faculty member, or as provided by policies established by the university to extend the period for individual faculty members facing adverse circumstances; (2) a mandatory periodic review; and (3) provisions to cover situations in which the faculty member's assignment is changed. A tenure-eligible faculty member shall have no expectation of renewal for the maximum probationary period.

   4.  

1. Written criteria shall be developed at each university in consultation with elected faculty members of the faculty senate and approved by the university president to be applied to all decisions on promotion, tenure and renewal. These criteria shall include such considerations as teaching effectiveness (including quality of advising); quality of scholarly research, publication, or creative endeavors; and the quality of service rendered to the profession, the university, and to the community as it relates to the mission of the university. The primary criterion for the evaluation of lecturers, senior lecturers or principal lecturers shall be teaching effectiveness.

2. The contract of a tenure-eligible faculty member is renewed, and tenure and promotion are granted, on the basis of excellent performance and the promise of continued excellence. The denial of, tenure or renewal, however, need not be construed as due to failure or poor performance on the faculty member'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 the opportunity for an alternative program in teaching, research, or service may dictate that the individual not be renewed, granted tenure, or promoted.

5. Attainment of tenure can only occur through specific notification from the president and may not result from inaction or inadvertence. A faculty member who is granted tenure is entitled to said status at the commencement of the appointment period immediately following the decision.

6. Renewal of a fixed-term appointment shall occur only with the approval of the president and may not result from inaction or inadvertence.

10. Dismissal or Suspension

1. Tenured Faculty Members

1. Tenured faculty members shall not be dismissed or suspended without pay except for just cause. Such dismissal or suspension may take effect only following an opportunity for the faculty member to utilize the conciliation/mediation and hearing procedures as prescribed in ABOR Policy 6-201L.3 and L.4 (Conditions of Faculty Service; Hearing Procedures for Faculty, Conciliation/Mediation and Hearing).

2. Just cause shall include, but not be limited to, demonstrated incompetence or dishonesty in professional activities related to teaching, research, publication, other creative endeavors, or service to the university community; unsatisfactory performance over a specified period of time and a failure to improve that performance to a satisfactory level after being provided a reasonable opportunity to do so by the university, as demonstrated through the board-approved post-tenure review process; substantial neglect of or refusal to carry out properly assigned duties; personal conduct that substantially impairs the individual's fulfillment of properly assigned duties and responsibilities; moral turpitude; misrepresentation in securing an appointment, promotion, or tenure at the university; or proven violation of Board or university rules and regulations (including the code of conduct or any other disciplinary rules), depending upon the gravity of the offense, its repetition, or its negative consequences upon others.

3. The inability to perform assigned duties due to physical or mental incapacity may be deemed just cause for dismissal or suspension without pay, but only in accordance with university policies governing leaves of absence without pay established pursuant to ABOR Policy 6-805 (Leave of Absence Without Pay).

2. Nontenured Faculty Members

1. Nontenured faculty members may be dismissed or suspended without pay during an appointment period only after a finding of just cause as defined in ABOR Policy 6-201J.1, (Conditions of Faculty Service; Dismissal or Suspension, Tenured Faculty Members) Except that “unsatisfactory performance@ will be demonstrated through the review procedures for tenure-eligible and nontenure-eligible faculty duly adopted on each campus. Such dismissal or suspension may take effect only following an opportunity for the faculty member to utilize the conciliation/mediation and hearing procedures as prescribed in ABOR Policy 6-201L.3. and L.4. (Conditions of Faculty Service; Hearing Procedures for Faculty, Conciliation/Mediation, and Hearing).

2. A university president may decide not to renew the appointment of any nontenured faculty member. The president shall make such decision after receiving recommendations from the appropriate department and college. A nontenured faculty member has no expectation of continued employment and shall not be entitled to a hearing following or prior to a decision of nonrenewal except as provided in ABOR Policy 6-201M.1., (Conditions of Faculty Service, Procedure to Review Allegedly Discriminatory or Unconstitutional Action (Including Violations of Due Process or Academic Freedom)). Upon request, a tenure-eligible faculty member whose appointment is not renewed shall be entitled to a statement of reasons in writing for that action from the president.

3. Leave with Pay

1. A faculty member may be placed on leave with pay only if it is determined by the president that the faculty member's continued presence on the university campus is likely to constitute a substantial interference with the orderly functioning of the university or a department or unit thereof.

2. Except as provided in ABOR Policy 6-201J.3.c (Conditions of Faculty Service, Dismissal or Suspension, Leave with Pay), the decision to place a faculty member on leave with pay:

(1) May be made only after the faculty member has been provided an opportunity to respond to the allegations; and

(2) Shall be promptly communicated in writing to the faculty member.

3. In exceptional cases, when the president makes a written finding that release of information relating to the substance or source of the allegations may compromise the investigation of such allegations, the university may limit or deny the faculty member's opportunity to respond to the allegations for a period of time not to exceed fifteen (15) working days while the investigation proceeds.

4. The period of leave may extend no longer than the duration of an investigation to determine if there is just cause for dismissal or suspension without pay, except that if the investigation leads to a recommendation for dismissal or suspension without pay, then the period of leave may extend through the final resolution of the hearing procedures discussed in ABOR Policy 6-201L., (Conditions of Faculty Service, Hearing Procedures for Faculty).

5. Placement on leave with pay status shall not be considered a disciplinary sanction.

6. A faculty member who is placed on leave with pay shall continue to receive full salary and benefits during the term of the leave.

11. Release of Faculty for Reorganization Caused by Budgetary Reasons or Programmatic Changes

1. A release pursuant to this section is designated a "release for reorganization."

2. Release of tenured faculty members, or release of nontenured faculty members prior to the end of the appointment period, may occur upon reorganization when determined to be necessary due to budgetary or programmatic considerations requiring program discontinuance, curtailment, modification or redirection.

3. When the reorganization proposed by the administration calls for the release of any tenured faculty member or nontenured faculty member before the end of an appointment term, the following procedures shall be observed:

1. The president shall ask the faculty senate to designate a review committee composed of faculty and students to review and evaluate the proposed plan for reorganization. The committee's review shall include a public forum to provide an opportunity for all members of the university community to present their views on the impact of the proposed reorganization.

2. Each faculty member whose position may be affected by the proposed reorganization shall be notified promptly in writing of the proposed action and shall be given an early opportunity to present his or her views in person to the review committee and to the responsible administrator. Any written statement submitted by the faculty member shall become part of the official record.

3. The review committee shall provide the president with a written evaluation of the proposed reorganization no later than ninety (90) days following the president's request, unless the president specifically requests that the evaluation be provided in a shorter period. This evaluation shall include an assessment of the impact of the proposed reorganization upon students, faculty and staff, the university as a whole, related activities outside the university, and the interest of higher education within the state. The committee shall maintain a record of its proceedings, including all written documents and statements submitted to it.

4. The president shall decide whether or not to recommend the reorganization following receipt of the review committee's evaluation. If the president rejects the committee's evaluation, the president shall furnish the committee a written statement of the reasons for doing so.

5. The president shall present his or her recommendation relating to the proposed reorganization to the Board for approval.

6. If the Board approves the reorganization, each faculty member whose position is to be eliminated shall receive written notice when the decision to eliminate his or her position is final.

4. Each university shall devote its best efforts to securing alternative appointments within the university for any faculty member who is released as a result of reorganization. Each university shall devote its best efforts and available resources to ensure that such faculty members are made aware of openings at other Arizona universities and opportunities for retraining or further professional growth.

5. In the event that the program element which has been terminated should be reinstituted within a period of three years, new positions requiring qualifications and duties reasonably comparable to those of the released tenured faculty member shall not be filled without first offering the appointment to the released tenured faculty member. The released tenured faculty member must be given a reasonable time, not to exceed thirty days, to accept or decline reappointment.

6.  A tenured faculty member who is to be released, or a nontenured faculty member who is to be released during an appointment term, shall be entitled to a review of this decision by filing a written request with the president within fifteen days of receipt of notice of such release.

The review shall be conducted according to the following procedures:

1. The president shall ask the faculty senate to designate a review committee to review the decision to release.

2. The review committee shall be convened no later than twenty days following the faculty member's request to determine whether the release is consistent with the objectives to be served by the reorganization.

3. The review committee shall take into consideration the basis for the university's decision to release and shall provide the opportunity for the faculty member to respond.

4. The review committee may consolidate proceedings in order to expedite its reviews, but shall review each decision to release on its own merits and render its recommendations accordingly.

5. The review committee shall forward its written recommendation to the president no later than forty-five days following receipt of the faculty member's request for review. If the decision to release is deemed to be reasonable, the committee shall recommend that the decision to release be upheld. If the decision to release is deemed not to be reasonable, the committee shall recommend that the decision to release be reversed. This review committee shall make no recommendation as to the reorganization.

6. The university president shall consider the committee's recommendation and render a final decision to uphold or reverse the decision to release no later than fifteen days from the receipt of the committee's recommendation.

7. A tenured faculty member who is released shall be given a terminal year appointment unless the Board's approval of the reorganization includes a specific determination that budgetary considerations do not permit such an appointment.

12. Hearing Procedures for Faculty

1. Statement of Principles

Investigations and hearings require the judicious consideration of facts, but they should neither partake of the form of courts of law nor be constrained by the limitations imposed upon such courts. They are academic hearings the purpose of which is to safeguard and protect not only the individual rights of the members affected but also the integrity of the university.

2. General

1. A faculty member recommended for suspension without pay or for dismissal shall be subject to the procedures set forth in ABOR Policy 6-201L. (Conditions of Faculty Service, Hearing Procedures for Faculty).

2. The procedures in this subsection apply only to dismissal or suspension without pay proceedings. In particular, and without limitation, these procedures are not applicable to:

(1) Decisions relating to promotions, sabbatical leaves or other leaves;

(2) Decisions relating to renewal at the end of an appointment period of a nontenured faculty member;

(3) Decisions relating to release from employment due to reorganization;

(4) Decisions relating to evaluation of faculty under section 6-211 (Evaluation of Faculty); and

(5) Suspension or dismissal from a concurrently held nonfaculty position.

3. Conciliation/Mediation

1. If a faculty member is recommended for suspension without pay or for dismissal, the faculty member may appeal the recommendation by submitting written notice of appeal to the President no later than ten (10) days following the date on which the recommendation is posted. The president of the university shall refer such appeal to a conciliation committee within seven (7) days of receiving the notice. The conciliation committee consists of one or more full-time faculty who are elected by the academic senate or faculty as a whole. This committee shall attempt to arrive at a mutually agreed upon solution.

2. If conciliation fails or after 30 days following the date on which the appeal was referred, the president shall provide the faculty member with a written notice of dismissal or suspension. The President may extend this deadline for up to 30 days if the prospect for successful conciliation is positive. The President's written notice of dismissal or suspension shall:

(1) Refer to the particular statutes, rules or policies, if any, involved.

(2) Contain a statement of the reasons for the recommendation in sufficient detail to enable the faculty member to prepare a defense.

3. As an alternative to meeting with the conciliation committee, a faculty member may agree to participate in a mediation process to be established by the university. In the case of mediation, the same deadlines for referral and termination of the procedure shall pertain as in the case of conciliation.

4. Hearing

1. The faculty member may appeal a notice of dismissal or suspension without pay by providing the president and the chair of the Committee on Academic Freedom and Tenure (CAFT) with a written detailed statement of the faculty member's position within 10 days after receipt of the notice of dismissal or suspension. Failure to provide the written statement within the ten day period shall immediately terminate the procedure.

2. The faculty member shall further provide a copy of the notice of dismissal or suspension and the statement of position to the Chair of the CAFT. The Chair shall then fix a time for hearing, which hearing shall commence not less than 30, nor more than 45 days, after receipt by CAFT of the notice of dismissal or suspension and the written statement of position from the faculty member. The Chair shall serve upon the parties a written notice of hearing at least 20 days prior to the hearing. The Chair may shorten or extend these time periods for good cause shown or upon consent of the parties except that the notice of hearing shall not be shorter than twenty (20) days without the consent of the parties.

3. The notice of hearing shall include:

(1) A statement of time, place and nature of the hearing.

(2) The names of the panel members.

(3) A statement that the hearing is held in accordance with ABOR Policy 6-201L (Conditions of Faculty Service, Hearing Procedures for Faculty).

(4) A copy of the notice of dismissal or suspension attached and incorporated by reference.

4. At least 10 days before the hearing date each party shall provide to the hearing committee and the other party or parties a written list of the names and addresses of each witness the party intends to use at the hearing. No witnesses shall be used at the hearing other than those listed except for good cause shown or upon written agreement of the parties.

5. Failure of either party to appear at the scheduled hearing shall be treated as follows: In the case of the faculty member, failure to appear shall waive the faculty member=s right to appeal the decision. In the case of the university representative, failure to appear shall be treated as resolution of the grievance in favor of the grievant. Failure of either party to appear may be excused for good cause by the committee, in which case, the hearing may be rescheduled.

6. The record of the hearing shall include, to the extent such items are applicable, the following:

(1) All documents filed by the parties and all notices, orders, or other documents issued by or submitted to the Committee on Academic Freedom and Tenure in connection with the proceeding.

(2) Testimony received and considered.

(3) Record of objections and offers of proof and rulings thereon, which may be contained in the transcript.

(4) Findings.

(5) The written recommendation reflecting the decision of the hearing committee.

7. Each party to the hearing shall be afforded an opportunity to respond and present evidence and argument on all issues involved. Each party shall have the right:

(1) At the party's own election and cost, to be represented by counsel or accompanied by an advisor, which advisor may consult with and advise the party but shall not otherwise participate.

(2) To present witnesses and submit evidence, including documentary evidence.

(3) To question adverse witnesses.

8. The following shall be observed with respect to the hearing:

(1) The hearing, but not the deliberations of the committee, shall be recorded by a court reporter and shall be transcribed upon the request of any party at that party's own cost.

(2) The hearing may be conducted in an informal, collegial manner and without adherence to the rules of evidence required in judicial proceedings. The CAFT Committee shall exclude irrelevant, immaterial or unduly repetitious evidence.

(3) The Chair of the hearing committee shall have the authority to issue subpoenas for the attendance of witnesses and for the production of books, records, documents and other evidence, and shall have the power to administer oaths. The subpoena shall be in writing and shall be served upon the witness in person. Members of the university community are required to comply with subpoenas issued pursuant to this procedure unless compliance would result in unavoidable personal hardship or participation beyond the terms of the contract.

(4) On application by a party, the Chair of the hearing committee, at his or her discretion, may permit a deposition to be taken, in the manner and upon the terms designated by the Chair, of a witness who cannot be subpoenaed or is unable to attend the hearing. Prehearing depositions and subpoenas for the production of documents may be ordered by the Chair, provided that the party seeking such discovery demonstrates that the party has reasonable need of the deposition testimony or the materials being sought and no other reasonable means of discovery are available.

(5) The Chair shall preside over and conduct the hearing and shall rule upon all matters of procedure including the admission of evidence. The Chair shall also exercise control over the hearing to avoid needless consumption of time and to prevent the harassment or intimidation of witnesses.

(6) Official notice of certain facts may be taken.

(7) At the conclusion of the submission of all evidence, the hearing committee shall permit each party or counsel to make an oral or written summation.

(8) The university bears the burden of proving the existence of just cause by a preponderance of the evidence.

(9) A committee legal advisor, selected by CAFT from a list of qualified attorneys provided by the university, shall sit in attendance at the hearing and may be asked to comment on questions of procedure and admissibility of evidence and shall otherwise assist in the conduct of the hearing, but shall not vote. A person shall not serve as both a committee legal advisor and as an advisor or legal counsel in the proceedings for either of the parties. The legal advisor for the committee will be compensated by the university.

9. The recommendation of the hearing committee shall be in writing; shall include findings of fact based exclusively on the evidence; and shall be presented to the university president within 30 days following the conclusion of the hearing except, upon good cause, the president may extend the recommendation date by an additional 30 days.

10. Upon receipt and review of the hearing committee recommendation, the university president shall approve, disapprove, or modify the committee recommendation or remand one or more issues for further consideration by the committee. The president shall issue a decision in writing, no later than 45 days following receipt of the committee recommendation and record that includes findings of fact and conclusions of law, separately stated. The president shall not be bound by the recommendations of the committee. Copies of the decision and the committee’s recommendation shall be mailed to the parties, and members of CAFT. The president’s decision shall include a statement that an appeal to the Superior Court pursuant to the Administrative Review Act, A.R.S. §12-901 et. seq., if desired, must be filed within thirty-five (35) days from the date when a copy of the decision sought to be reviewed is served upon the party affected.

11. The faculty member may request reconsideration of the president’s decision by filing a written request setting forth a ground for reconsideration with specificity within fifteen (15) days of receipt of the decision. If no request for reconsideration is made, the president’s decision is effective at the expiration of the period in which to request reconsideration. The grounds for reconsideration are:

1. Irregularities in the proceedings, including but not limited to any abuse of discretion or misconduct by the committee which has deprived the employee of a fair and impartial process;

2. Accident or surprise that could not have been prevented by ordinary prudence;

3. Newly discovered material evidence, which could not have been available for the presentation;

4. Excessive or insufficient result;

5. The decision is not justified by the evidence or is contrary to law.

12. If the faculty member requests reconsideration, the president shall issue a decision on reconsideration within twenty (20) days of receiving a request for reconsideration.

13. The president’s decision on reconsideration shall include a statement that an appeal to Superior Court pursuant to the Administrative Review Act, A.R.S. §12-901, et. seq., if desired, must be filed within thirty-five (35) days from the date on which the decision on reconsideration is served on the party affected.

13. Procedure to Review Allegedly Discriminatory or Unconstitutional Action (Including Violations of Due Process or Academic Freedom).

1. A faculty member who receives an adverse decision concerning his/her promotion, tenure, nonrenewal or release from employment under ABOR Policy 6-201L (Conditions of Faculty Service, Hearing Procedures for Faculty) may file a written complaint alleging that the adverse decision was a discriminatory action, or was based on unconstitutional grounds (including violations of due process or academic freedom). This complaint must be filed with the office of the university president within 10 days of the faculty member's receipt of notice of the final adverse decision.

1. "Receipt of notice" means delivery of written notice of the final adverse decision to the faculty member's last known address by certified mail, return receipt requested. If undeliverable, the written notice is deemed to have been received by the faculty member if properly sent to the faculty member's last known address.

2. The faculty member shall have the right to a hearing before the Committee on Academic Freedom and Tenure (CAFT), or before such other appropriate committee as may be established by the university and the academic senate, but not both CAFT and such other appropriate committee; provided that the faculty member first exhausts any applicable alternate resolution procedures established by the university.

3. Where alternate resolution procedures are not established, the written complaint shall be transmitted to the Chair of the hearing committee within seven (7) days after receipt by the office of the university president. The hearing shall occur no earlier than thirty days nor later than forty-five days after the filing of the complaint, except that with consent of both the university and the complaining party, or upon majority vote of the hearing committee, the hearing may be advanced or delayed.

4. Where alternate resolution procedures are established by the university, those procedures will be initiated by the president within seven (7) days after receipt of the written complaint. The written complaint, if not resolved through use of the alternate procedures, shall be transmitted to the chair of the hearing committee within seven (7) days after completion of the alternate procedures or after thirty (30) days following the date on which the alternate procedures were initiated. The President may extend this deadline for up to thirty (30) days if the prospect for successful resolution is positive. The hearing shall occur no earlier than thirty (30) days nor later than forty-five (45) days after the written notice is received by the chair of the hearing committee, except that with consent of both the university and the complaining party, or upon majority vote of the hearing committee, the hearing may be advanced or delayed.

2. The burden of proving discriminatory action or unconstitutional grounds shall be on the faculty member. The hearing procedures developed by each university shall provide for the following:

1. The right to an impartial hearing committee of not fewer than three committee members.

2. The right of each party to obtain access to all relevant, non-privileged documents relating to the allegations which are subject to the other party's control and which do not violate the privacy rights of non-parties; all disagreements relating to the disclosure of documents shall be decided by the chair of the hearing committee.

3. The authority of the chair to administer oaths and to issue subpoenas for the attendance of witnesses and for the production of books, records, documents and other evidence. The subpoena shall be in writing and shall be served upon the witness in person. Members of the university community are required to comply with subpoenas issued pursuant to this procedure unless compliance would result in unavoidable personal hardship or participation beyond the terms of the contract.

4. The right of the university and the faculty member to present witnesses and evidence and to question witnesses.

5. At the party’s own election and cost, the right of each party to be represented by counsel or accompanied by an advisor, which advisor may consult with and advise the party, but shall not otherwise participate.

6. The hearing shall be recorded by a court reporter. A transcript may be obtained by any party at that party's own cost.

7. Written findings of fact.

8. The right of the university, faculty member and committee members to a copy of the written recommendation of the committee;

9. A closed hearing upon request of any party.

3. The recommendation of the committee shall be transmitted to the university president within thirty (30) days following the conclusion of the hearing except, upon good cause, the president may extend the recommendation date by an additional thirty (30) days. No later than forty-five (45) days following receipt of the committee recommendation the president shall render a final determination in writing as to whether the challenged decision shall be affirmed or modified. A copy of the determination shall be mailed to the parties and the committee members. The date of the mailing shall be the effective date of the decision.

The president’s decision shall include a statement that an appeal to Superior Court pursuant to the Administrative Review Act, A.R.S. §12-901, et seq., if desired, must be filed within thirty-five (35) days from the date when a copy of the decision sought to be reviewed is served upon the party affected.

4. The faculty member may request reconsideration of the president’s decision by filing a written request setting forth a ground for reconsideration with specificity within fifteen (15) days of receipt of the decision. If no request for reconsideration is made, the president’s decision is effective on the 15th day after the date of the decision at the expiration of the period in which to request reconsideration. The grounds for reconsideration are:

1. Irregularities in the proceedings, including but not limited to any abuse of discretion or misconduct by the committee which has deprived the employee of a fair and impartial process;

2. Accident or surprise that could not have been prevented by ordinary prudence;

3. Newly discovered material evidence, which could not have been available for the presentation;

4. Excessive or insufficient results;

5. The decision is not justified by the evidence or is contrary to law.

5. If the faculty member requests reconsideration, the president shall issue a decision on reconsideration within twenty (20) days of receiving a request for reconsideration.

6. The president’s decision on reconsideration shall include a statement that an appeal to Superior Court pursuant to the Administrative Review Act, A.R.S. §12-901, et. seq., if desired, must be filed within thirty-five (35) days from the date on which a copy of the decision on reconsideration is served upon the party affected.

14. Faculty Grievance Procedure

In accordance with ABOR Policy 6-904 (Grievance), each university shall provide an established grievance procedure to resolve any work related concerns of a faculty member, including but not limited to any complaint alleging a violation of the conditions of faculty service or any other rules of the Board or university relating to faculty members. The grievance procedure shall authorize a faculty member to initiate a grievance by filing with the chair of the designated faculty committee a written statement that describes the specific action(s) being challenged and any Board or university rule that has allegedly been violated.

15. Revisions

1. A comprehensive review of these conditions shall be undertaken no less frequently than once every five years. This review shall be conducted by a working group that includes representatives of each faculty senate to ensure faculty input in all stages of the review process.

2. No modifications to these conditions may be considered by the Board prior to consultation with representatives of the faculty senates.

16. Implementation

The president of each university shall establish, in consultation with the faculty senate, such additional policies and procedures consistent with this policy as may be needed to carry out the Conditions of Faculty Service, and such policies shall be set forth in full and not by reference to any other document.

17. Interpretation

These conditions of faculty service shall be governed and interpreted under the laws of Arizona.

18. Severability

If any section, paragraph, subdivision, clause, sentence or phrase of this policy shall for any reason be held illegal or unenforceable, such decision shall not affect the validity of the remaining portion of the policy. If any provision of this policy contains an ambiguity, which may be construed as either valid or invalid, the valid construction shall prevail.

19. Acquired Tenure Status

This policy shall not divest a faculty member of tenure status acquired prior to its adoption.

6-202 Academic Freedom  (PDF)

The Board recognizes and supports the principle that faculty members who speak or write as a private citizen should be free from institutional censorship or discipline. The Board is also mindful, however, that a faculty member's special position in the community imposes particular obligations and serious responsibilities of conducting behavior and activities in the best interests of the profession and the institution.

6-203 Conduct of Classes  (PDF)

The president of each institution shall inform deans and department heads that it is a legal and moral responsibility to conduct classes according to the official academic calendar. The deans and department heads shall take such action as may be necessary to carry out this policy.

6-204 Employment of Aliens  (PDF)

Non-citizens or aliens may be employed as faculty members of the institutions only in limited numbers and as needed. They shall have exceptional ability and shall fully meet all national, state and institutional standards of integrity, security and academic proficiency. (A.R.S. 34-301; Article 18, Section 10, Arizona Constitution)

6-205 Employment of Faculty from Another University  -  Repealed  (PDF)

6-206 Salaries  (PDF)

1. Each university president shall establish faculty salaries, consistent with applicable board policies.

6-207 Sabbatical Leave  (PDF)

1. It is understood that the sabbatical leave is an administrative action which should be employed in those instances where it is deemed necessary for a member of the faculty or administrative staff to keep abreast of his field, remain effective in his present position, or render the greatest possible service to the university.

2. A sabbatical leave shall be taken only in those instances when the considered judgment of the faculty member concerned, his department head, college dean, academic vice president, university president, and the Board of Regents agree that it would be in the best interest of the university to do so in conformance with ABOR Policy 6-207A (Sabbatical Leave); and leaves will be granted only to faculty members who have served on full-time continuous appointment (either fiscal or academic) at the university for a period of not less than six years.

3. As an aid in the evaluation of proposals for sabbatical leave, the head of the department will obtain evaluations of the project by persons of recognized competence in the applicant's field of study.

4. Service counted towards requirements for sabbatical leave begins with appointment to an instructorship or an equivalent or higher rank on the faculty, but sabbatical leaves will be granted preferably to members of the faculty who have attained the level of assistant professor or a higher level, or the equivalent of such ranks.

5. The sabbatical leave shall be either for one or two semesters, or for six or twelve months for a faculty member on a fiscal year contract basis. If the sabbatical leave is for two semesters or one fiscal year, the amount of the compensation will be three-fifths of the recipient's salary; if the sabbatical leave is for one semester, or six months, it will be full pay for that period. A faculty member taking six-months' leave will arrange to be on duty one of the two regular semesters if he has a teaching assignment.

6. It is permissible for members of the faculty on sabbatical leave to supplement their compensation from the university to cover such special expenses resulting from the approved sabbatical leave program, through fellowships, scholarships, employment, or grants-in-aid. Such special expenses referred to might include such items as travel, secretarial assistants, tuition, research and publication. Additional compensation expected is to be fully explained on the application form and approved before the leave is granted. Should opportunities for supplemental compensation develop after the sabbatical leave has begun or after the application form has been submitted and approved, such opportunities must be cleared with the university at the earliest opportunity.

7. Applications for either or both semesters of the following year must be filed not later than February 1 on the forms provided. Applications may be withdrawn without prejudice to further applications provided reasonable notice is given.

8. A member of the faculty granted sabbatical leave is required to return to the university for further service. If he chooses not to return, his case will be reviewed by the proper authorities and he may be required to refund the amount of pay received during his period of sabbatical leave.

9. On completion of the sabbatical leave, and not later than the end of the first semester thereafter, a concise final report shall be filed with the president of the university, a copy of the same going to the dean of the college, covering the attainment of the purposes stated in the application.

10. Following the sabbatical leave, six years of further service shall be required before the faculty member can become eligible for a second sabbatical leave. Leaves of absence without pay for periods ordinarily not to exceed one year will be counted as periods of service toward the sabbatical leave.

6-208 Honored Faculty Positions  (PDF)

1. Emeritus Status

The president of each institution may confer upon retired faculty members who have served the institution for a substantial length of time the title of "Emeritus" and may list their titles in this way in the rosters of the institution.

2. Regents' Professors

1. Definition

The title "Regents' Professor" is reserved for faculty members with exceptional achievements that have brought them national or international distinction. The title serves as recognition of the highest merit and unusual contributions to the quality of the individual's university.

2. Eligibility

The title may be conferred only on tenured individuals who occupy positions in academic units and carry the rank of professor, or an equivalent rank, and individuals who are to join academic units as tenured professors, or an equivalent rank.

3. Terms of Appointment

1. Appointment as a Regents' Professor shall be made by the president of the university and approved by the Board of Regents. Each university shall establish procedures for the nomination and selection of suitable individuals. These procedures shall provide for reviews at the department and college levels.

2. Regents' Professors will receive a salary increment, to be added to their base salary at the time of appointment, subject to approval by the Board of Regents.

3. Appointment to this position involves service to other universities in the Arizona University System. The service may include lecturing, consulting on curriculum, and research matters, advising administrative officers, or other similar activities.

4. Number of Incumbents

At any one time the number of Regents' Professors at a university shall not exceed three percent (3%) of the total number of tenured and tenure-track faculty members.

5. Criteria

Each university shall develop specific criteria that take into account the following expectations:

1. A history of sustained and continuing professional accomplishments in research, scholarship, or creative endeavor;

2. Acknowledged high-quality contributions in teaching or public service responsibilities; and

3. Demonstrated national or international recognition among leaders in the field.

6-209 Faculty Instructional Improvement Program  -  Repealed  (PDF)

6-210 Solicitation of Business  -  Repealed  (PDF)

6-211 Evaluation of Faculty  (PDF)

1. Faculty Performance Evaluation Philosophy

1. The Arizona Board of Regents recognizes the need for a faculty performance evaluation system that identifies, assesses and enhances performance. It is essential that the evaluation process incorporate guidelines relevant to the achievement of the academic goals and objectives of teaching, advising, mentoring research and professional service while recognizing the unique nature and diversity of the universities. To this end, it is necessary that guidelines be established and evaluations conducted in a manner that is flexible enough to serve the particular mission, objectives, and needs of the respective universities, their colleges and departments.

2. It is further recognized that faculty evaluation should be a peer-participatory, cooperative and continuing process intended to assess and enhance the performance of academic personnel. Given the nature of the varied academic responsibilities and the specialization both between and within disciplines, the faculty evaluation process should provide for faculty participation in the preparation of evaluation guidelines and must necessarily presuppose a high degree of confidence in the faculty and their ability to objectively judge each other. Therefore, the evaluation process should be as localized as possible in order to adapt procedures to individual or departmental circumstances.

3. The faculty performance evaluation procedures should pursue the following objectives:

1. To involve faculty in the design and evaluation of objectives and goals of their academic programs and in the identification of the performance expectations central to their own personal and professional growth.

2. To assess actual performance and accomplishments in the areas of teaching, advising, mentoring, research and professional/public service through a peer review process.

3. To promote the effectiveness of faculty members through an articulation of the types of contributions they might make to the university community that will lead to greater personal and professional rewards.

4. To provide a written record of faculty assignments (workloads) and performance to support such personnel decisions as retention, promotions, tenure, sabbatical leave, merit increases, transfers, reassignment and reemployment.

5. To recognize special talents, capabilities and achievements of faculty members.

2. General Policy

It is the policy of the Arizona Board of Regents that faculty shall be evaluated on their performance in accordance with the following guidelines:

1. Faculty shall have their performance, personal progress and future potential formally reviewed on a scheduled basis at least once every twelve months.

2. The summative assessment process shall include both peer review and assessment by the department administrator and/or other appropriate administrators.

3. Elements of the summative evaluation shall include, but shall not be limited to, the following:

1. Written evaluation criteria will be developed through faculty participation in each department, college or division, to express the performance expectations for faculty members therein. Evaluation criteria may provide for recognition of long-term faculty activities and outcomes.

2. Criteria for merit awards must consider teaching effectiveness, research and scholarly growth activity, and professional/public service, and efforts to assist in the achievement of departmental and/or university affirmative action goals and minority student recruitment and retention goals.

1) In the case of teaching evaluation, measurement techniques should include some items that afford comparability among individuals and units.

2) A systematic assessment of student opinion shall constitute one, but not the only, component of the evaluation.

3) Student advising and mentoring whether classified as teaching or service must also be considered.

4) Efforts to improve minority student retention and graduation are significant parts of the advisement process.

5) Performance criteria for tenure track positions shall be consistent with promotion and tenure criteria and expectations within an academic unit.

3. Procedures and instruments for evaluation of faculty members on each criterion shall be developed by departments and colleges and approved by the university administration. Guidelines and evaluation procedures within departments shall be flexible without undermining the uniformity of the whole system.

4. The evaluation of the faculty member's yearly past performance and expectations for the future will be discussed with him/her. A written statement recording the sense of this discussion will be provided to the faculty member. The employee shall be given the opportunity to add his/her comments to the statement as part of the official record.

5. Each university shall establish a procedure by which a faculty member who disagrees with the evaluation may request that the performance evaluation be reviewed at the next administrative level.

4. Formative Evaluation (Opportunities for Improvement)

Opportunities for improvement in instruction should be made available to faculty members in accordance with policies developed at each institution.

5. Accountability

The chief academic officer at each university is responsible for ensuring that this policy is implemented and carried out in cooperation with faculty governance.

6-212 College of Medicine Faculty  (PDF)

1. The University of Arizona College of Medicine encompasses two full, four-year medical-education programs: The University of Arizona College of Medicine in Tucson (Tucson campus) and The University of Arizona College of Medicine – Phoenix in partnership with Arizona State University (Phoenix campus).  The College strives to provide health education and patient care to all Arizonans, in metropolitan and rural areas alike, from the borderlands Arizona shares with Mexico to Native American communities in the northern regions of the state.

2. The faculty status of any paid voting member of the Tucson campus, who provides health care services, is conditioned upon such health care services being provided only as a member or employee of University Physicians Healthcare (UPH), except that no such requirement of membership or employment with UPH shall be imposed if UPH determines that any such member of the faculty is ineligible for membership or employment with UPH.  Faculty members who provide health care services solely at a veterans administration hospital, whose salaries are provided through that entity, are not required to have membership or employment with UPH.

3. The faculty status of any paid voting member of the Phoenix campus faculty, who provides health care services, shall not be conditioned upon such health care services being provided as a member or employee of any UA-affiliated faculty practice plan, until such time and unless ABOR determines that a faculty practice plan for the Phoenix campus should be implemented.

6-213 Voluntary Release of Right to Continued Employment  (PDF)

1. Authority

A university president or a designee may offer a tenured faculty member severance pay in exchange for the release of any right to continued employment provided that:

1. At the time such offer is made, there is no just cause for dismissing the faculty member and no basis for releasing the faculty member due to a financial emergency or due to the absence of available work;

2. The offer is in the best educational interest of the university and the State; and

3. The offer, or alternatively any agreement arising from acceptance of the offer, is conditioned upon approval by the Arizona Board of Regents.

2. Board Approval

In requesting Board approval, the president shall specify:

1. The amount of the severance pay;

2. The method of payment;

3. For the purpose of determining the adequacy of the severance payment only, the offeree's current salary, years of service rendered, and potential years of future employment;

4. That there is no just cause for dismissing the offeree and no basis for releasing the offeree due to a financial emergency or due to the absence of available work; and

5. The reason why approval of the request would be in the best educational interest of the university and the State.

3. Acceptance

1. Acceptance of an offer of severance pay made pursuant to this section is voluntary, and a person receiving such an offer may, but need not, accept it.

2. A person who does accept an offer of severance pay made under this section shall agree in writing to relinquish all tenure rights, all right to continued employment, all right to reemployment or future employment by the Board, and all other employment rights and privileges except for normal retirement benefits.

4. Payment Requirements

1. Severance pay shall be made from available university funds in either a single lump sum payment; in installment payments made payable during the fiscal year in which a written agreement is in effect; or as an annuity purchased by the university for the benefit of the faculty member.

2. No severance pay shall be made until a written agreement for such payment in a form acceptable to Counsel to the Board has been executed.

5. Retirement Benefits

A faculty member's right to receive retirement benefits through the Arizona State Retirement Plan, or an optional retirement plan available to faculty, will be determined according to criteria and requirements of the respective retirement plan. Any severance pay received shall not be included in calculating retirement benefits unless required or permitted by the applicable plan.

ARTICLE C.    ACADEMIC PROFESSIONAL   [PDF]

6-301 Conditions of Professional Service  (PDF)

1. General

These Conditions of Professional Service shall constitute the policy under which professional employees of the Arizona Board of Regents are employed.  Each notice of appointment for such professional employees shall incorporate this policy by reference and shall provide that acceptance of the notice of appointment is recognition that this policy constitutes the conditions of employment.  The Board shall not be bound by, nor does it adopt or incorporate herein, the interpretations, policies or recommendations of other organizations, except as approved by the Board.

The Board is charged by law to exercise control and supervision of the state universities and their property.  Any authority delegated by the Board is always subject to its ultimate authority.  The Board retains the right of periodic review and modification of all aspects of governance of the state universities, and the right to enact such rules, regulations, policies, and orders as it deems proper.

It is recognized that individual professional employees may hold multiple appointments.  Other appointments may be to positions subject to conditions other than the Conditions of Professional Service.

2. Definitions
     
   1. “Academic Year” shall mean the period commencing and ending with each university’s academic calendar.
        
   2. “Appointment” means employment for a period as specified in a Notice of Appointment.  The term refers to the initial appointment and all subsequent appointments, reappointments or renewals of appointments.
        
   3. "Board" shall mean the Arizona Board of Regents.
        
   4. "Day" shall mean calendar day, except that where the last day of any time period set forth in this document falls on a Saturday, a Sunday or a university‑recognized holiday, then the time period shall run until 5:00 p.m. of the next day which is not a Saturday, a Sunday or a university‑recognized holiday.
        
   5. “Discriminatory Action” means an employment action that constitutes discrimination on the basis of gender, race, color, national origin, religion, age, veteran status, sexual orientation or qualified handicapped status or any other discrimination prohibited by state or federal law.
        
   6. “Fiscal Year” shall mean a period of twelve (12) months commencing on July 1.
        
   7. “Multiple-year Appointment” shall mean an appointment as an academic professional employee for a period of more than one (1) academic or fiscal year, but not more than three (3) academic or fiscal years.
        
   8. "President" shall mean the president of the appropriate university or the president's designated representative, and the Executive Director of the Board of Regents.
        
   9. "Professional and intellectual freedom" shall mean the right and responsibility to exercise judgment within the standards of the employee's profession.  Professional and intellectual freedom is defined as "academic freedom" for those employees involved in teaching and/or research.
        
   10. "Professional employee(s)" shall mean those employees designated by the notice of appointment as "professional" including:
         
       1. Academic Professionals - non‑classified employees involved with research or teaching programs who require professional and intellectual freedom and who report to a person below the level of vice president, including librarians, cooperative extensionists, and researchers.
            
       2. Service Professionals - non‑classified employees with a direct role in service who require professional and intellectual freedom and who report to a person below the level of vice president, including those in student services, technical services, student health services, and public service.
            
   11. "Notice of Appointment" shall mean the document by which an appointment is made and which is signed by the president or the president’s designee.
         
   12. “Renewal” means the process by which an appointment is extended for an additional period.
         
   13. “Rule” means a written standard of general applicability that implements, interprets or prescribes law or policy, or describes the procedure to be utilized in implementing law or policy.
         
   14. “University” means the University of Arizona, Arizona State University, Northern Arizona University or any other university under the jurisdiction of the Arizona Board of Regents.
         
3. Appointment Procedures
     
   1. The president shall establish procedures for securing recommendations for appointments to professional positions.  An appointment may become effective as of the date it is approved by the president or the president’s designee.
        
   2. All professional employees shall be offered each year an appointment for an academic year or for a fiscal year or a portion thereof.  Appointments and reappointments shall not be for more than one fiscal year except for academic professionals.  Academic professionals may receive a multiple-year appointment which may be renewed at the end of the appointment period for another multiple-year appointment or for a one-year academic or fiscal year, or any portion thereof.  In accordance with procedures adopted by each university, review for renewal will be conducted during the year prior to the final year.  No multiple-year appointment shall become effective until approved by the university president or the president’s designee.  There is no limit on the number of renewals.  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 (6-301) shall become a part of the conditions of employment.
        
   3. The type of professional appointment involved shall be determined by the president or the president’s designee and shall be indicated on the notice of appointment by use of the designation "probationary", "continuing", or "year‑to‑year" or “multiple-year”.
        
   4. Appointments which are dependent for continuation on funding from a specific source other than state appropriations shall so state in the notice of appointment and may terminate when the funding is no longer available.  Professional employees appointed to positions supported by non‑state funds may be designated by contract as having other conditions relative to (a) ninety‑day notice of non‑renewal of appointment and (b) fringe benefits.
        
4. Types of Professional Appointments
     
   1. Persons employed under a year‑to‑year appointment shall have no expectation of employment beyond the end of the current appointment period and are not subject to review for continuing status.  There is no limit to the number of appointment periods to which a person employed under a year‑to‑year contract may be appointed.  Such appointments may be for a period of less than one year.
        
      1. A person employed under a year‑to‑year appointment may be subsequently employed under a probationary appointment.  In such event, the extent to which the person's prior service under year‑to‑year appointments is considered in any review for continuing status shall be determined by the university.
           
   2. Persons employed under a probationary appointment shall have no expectation of employment beyond the end of the current appointment period, but shall be reviewed for continuing status in accordance with procedures outlined in this document.  A person shall hold a probationary appointment for no more than seven years, including any terminal appointment which a university may choose to provide.
        
      1. A person employed under a probationary appointment shall not be subsequently employed under a year‑to‑year appointment except as permitted under 6-301D.4. below (Conditions of Professional Service, Types of Professional Appointments).
           
   3. Persons employed under a continuing appointment shall have an expectation that the president will renew their appointment for successive appointment periods, except when such a recommendation is precluded by reason of retirement, resignation, release for budgetary reasons or reorganization, or dismissal for just cause.
        
   4. Persons employed under a multiple-year appointment shall have no expectation of employment beyond the end of the appointment period.  Any renewal of a multiple-year appointment shall be in accordance with procedures adopted by each university.
        
   5. Each university shall determine policies for part‑time professional employees.
        
5. Compensation
     
   1. The president may set individual salaries.  Salary rates for reappointments will depend upon available funding.  Merit raises may be allocated by the president within the limitation of available funds.
        
   2. Certain fringe benefits are made available to university employees and are subject to change by the Legislature, the Board, or the university.
        
   3. Policies governing outside activities and supplementary compensation are administered by each university.
        
6. Employment‑related Board Policies
     
   1. The Board has adopted various policies which may be a part of the employment relationship depending upon the terms of the particular policy.  Among these policies are the patent policy, Medical Service Plan, royalty policy and leave policy.  Changes to existing policies may be made by the Board and such changes will normally become effective at the beginning of the first appointment period following the period in which a change is adopted.  Additional policies may be added to be effective as determined by the Board.
        
   2. Each university shall maintain a compilation of such policies and shall take reasonable steps to inform the professional employees of the existence of such policies.
        
7. Duties and Responsibilities
     
   1. Duties and responsibilities of a professional employee shall consist of those assigned by the president or the president’s designee.  All duties and responsibilities shall be carried out under the direction of the president or the president’s designee.  Duties and responsibilities shall be related to the expertise and competence of the professional employee.
        
   2. Performance of assigned duties by professional employees shall be subject to evaluation by an appropriate administrator and performance shall be considered in decisions relating to compensation, retention, advancement/promotion, termination or a decision not to reappoint.  A university may, through implementation of these Conditions of Professional Service (6‑301), establish a university policy by which an administrator may be required to consult a peer group in evaluating certain professional employees.
        
8. Advancement/Promotion, Reappointment, Acquisition of Continuing Contract Status and Furlough Implementation
     
   1. Decisions relating to advancement/promotion, reappointment and acquisition of continuing status shall be made in accordance with university rules and procedures approved by the president.  Decisions of the president regarding advancement/promotion, reappointment or acquisition of continuing status are final.  A professional employee who does not acquire continuing status or whose probationary or year‑to‑year or multiple-year appointment is not renewed shall not be entitled to a statement of reasons for that action.
        
   2. Professional employees on a year‑to‑year or multiple-year appointment shall be given at least a ninety (90) day notification of non‑renewal prior to the end of the appointment period.  Failure to provide a professional employee with a ninety (90) day notification of non‑renewal shall not constitute an automatic renewal of appointment.  If notice of non‑renewal is given less than ninety days prior to the end of a professional employee's appointment period, the employee shall be entitled to continuation of salary for ninety (90) days from the date of notification.
        
   3. University rules and procedures applicable to professional employees holding probationary appointments shall include maximum probationary periods, mandatory periodic review, and at least ninety (90) day notice of non‑reappointment.
        
      1. Decisions on advancement, continuing status and reappointment shall be based upon written criteria developed at each university with participation of appropriate professional employees and approved by the president.
           
      2. A person is advanced, granted continuing status or reappointed on the basis of excellent performance and the promise of continued excellence.  The denial of advancement, continuing status or reappointment, 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, or the need to shift a position or resources to another department may dictate that the individual not be reappointed or granted continuing status.
           
      3. Attainment of continuing status shall not result from inaction or inadvertence.
          
         
   4. Regardless of the terms of the Notice of Appointment, a professional employee may be placed on furlough under a furlough plan approved by Board policy 6-810.
        
9. Termination
     
   1. Methods of Termination

The employment of a professional employee may terminate through resignation, retirement, release due to financial emergency or due to reorganization (as defined in ABOR Policy 6-301J.3 (Conditions of Professional Service, Release of Professional Employees, Release Due to Reorganization)), non‑renewal of probationary or year‑to‑year or multiple-year appointment, or dismissal for just cause.

2. Dismissal

1. Professional employees holding continuing appointments shall not be dismissed except for just cause.  Dismissal shall not occur until the professional employee has been given an opportunity for a hearing as prescribed in ABOR Policy 6-301K (Conditions of Professional Service, Dismissal or Suspension Procedures).

2. Just cause shall include, but not be limited to, any of following:

(1) Demonstrated incompetence or dishonesty in professional activities related to the fulfillment of assigned duties and responsibilities associated with the position;

(2) Substantial neglect of properly assigned duties;

(3) Personal conduct that substantially impairs the individual's fulfillment of properly assigned duties and responsibilities;

(4) Substantial incapacity (physical or mental) to perform properly assigned duties, but due consideration shall be given to the nature and duration of the incapacity;

(5) Violation of the Code of Conduct of a serious nature.

3. Those professional employees not holding continuing appointments, whether a probationary or year‑to‑year or multiple-year appointment, may be dismissed during an appointment period only after a finding of just cause as defined in ABOR Policy 6-301I.2.b above (Conditions of Professional Service, Termination, Dismissal).  Dismissal shall not occur until the professional employee has been given an opportunity for a hearing as prescribed in ABOR Policy 6-301K (Conditions of Professional Service, Dismissal Procedures).

3. The president may decide not to renew the appointment of any professional employee not holding a continuing contract appointment.  In such case, the professional employee is not entitled to a hearing either prior to or subsequent to the president's decision except as provided in ABOR Policy 6-301L (Conditions of Professional Service, Discrimination Review Procedures).

4. Interim Action

A professional employee may be suspended with pay pending a hearing in a case in which the president determines that continued presence of the employee on the campus constitutes a substantial interference with the orderly functioning of the university or of a substantial area, unit, college or department of the university.

10. Release of Professional Employees
      
    1. In addition to other bases for termination specified in this document, termination of professional employees holding continuing appointments, or of other professional employees prior to the end of an appointment period, may occur because of a financial emergency or because of reorganization.  Such a termination of appointment shall be designated a "release".
         
    2. Release Due to Financial Emergency
         
       1. Release of a professional employee may occur when deemed necessary by the president due to a financial emergency as declared by the Board.  Upon occurrence of the release, the individual's personnel file shall designate that the release was due to financial exigency.
       2. A professional employee released due to financial emergency shall be accorded the following rights and privileges:

(1) The individual shall be notified in writing of the decision to effectuate his or her release.  Such notice shall be provided as far in advance of the release date as the president deems possible.

(2) Each 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.  Each university shall make a reasonable effort to ensure that the individual is made aware of openings at other Arizona universities and opportunities for retraining or further professional growth.

(3) If, within a period of two (2) years from the date of the release of a professional employee with continuing status, the president determines that the professional employee's position should be reopened, then reappointment to the position shall first be offered to the released professional employee.  The offer shall be sent to the last known mailing address of the employee and he or she shall have a reasonable time, not to exceed thirty (30) days, within which to accept or decline the offer of reappointment.

(4) The individual shall be entitled to a hearing in accordance with the procedures provided in ABOR Policy 6-301L (Conditions of Professional Service, Discrimination Review Procedures).  Such a hearing may occur subsequent to release unless the emergency circumstances permit a prior hearing.

3. Release Due to Reorganization

1. Release of professional employees at a university may occur when a reorganization is deemed necessary due to a budget or program decision requiring program discontinuance, curtailment, modification or redirection and when such a reorganization plan is approved by the Board of Regents.  Such a release shall be designated in the employee's personnel records as a "release for reorganization".

2. If the reorganization plan under consideration requires the release of professional employees, the following procedures shall be followed:

(1) The president shall review and approve the proposed reorganization plan.  This review shall consider the reasons for the reorganization and the impact upon the university community as a whole.

(2) Upon review of the materials received, the president shall decide whether or not the reorganization should be executed and shall submit the plan to the Board for approval.

3. A professional employee released for reorganization shall be accorded the following rights and privileges:

(1) The individual shall be notified in writing of the proposed course of action which will result in his or her release.  Such notice shall be provided as far in advance of the release date as the president deems possible.

(2) Each 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 to the employee information concerning other employment opportunities which may be available.

(3) In the event that the program element which has been terminated should be reinstituted within a period of two years, new positions consisting of duties reasonably comparable to those of the released professional employee with continuing status shall not be filled without first offering reappointment to the released professional employee with continuing status.  The released professional employee must be given a reasonable time, not to exceed thirty (30) days, within which to accept or decline reappointment.

(4) An individual released for reorganization shall be entitled to a grievance hearing as provided in ABOR Policy 6-301L (Conditions of Professional Service, Discrimination Review Procedures) upon written request filed with the president of the university within fifteen (15) days of receipt of notice of such release.

11. Dismissal or Suspension Procedures
      
    1. General
         
       1. When a professional employee is recommended for suspension or dismissal, or whenever a professional employee is accused of a violation of the Code of Conduct, (5-301 et al) the employee shall be subject to the procedures set forth herein.
            
       2. The procedures set forth herein are not required and shall not be followed in:

(1) Decisions relating to advancement/promotion, leaves, and retention past compulsory retirement age.

(2) Decisions relating to non‑reappointment of professional employees not holding continuing appointments.

(3) Decisions relating to release from employment due to financial emergency or reorganization.

(4) Decisions relating to reduction in salary.

3. The procedures are not judicial.  The structure of a judicial proceeding is neither required nor particularly appropriate.  Formal rules of evidence are not applicable.  Deviation from these procedures shall not invalidate a decision or proceeding unless they cause significant prejudice to the respondent or the university.

2. Initiation of Procedures

These procedures shall be initiated through a written referral signed by the complainant and filed with the president or the president's designee.

3. Informal Procedures

Each university shall adopt informal procedures consistent with the following:

1. Upon receipt of a referral, a designated administrator or conciliation committee shall:

(1) Consult with the complainant, and conduct a review and investigation to (a) ascertain the facts and (b) determine if the matter should be pursued.

(2) Confer with the respondent to (a) ascertain the respondent's position, (b) attempt conciliation, and (c) report the findings and recommendations to be made.

2. The findings, decisions and sanctions, if any, to be recommended shall be written on a form prepared by the designated administrator or conciliation committee and submitted to the president, who may approve, disapprove, modify or otherwise render a determination.

(1) If the respondent is willing to accept the determination, the respondent shall acknowledge acceptance by signing the form in an appropriately designated place, and all action on the referral shall be closed.

(2) If the respondent refuses or fails to accept the determination, the respondent shall have ten (10) days from receipt of the determination to provide the president or the president’s designee a written objection to the determination, setting forth the grounds for respondent’s objection or failure to accept the determination.  Upon receipt of the written objection, the matter shall be referred for formal hearing before a committee established in accordance with procedures adopted by each university.

4. Formal Hearing Procedures

1. Each university shall adopt formal hearing procedures to deal with just cause dismissals in the event informal procedures are unsuccessful.

2. The procedures shall provide for the establishment of a committee to conduct formal hearings.  The title and composition of the committee shall be determined by the university.

3. The procedures shall provide for a written notice to be given to the parties at least twenty (20) days prior to the date set for the hearing, which notice shall include at least the following:

(1) A statement of the time, place and nature of the hearing.

(2) A copy of the statement of charges as prepared by the person representing the university at the hearing.

(3) The name and university address of the chair or person to whom all correspondence or other matters should be directed.

4. The procedures shall provide that the written charges contain at least the following:

(1) The specific basis for recommending suspension or dismissal or the specific Code provisions alleged to have been violated by the respondent.

(2) A short and plain statement of the relevant facts, including if known, the time, date and place of the alleged incident or incidents giving rise to the charges.

(3) The name of the complainant who initiated the referral.

(4) The names of any witnesses which may be presented on behalf of the university.

5. The procedures shall provide for the specific manner in which the hearing before the committee is conducted. However, at least the following rights shall be afforded the respondent:

(1) The right to be heard in person and to present witnesses and submit evidence including documentary evidence.

(2) The right to confront and cross‑examine adverse witnesses.

(3) The right to a hearing before an impartial body.

(4) At the respondent’s own election and cost, to be represented by counsel or accompanied by an advisor, which advisor may consult with and advise the party but shall not otherwise participate.

(5) The right to a written statement prepared by the hearing body setting forth its recommendation, its reasons for reaching such recommendation, and the facts relied upon in reaching such recommendation.  The written statement may be forwarded to the respondent along with the final decision of the president on the matter.

6. The procedures shall also provide as follows:

(1) That failure of the respondent to appear at a scheduled hearing shall be treated as consent to the charges pending.  Each university may provide for withdrawal of such consent under appropriate circumstances if it so chooses.

(2) That the hearing and deliberations shall be closed to the public except for the immediate members of the respondent's family and for the respondent's advisor.  An open hearing will be held if requested by the respondent.

(3) That a mechanical or stenographic record of the hearing shall be made, a transcript of which may be obtained by any party at that party's own cost.

(4) The Chair of the hearing committee shall have the authority to issue subpoenas for the attendance of witnesses, and for the production of books, records, documents and other evidence, and shall have the power to administer oaths.  The subpoena shall be in writing and shall be served upon the witness in person.  Members of the university community are required to comply with subpoenas issued pursuant to this procedure unless compliance would result in unavoidable personal hardship or participation beyond the terms of the contract.

(5) That a finding of just cause or violation of the Code of Conduct (5-301 et al) must be based on a preponderance of the evidence.

(6) That the written statement prepared by the hearing body shall be forwarded to the president within thirty (30) days after conclusion of the hearing except upon good cause the date for forwarding the written statement may be extended by an additional thirty (30) days, and that, upon receipt and review, the president shall approve, disapprove, amend or otherwise issue a final decision in writing no later than forty-five (45) days following the receipt of the recommendation.  The president shall not be bound by the recommendations of the hearing body.  A copy of this final decision, along with a copy of the Committee's written statement, shall be mailed to the respondent and the date of mailing shall be the effective date of the decision.  The president’s decision shall include a statement that an appeal to the Superior Court pursuant to the Administrative Review Act, A.R.S. §12-901, et seq., if desired, must be filed within thirty-five (35) days from the date when a copy of the decision sought to be reviewed is served upon the party affected.

7. The procedures may include such additional provisions as are not inconsistent with the provisions of these Conditions of Professional Service (6-301).

8. The respondent may request reconsideration of the president’s decision by filing a written request setting forth a ground for reconsideration with specificity within fifteen (15) days of receipt of the decision.  If no request for reconsideration is made, the president’s decision is effective at the expiration of the period in which to request reconsideration.  The grounds for reconsideration are:

(1) Irregularities in the proceedings including but not limited to any abuse of discretion or misconduct by the committee which has deprived the employee of a fair and impartial process,

(2) Accident or surprise that could not have been prevented by ordinary prudence,

(3) Newly discovered material evidence which could not have been available for the presentation,

(4) Excessive or insufficient result,

(5) The decision is not justified by the evidence or is contrary to law.

9. If the respondent requests reconsideration, the president shall issue a decision on reconsideration within twenty (20) days of receiving a request for reconsideration.  The president’s decision on reconsideration shall include a statement that an appeal to Superior Court pursuant to the Administrative Review Act, A.R.S. §12-901, et seq., if desired, must be filed within thirty-five (35) days from the date on which the decision on reconsideration is served on the party affected.

12. Discrimination Review Procedures
      
    1. Each university shall maintain a procedure for reviewing claims of unlawful discrimination.  At the election of the university, the procedure may involve an investigation and determination by the university's affirmative action office, or a hearing before an appropriate university committee established by the president, or both.
         
    2. Whenever an aggrieved professional employee claims that a decision on advancement, continuing status, reappointment or release pursuant to ABOR Policy 6-301J (Conditions of Professional Service, Release of Professional Employees) was based on unlawful discrimination, the employee shall have a right to have his or her claim reviewed in accordance with the procedures referred to in ABOR Policy 6-301L.1 above (Conditions of Professional Service, Discrimination Review Procedures).
         
    3. The procedures referred to in ABOR Policy 6-301L (Conditions of Professional Service, Discrimination Review Procedures) shall not be applicable as a means of reviewing a decision rendered in connection with proceedings brought under ABOR Policy 6-301K (Conditions of Professional Service, Dismissal Procedures).
         
13. Implementation

The president shall establish such additional policies and procedures consistent with this policy as may be needed to carry out the Conditions of Professional Service (6-301).

14. Severability

If any section, paragraph, subdivision, clause, sentence or phrase of this policy shall for any reason be held illegal or unenforceable, such decision shall not affect the validity of the remaining portions of the policy.  If any provision of this policy contains an ambiguity, which may be construed as either valid or invalid, the valid construction shall prevail.

15. Prior Status
      
    1. Adoption of these Conditions of Professional Service (6-301) as a policy of the Board shall not divest a person of any tenured faculty status or continuing professional status acquired prior to adoption.
         
    2. A professional employee who, prior to adoption of these Conditions of Professional Service (6-301), held non‑tenured faculty status and who was eligible for tenure review shall be provided the option of remaining employed under the terms of the Conditions of Faculty Service (6‑201).
         
    3. Prior service within a position designated as professional service shall be considered in determining the type of appointment tendered.

6-302 Evaluation of Professional Staff  (PDF)

1. Professional Staff Performance Evaluation Philosophy

1. The Arizona Board of Regents recognizes the need for a professional employee performance evaluation system that identifies, assesses, and enhances performance. It is essential that the evaluation process incorporate guidelines relevant to the achievement of specific program goals and objectives while recognizing the unique nature and diversity of the universities. To this end, it is necessary that guidelines be established and evaluations conducted in a manner that is flexible enough to meet the particular needs of the respective universities, their departments and programs.

2. The Board further recognizes that professional staff evaluation may be an employee-participatory, cooperative and continuing process intended to assess and enhance the performance of professional personnel. Given the nature of the varied professional responsibilities, and the specialization both between and within programs, the professional evaluation process must presuppose a high degree of confidence in the professional staff through the incorporation of professional staff participation in the preparation of evaluation guidelines and in the evaluation review process. The evaluation system should permit sufficient flexibility to adapt procedures to individual or organizational unit circumstances.

3. The professional staff performance evaluation procedures should pursue the following objectives:

1. To involve professional staff in the formulation of objectives and goals related to their program areas and their own personal and professional growth.

2. To assess actual performance and accomplishments in the areas of their responsibilities.

3. To promote the effectiveness of professional staff through an articulation of the types of contributions they might make to the university community that will lead to greater personal and professional growth, recognition and rewards.

4. To provide a written record of professional staff performance to support personnel decisions such as reappointment, merit increases, transfers, reemployment, promotions and continuing appointment.

5. To recognize special talents, capabilities and achievements of professional staff.

2. General Policy

It is the policy of the Arizona Board of Regents that professional staff shall be evaluated on their performance in accordance with the following guidelines:

1. Professional staff shall have their performance, personal progress and future potential formally reviewed on a scheduled basis at least once every twelve (12) months.

2. Elements of the evaluation shall include, but shall not be limited to, the following:

1. Written evaluation criteria will be developed through participation of the professional staff to express performance expectations including performance in achieving affirmative action goals. Procedures and instruments for evaluation of professional staff shall be developed by departments and organizational units by the university administration. Evaluation procedures within organizational units shall be flexible enough to meet the particular objectives of the unit without undermining the uniformity of the whole system.

2. An assessment of the professional staff member's performance shall include an assessment by the unit administrator.

3. The evaluation of the professional staff member's past performance and expectations for the future shall be discussed with him/her. A written statement recording the sense of this discussion shall be provided to the professional staff member. The employee shall be given the opportunity to add his/her comments to this statement as a part of the official record.

4. Each university shall establish a procedure by which a professional staff member who disagrees with the evaluation may request that his/her performance evaluation be reviewed at the next administrative level.

6-303 Voluntary Release of Right to Continued Employment  (PDF)

A professional employee holding a continuing appointment at a university may be offered severance pay under the same conditions, requirements, and procedures as are provided for tenured faculty under ABOR Policy 6-213 (Voluntary Release of Right to Continued Employment).

6-310 Conditions of Postdoctoral Scholar Service (PDF)

1. General

These conditions of postdoctoral service shall constitute the policy under which postdoctoral scholars of the Arizona Board of Regents are appointed. Each notice of appointment or offer letter for postdoctoral scholars shall incorporate this policy by reference and shall provide that acceptance of the notice of appointment or offer letter is recognition that this policy constitutes the conditions of appointment. The Board shall not be bound by, nor does it adopt or incorporate herein, the interpretations, policies or recommendations of other organizations, except as approved by the Board.

The Board is charged by law to exercise control and supervision of the state universities and their property. Any authority delegated by the Board is always subject to its ultimate authority. The Board retains the right of periodic review and modification of all aspects of governance of the state universities, and the right to enact such rules, regulations, policies, and orders as it deems proper.

2. Definitions
     
   1. “Academic year” shall mean the period commencing and ending with each university’s academic calendar.
        
   2. “Appointment” means appointment for a period as specified in a notice of appointment or offer letter. The term refers to the initial appointment and all subsequent appointments, reappointments or renewals of appointments.
        
   3. "Board" shall mean the Arizona Board of Regents.
        
   4. "Day" shall mean calendar day, except that where the last day of any time period set forth in this document falls on a Saturday, a Sunday or a university recognized holiday, then the time period shall run until 5:00 p.m. of the next day which is not a Saturday, a Sunday or a university recognized holiday.
        
   5. “Discriminatory action” means an action that constitutes discrimination on the basis of gender, race, color, national origin, religion, age, veteran status, sexual orientation or qualified handicapped status or any other discrimination prohibited by state or federal law.
        
   6. “Fiscal year” shall mean a period of twelve (12) months commencing on July 1.
        
   7. "Notice of appointment" shall mean the document by which an appointment is made and which is signed by the president or the president’s designee.
        
   8. “Offer letter” shall mean the document through which a postdoctoral scholar is offered a position and which is signed by the supervising faculty member.
        
   9. “Postdoctoral scholar” shall mean an individual who has recently completed his/her doctoral studies and who holds short-term university appointments working under the guidance and direction of a faculty mentor as the individual prepares for a career as an independent scientist and researcher.
        
   10. "President" shall mean the president of the appropriate university or the president's designated representative, and the executive director of the Board of Regents.
         
   11. “Principal investigator” or “PI” means a faculty member who has been awarded external funding and who may appoint postdoctoral scholars to participate in the project for which the funding was awarded.
         
   12. "Professional and intellectual freedom" shall mean the right and responsibility to exercise judgment within the standards of the postdoctoral scholar’s discipline. Professional and intellectual freedom is defined as "academic freedom" for those employees involved in teaching and/or research.
         
   13. “Renewal” means the process by which an appointment is extended for an additional period.
         
   14. “Rule” means a written standard of general applicability that implements, interprets or prescribes law or policy, or describes the procedure to be utilized in implementing law or policy.
         
   15. “Supervising faculty member” means the individual faculty member of a university who appoints, provides funding, and serves as the mentor for a postdoctoral scholar.
         
   16. “University” means the University of Arizona, Arizona State University, Northern Arizona University or any other university under the jurisdiction of the Arizona Board of Regents.
         
3. Appointment Procedures
     
   1. The president shall establish procedures for appointments of postdoctoral scholars. An appointment may become effective as of the date it is approved by the president or the president’s designee.
        
   2. All postdoctoral scholars may be appointed for one academic or fiscal year, or a portion thereof. Appointments may be renewed on a year-to-year basis for not more than four years after the initial appointment. No oral or written communication made prior to or after the execution of a notice of appointment or acceptance of an offer letter that is inconsistent or in conflict with the conditions of postdoctoral service (6- 310) shall become a part of the conditions of appointment.
        
   3. Generally, postdoctoral scholars are funded on the principal investigator’s or supervising faculty member’s external funding. Postdoctoral appointments that are dependent upon continuation of funding from a specific source other than state appropriations shall so state in the appointment document and may terminate when the funding is no longer available.
        
   4. Postdoctoral scholars shall have no expectation of appointment beyond the end of the current appointment period and are not eligible for tenure or continuing status.
        
4. Compensation
     
   1. The president may set individual salaries. Salary rates for reappointments will depend upon available funding. Merit raises may be allocated by the president within the limitation of available funds.
        
   2. Certain fringe benefits are made available to postdoctoral scholars and are subject to change by the legislature, the board, or the university.
        
   3. Postdoctoral scholars are entitled to twelve (12) days of sick leave accrual per year, ten (10) days of vacation leave during the first year of appointment and fifteen (15) days per year for subsequent appointments. Vacation leave does not carryover from year-to-year and is not paid out upon termination.
        
   4. Policies governing outside activities and supplementary compensation are administered by each university.
        
5. Employment related board policies
     
   1. The board has adopted various policies which may be a part of the employment relationship depending upon the terms of the particular policy. Among these policies are the patent policy, medical service plan, royalty policy and leave policy. Changes to existing policies may be made by the board and such changes will normally become effective at the beginning of the first appointment period following the period in which a change is adopted. Additional policies may be added to be effective as determined by the board.
        
   2. Each university shall maintain a compilation of such policies and shall take reasonable steps to inform postdoctoral scholars of the existence of such policies.
        
6. Duties and responsibilities
     
   1. Duties and responsibilities of a postdoctoral scholar shall consist of those assigned by the president or the president’s designee, who may be the principal investigator or supervising faculty member. All duties and responsibilities shall be carried out under the direction of the president or the president’s designee. Duties and responsibilities shall be related to the expertise and competence of the postdoctoral scholar.
        
   2. Performance of assigned duties by postdoctoral scholars shall be subject to evaluation by a principal investigator, supervising faculty member and/or appropriate administrator and performance shall be considered in decisions relating to compensation, retention, termination or a decision not to reappoint.
        
7. Reappointment

Postdoctoral scholars shall be given at least a sixty (60) day notification of non renewal prior to the end of the appointment period. Failure to provide a sixty (60) day notification of non renewal shall not constitute an automatic renewal of appointment. If notice of non renewal is given less than sixty days prior to the end of an appointment period, then the postdoctoral scholar shall be entitled to continuation of compensation for sixty (60) days from the date of notification. If funding is no longer available or eliminated, a postdoctoral scholar shall be provided with a thirty (30) day notification of termination of the appointment due to loss of funding.

8. Termination
     
   1. Methods of termination

The appointment of a postdoctoral scholar may terminate through resignation, non-renewal of appointment, loss of funding which supports the appointment, or dismissal for just cause during the appointment period for poor performance, work related misconduct, violation of board or university policies, or other serious reason as determined by the supervising faculty member.

2. Dismissal during the appointment period

1. The supervising faculty member shall provide a written recommendation of dismissal to the academic unit head, with a copy to the postdoctoral scholar. The recommendation shall provide the reasons or basis for the proposed action.

2. If the postdoctoral scholar disagrees with the reasons for dismissal, he/she may, within five (5) days after receipt of the recommendation, submit an appeal to the academic unit head, with a copy to the supervising faculty member.

3. The academic unit head will meet with the postdoctoral scholar and the supervising faculty member. Within ten (10) days after receipt of the appeal, the unit head will issue a written determination, affirming, reversing or modifying the recommendation of dismissal with the reasons for the decision.

4. Within five (5) days after receipt of the decision, the postdoctoral scholar may submit a request for reconsideration of the determination to the college dean, who will review the case and issue a final decision within ten (10) days after receipt of the request for reconsideration.

3. The supervising faculty member may decide not to renew the appointment of any postdoctoral scholar. In such case, the postdoctoral scholar is not entitled to a reason for the decision to non-renew the appointment or a hearing either prior to or subsequent to the decision.

4. Interim action

A postdoctoral scholar may be suspended with pay pending a dismissal in a case in which the supervising faculty member, unit head and college dean determine that the continued presence of the individual on the campus constitutes a substantial interference with the orderly functioning of the university or of a substantial area, unit, college or department of the university.

9. Discrimination review procedures
     
   1. Each university shall maintain a procedure for reviewing claims of unlawful discrimination.
        
   2. Whenever a postdoctoral scholar believes that a decision on reappointment, non-renewal, or dismissal was based on unlawful discrimination, the individual shall have a right to have his or her complaint reviewed in accordance with university policies and processes for investigation and disposition of such complaints.
        
10. Implementation

The president shall establish such additional policies and procedures consistent with this policy as may be needed to carry out the conditions of postdoctoral service (6- 310).

11. Severability

If any section, paragraph, subdivision, clause, sentence or phrase of this policy shall for any reason be held illegal or unenforceable, such decision shall not affect the validity of the remaining portions of the policy. If any provision of this policy contains an ambiguity, which may be construed as either valid or invalid, the valid construction shall prevail.

ARTICLE D.    STAFF   [PDF]

6-401 Hiring Procedures - Repealed  (PDF)

6-402 Compensation Administration Policies  (PDF)

1. Definitions

1. Job/Classification

Taken as a whole, the collection of tasks, duties and responsibilities constitutes the assignment for one or more individuals whose work is of the same nature and is performed at the same skill/responsibility level.

2. Position

A job opening or a job occupied by an employee.

3. Promotion

The movement of an employee to another position in a higher pay grade as a result of a competitive process.

4. Reclassification

The process of describing, analyzing and evaluating a vacant position which results in a change.

5. Reassignment

Changing an employee from one class to another class (typically to the same or lower salary grade).

6. Demotion (Involuntary)

The movement of an employee to a position with a lower salary grade than the current position due to performance or disciplinary reasons.

7. Career Progression

A non-competitive advancement of an employee within a department from one level in a job family or career path to a higher salary level based upon an increase in the employee's qualifying knowledge and skills, assigned duties and responsibilities and management's need for the higher level.

Criteria (may include but not be limited to):

1. The employee's increased assigned duties conform to the higher level of duties and responsibilities (functional job description).

2. The employee's experience, education and training meet established minimum qualifications of the higher level classification as certified by the universities employment service department.

3. The employee's most recent performance evaluation reflects above satisfactory job performance overall.

4. There is a distinct and recognized organizational need for the advancement and specific benefits are identified and documented which the department derives from these changes.

5. Funding availability within the unit to advance the employee to a higher pay level has been formally authorized.

6. Twelve (12) or more months have elapsed since the employee's last career progression.

7. Signatory certification by the appropriate Dean/Director has been obtained.

8. Transfer

The movement of an employee from one department or university to another department or university within the same classification and/or grade.

2. Hire/Promotion

Classified staff employees within the Arizona Universities Personnel system shall be assigned a rate that does not exceed the midpoint of the designated salary range. The rate should be the minimum of the range for acceptable and qualified individuals. Individuals whose qualifications exceed the minimum may be appointed at a rate above the minimum up to the range midpoint. Hires above the range midpoint are subject to approval of the human resources director or designee(s). Where it is necessary for a university to establish a market differential job rate that is different from the established "job rate", the appropriate salary range shall be adjusted at the minimum, midpoint and maximum for that classification.

3. Reassignment

An employee who is reassigned shall have his/her salary set at a rate of pay within the new pay grade providing it does not result in an increase in pay or does not exceed the maximum of the new assigned pay grade.

4. Demotion

An employee who is demoted shall have his/her salary set at a rate of pay which is within the lower pay grade range.

5. Rehire

A rehired employee whose separation from the university did not exceed twelve (12) months may be credited, at the discretion of each university, with any unused sick hours he/she had accrued prior to termination and may assume his/her previous annual leave accrual rate. Formally approved leaves of absence without pay are not considered as separations for the purpose of this policy.

6. Transfer

1. An employee who is transferred to a position in the same classification or to another classification in the same pay grade shall be paid the same salary as received prior to transfer or the approved hiring rate for that job classification, if any.

2. A transferred employee is eligible for regular salary adjustments.

7. Assignment to Special Duty

1. Assignment to special duty, when desirable to effect a salary change, shall not be of less than thirty (30) days duration nor shall such an assignment exceed one year.

1. An employee who is approved for a special duty assignment to a higher pay grade position than his/her current position shall receive a salary increase to an approved rate which falls within the grade salary range for the classification of the new position, subject to the maximum salary rate allowable under the promotion policy.

2. An employee must assume the majority of duties and responsibilities of the special duty assignment in order to be eligible to receive this salary increase.

3. If the employee is to assume a lesser portion of the duties, a temporary equity adjustment may be given without acknowledging any classification change.

4. An employee who is reassigned to special duty as a lower pay grade position shall retain his/her present salary.

2. When the assignment to special duty has been completed, the employee returns to his/her former position, pay grade and salary rate. The employee should receive any merit increase (not equity adjustments addressed above) for which he/she became eligible and was recommended during the assignment, plus any general salary adjustment which may have been granted to all employees in that classification.

3. Temporary assignments of less than thirty (30) days may be made without any change of compensation.

8. Voluntary Reassignment

An employee who voluntarily accepts a reassignment to a position having a classification in a lower pay grade shall move to any salary in the lower pay grade salary range or retain present salary.

9. Overtime Compensation

1. Each university shall administer overtime compensation subject to the conditions set forth in this policy and the Federal Fair Labor Standards Act.

2. Exempt Employees

Overtime pay or compensatory time off normally shall not be granted to employees exempt under definitions contained in the Federal Fair Labor Standards Act. There are instances, however, when flexible work hours should be permitted.

3. Rates

Cash payment shall be granted at the rate of one and one-half times the regular rate of compensation for each overtime hour worked. Compensatory time off shall be at the rate of one and one-half hours for each overtime hour worked. The method of payment shall be determined by the university president or designee in accordance with provisions of the Fair Labor Standards Act.

4. Required Overtime

Employees are expected to work overtime when required. Overtime work shall be allocated as evenly as possible among all employees qualified to perform work within each department or work unit. Employees are not permitted to work overtime unless authorized in advance by the employee's supervisor.

5. Maximum Accruals

Each university shall adhere to a maximum compensatory time accrual limit of 120 hours for all employees. The vice president responsible for personnel may authorize exemptions to the maximum accrual limit, however, in no event shall it exceed the maximum accrual rate established by the Federal Fair Labor Standards Act.

6. Payment for Compensatory Time

Upon termination from university service or change in eligibility status unused compensatory time shall be paid to non-exempt employees in accordance with the Fair Labor Standards Act. (A.R.S. 23-391)

10. Shift Differential/Standby

Each university may establish differential/standby rates for positions at their institution based on the prevailing labor practices and demonstrated need for employee recruitment and retention.

11. Supplemental Compensation for Exempt Employees

1. Supplemental compensation may be paid to an exempt employee who performs work during hours outside his/her normal work schedule and such work is approved by his/her supervisor, and is performed for a department other than the employee's regularly assigned department or is specifically and distinctly out of job classification work.

2. Supplemental compensation payment for work within the employee's regular job classification performed in a department other than the employee's assigned department shall be at the employee's regular rate of pay.

3. Supplemental compensation payment of work specifically and distinctly outside the employee's regularly assigned job classification shall be within the salary range of the job classification which most closely encompasses the supplemental work or at a rate approved by the vice president responsible for personnel or designee.

12. Employee Movement Between Institutions

Each university and the Central Office shall develop procedures allowing for movement between the institutions and the Central Office subject to the following:

If hired, employees shall:

1. Serve a trial service period of six (6) months. If the trial service period is not satisfactorily completed, the employee shall be placed on the prior institution's layoff list or corresponding department of personnel register (if there is one);

2. Retain their former anniversary date;

3. Retain sick leave balances. Vacation leave accrual rates shall remain at the same rate as in effect prior to transfer;

4. Have their salary set in accordance with appropriate compensation policy; and

5. Retain all other rights, privileges and benefits of the Arizona University System classified service.

13. Trainee Assignments

Each university and the Central Office shall establish procedures to deal with trainees subject to the following:

1. Trainees will be hired at a pay rate below the minimum of the rate of pay for the position for which training is being conducted (but not less than the established Federal Minimum Wage);

2. Trainee positions will not last longer than one calendar year;

3. Trainees will be evaluated no less than once per quarter during their training period and, if their performance is satisfactory, they will be advanced in pay a predetermined rate until they reach the minimum of the pay grade upon completion of their training period, and

4. All trainee appointments will be made in writing and will outline the position for which they are training, the beginning rate of pay, the evaluation periods, the criteria for periodic increases in compensation for satisfactory performance and a statement that the employee understands the applicable probationary policy.

14. Furloughs

Regardless of the terms of employment outlined in ABOR and University policies, a member of the Classified Staff may be placed on furlough under a furlough plan approved pursuant to Board policy 6-810.

6-403 Classification Administration Policy  (PDF)

All classified positions within the Arizona Universities Personnel System shall be incorporated into the uniform classification plan.

6-404 Evaluation of Classified Staff  (PDF)

General Policy

Classified staff employees shall be evaluated in writing on the performance of their duties in accordance with the following guidelines:

1. Classified staff shall have their job performance, including performance in achieving affirmative action goals, professional growth and future potential formally reviewed on a scheduled basis at least once every twelve (12) months.

2. Elements of the evaluation shall consist of, but shall not be limited to:

1. Written specific, predetermined standards of performance related to the duties and responsibilities of the employee's position.

2. Management assessment of actual performance and accomplishments.

3. Management determination of an overall performance evaluation rating.

3. The performance evaluation shall be discussed with and a copy provided to the classified staff employee. The employee shall have the opportunity to add his/her comments to this statement as a part of the official record.

4. Each university shall establish a procedure by which the classified staff employee who disagrees with the evaluation may request that his/her performance evaluation be reviewed at the next administrative level.

6-405 Probationary Period  (PDF)

1. A classified staff employee shall serve a probationary period following the initial hire, transfer, rehire or other job change to be determined by each university.

2. At any time during a probationary period the university or the employee may terminate the employment relationship for any reason.

3. Upon successful completion of their probationary period, classified employees shall be continued in University employment as long as they perform their duties in a satisfactory manner, they comply with all ABOR and University policies, rules, and regulations and provided that there is adequate budget and/or a continued need for their services and/or position.

6-406 Grievance Procedure  (PDF)

Classified employees who have successfully completed their probationary period shall be afforded the opportunity to address concerns as defined by each University's published grievance procedure as referenced in ABOR Policy 6-904 (Grievance).

ARTICLE  E.     BOARD STAFF   [PDF]

6-501 Board Staff  (PDF)

The policies governing the universities' administrative, professional, and classified staff shall also govern the Arizona Board of Regents' staff under the direction of the Executive Director for the Board. Procedures utilized in the administration and implementation of said policies are recorded and described in the Arizona Board of Regents' employee handbook.

ARTICLE  F.     RETIREMENT AND BENEFIT PLANS   [PDF]

6-601 Retirement Plans  (PDF)

All eligible employees of the universities are required to participate in an approved retirement plan except those employees and other persons exempted from participation under A.R.S. 38-727. The rates of employee/employer contribution are periodically reviewed and may be subject to change.

1. Classified staff and other university personnel eligible under A.R.S. 38-781.01 shall participate in the Arizona State Retirement Plan.

2. Administrative staff, professional staff and faculty eligible under A.R.S. 38-781.01 shall participate in either the Arizona State Retirement Plan or an Optional Retirement Plan as designated by the Board subject to the provisions of ABOR Policy 6-602 (Optional Retirement Program).

6-602 Optional Retirement Program  (PDF)

The optional retirement program shall be offered only to those employees included under their employment categories of Administrative (ABOR Policy 6-101), Faculty (ABOR Policy 6-201), and Professional (ABOR Policy 6-301).

1. An employee, assuming a position which grants entitlement to membership in an optional retirement program, or upon being made eligible for participation in an optional retirement program as a result of the adoption of this policy, shall be advised in writing of this right and shall have a period of thirty days following notification in which to make an election and complete the necessary enrollment requirements. Enrollment in an optional retirement program is prospective only and shall not affect prior contributions made to any other retirement program.
   
   
2.  Optional retirement plan state contributions and interest thereon being held by a university pending an employee's completion of five years of creditable service shall be transferred to the gaining institution if an employee is offered employment by and is transferring to another university within the Arizona Board of Regents System. This transfer of funds is required whether or not the position is eligible for participation in an optional retirement program.
   
   
3.  A phased retirement program is available to participants of the Optional Retirement Plan with appropriate university approval.
   
   1. The phased period will be for no more than three years.
      
   2.  The phased period may be accelerated upon mutual agreement of the university and the participant; however, the period may not be extended.
      
   3.  Employment must be no less than 50% FTE, unless otherwise requested by the participant.
      
   4.  Salary will be reduced according to the participant’s FTE rate.
      
   5.  Both participant and employer retirement plan contributions will continue based on the participant’s reduced salary.
      
   6. Tenured faculty must relinquish tenure at the end of the phased period. Individuals with continuing status must relinquish continuing status at the end of the phased period.
      
   7.  The terms and conditions of the phased retirement will be documented in a written agreement between the participant and the employer which will include the participant’s eligibility for the phased retirement program and the date of retirement.

6-603 Voluntary 403(b) Program  (PDF)

The program was established by the Board of Regents, effective July 1, 1963, and is modified or amended from time to time.

1. The voluntary 403(b) program is subject to the following provisions:
   

1. Any eligible employee may, upon voluntary written agreement to be managed through an online enrollment process, elect to accept a reduction in salary under this program.

2. For each employee electing a salary reduction, the institution shall purchase a nonforfeitable contract within the meaning and limitations of Section 403 (b) of the Internal Revenue Code. The cost of the contract is to be equivalent to the salary reduction.

3. Each salary reduction agreement shall contain any other provisions necessary to administer the program and comply with IRS requirements.

4. Each participating employee may specify within their written salary reduction agreement any company approved through the Board of Regents competitive bid process.

2. Approved companies shall operate in accordance with the following guidelines and directives:
   

   1. All contracts must comply with applicable laws.

   2. A company will not solicit by use of misleading or false promises or statements. Written material referring to a university shall not be used without the expressed approval of the university concerned. Further, a company may not use a "telephone room" operation for soliciting appointments from university personnel. Each company may make appointments at the request of the employee based upon a referral or written material mailed to the employee's home.

   3. A company will not use its status as an approved voluntary 403(b) company to market any product, other than those within the meaning and limitations of Section 403 (b) of the Internal Revenue Service Code, including life insurance.

   4. Each company must guarantee that each plan offered is a "qualified" plan as defined under Section 403 (b) of the Internal Revenue Service Code in order to secure approval as a voluntary 403(b) company. The guarantee must provide that the company will pay any taxes, interest and penalties imposed on the employee or the Board if it is determined that the plan is not qualified.

   5. Each university reserves the right to regulate the solicitation practices of agents or companies conducting business at any one of the universities.

   6. Each company offering a voluntary 403(b) plan to university employees shall not discriminate in offering or administering such a plan on the basis of race, color, sex, national origin, age, ethnicity, religion, handicap, or veterans' status.

   7. Each company approved under these guidelines agrees to furnish data pertinent to their products being offered and its company when requested by the Arizona Board of Regents or one of the universities. Further, each approved company agrees to comply with rules formulated by each university governing the administration of voluntary 403(b) plans and controlling solicitations on campus, and to offer only contracts which meet the criteria set forth herein.

   8. An authorized officer of each approved voluntary 403(b) company must acknowledge and attest in writing that the company meets all criteria set forth in these guidelines and agrees to these terms and conditions. Violation by a company of these guidelines may be cause for revocation of that company's approval to enter into further contracts with any Board of Regents' or university employee.

   9. Each approved company is required to work with the common remitter selected by the university.

   10. Each approved company agrees to administer the plan in accordance with the plan document, board policy, terms of the most recent competitive bid process and federal regulations.

6-604 Benefit Plans  (PDF)

The Board of Regents provide certain benefit plans to eligible employees described within each plan document. Copies of benefit plan documents are available at each of the universities and the Board's Central Office. All benefit plans are subject to change.

6-605 American Football Coaches Retirement Trust  (PDF)

1. The universities are authorized to enter into Employer Participation Agreements, thereby permitting eligible employees to participate in the American Football Coaches Retirement Trust (AFCRT) in accordance with the provisions and restrictions contained in IRC 401 (k).

2. Any eligible employee may, upon voluntary written agreement, elect to accept a reduction in salary under this program. Eligible employees shall be defined by the AFCRT.

3. Each salary reduction agreement shall contain any other provisions that may be necessary to administer the program and comply with IRS requirements.

4. Contributions to the AFCRT shall be limited to employee pre-tax contributions and no after-tax contributions or employer contributions shall be allowed.

5. By authorizing the universities to participate in the AFCRT, neither the Board nor the universities are assuming any responsibility for: (i) the proper administration of the AFCRT, specifically including, without limitation, non-discrimination testing, maximum contribution limits and other IRS qualification requirements; or (ii) the proper investment of the funds contributed by the Employee to the AFCRT.

6-606 Long Term Care Insurance  (PDF)

Each university may contract with one or more insurance carriers to provide long-term care insurance coverage to employees. The full costs of such coverage shall be paid by participating employees. Such contracts shall be in accordance with guidelines approved by the Executive Director after consultation with the University President. These guidelines shall provide minimum standards or criteria relating to the scope of coverage and to the capacity of the carrier(s) to provide the coverage, including but not limited to standards for criteria in the following areas:

1. Capacity of Carrier

1. Financial stability and demonstrated experience;
2. Ability of carrier to obtain and maintain minimum enrollment of eligible employees;
3. Reasonable limitations on solicitation practices;
4. Assurance of non-discriminatory practices;
5. Ability to provide participants with clearly defined description of scope of coverage.

2. Scope of Coverage

1. Availability to employees and retirees and their spouses, parents and parents-in-law;

2. Availability of coverage for nursing home care, home health care and adult day care for mandatory minimum time-frames;

3. Limitations that may be imposed relating to when coverage will be made available, e.g., whether hospitalization must precede stay in nursing home;

4. Minimum inflation protection options;

5. Guaranteed portability and renewability provisions; and

6. Permissibility of limitations of coverage based upon pre-existing conditions.

6-607 Voluntary Separation and Retirement Incentive Program  (PDF)

1. Authority

Each university may establish a voluntary separation and retirement incentive program for eligible employees. The president of the university shall review and approve the program prior to its implementation. The design and duration of such a program, including the definition of eligibility criteria for participation, shall be at the determination of each university subject to the program being in the best educational interest of the university and the state.

2. Report to the Board

Each university that chooses to implement a voluntary separation and retirement incentive program shall submit an annual report to the Board by October 1 of each year for the preceding fiscal year in which such a plan was implemented.

 

ARTICLE  G.     EMPLOYMENT PROVISIONS   [PDF]

6-701 Loyalty Oath  (PDF)

In accordance with A.R.S. 38-231, each employee (excluding aliens) shall be required to affirm his/her allegiance to the United States and the State of Arizona by signing a loyalty oath prior to receiving any compensation. An employee who objects on religious grounds to the loyalty oath form may revise this form or submit an alternative signed loyalty oath which: (1) is acceptable to the employee's religious beliefs and (2) otherwise retains a meaning and intent to the loyalty oath's statutory requirements.

6-702 Equality of Opportunity and Affirmative Action  -  Repealed  (PDF)

6-703 Employment of Aliens  -  Repealed  (PDF)

6-704 Hiring of Relatives  (PDF)

1. Persons related to each other may be employed at a university, except that no employee of a university may employ, direct the employment, promote, or direct the promotion, supervise the work, evaluate the performance, or influence the compensation of any person related to the employee within the third degree, or work for, arrange, suggest or be a party to the employment, or promotion of any person in consideration of the appointment or promotion of a person related to the employee within the degree provided by this section.

2. Persons related to each other may be employed in the same department or other comparable administrative unit except when:

1. An employee is responsible for making decisions in personnel matters involving the appointment, retention or salary level of any person related to the employee within the third degree.

2. An employee is responsible for supervising, evaluating or auditing the work of any person related to the employee within the third degree.

3. Other circumstances exist which place an employee in a situation of actual or reasonable conflict between the interests of the university and that of any person related to the employee within the third degree.

3. An employee can be related to a person within the third degree either by affinity or consanguinity. Relationships to the third degree include: parents, parents-in-law, brother, sister, spouse, son, daughter, brother-in-law, sister-in-law, son-in-law, daughter-in-law, grandparents, great-grandparents, grandchildren, great-grandchildren, aunt, uncle, niece, and nephew.

6-705 Outside Employment  (PDF)

An employee may obtain outside employment or render professional services provided:

1. It does not in any way interfere with the university duties of the employee; and

2. Outside employment is fully consistent with all rules promulgated by the university and the Board of Regents.

6-706 Change of Employment from One University to Another  (PDF)

Employees, including regents staff, who change employment from one university or board office to another within thirty calendar days shall maintain all accrued sick leave hours and service credits for vacation computation purposes.

6-707 Sexual Harassment  - Repealed  (PDF)

6-708 Mandatory Retirement  -  Repealed  (PDF)

6-709 Mandatory Background Checks for Employees and Process for Hiring, Retaining, or Terminating Employees Convicted of a Felony Offense  (PDF)

The Arizona University System’s faculty and staff are expected to meet high admission, performance and ethical standards. Accordingly, the universities shall develop policies incorporating a common set of principles that mandate comprehensive and reliable reference checks and background investigations before offering employment to candidates. In addition, the universities shall develop policies that result in prompt administrative actions, consistent with due process of law, for any university employee who has been convicted of a felony offense.

1. Definitions
      
   1. “Reference check and background investigation” means any communication with an employee’s or applicant’s current or former employer that concerns the education, training, experience, qualifications and job performance of the employee or applicant and that is used for the purpose of evaluating the employee or applicant for employment. It may also include the results of any academic credentials check, any state or federal criminal history record check and the results of any state motor vehicle department record check.
         
   2. “Conviction” means a criminal felony offense or other criminal conviction that may indicate unsuitability for university employment.
         
   3. “Security” or “safety sensitive position” will be defined at each university and will include those positions with the potential to expose the university to extensive liability.
         
2. The hiring policies shall set forth the process for:
      
   1. Requiring disclosure of all convictions by the finalist, including internal hires, for each administrative, service professional, classified, faculty and academic professional position;
         
   2. Securing criminal background information on each finalist, including internal hires, for employment and fingerprint checks on each finalist who indicates, or is determined through background investigation, that she/he has a prior conviction;
         
   3. Fingerprinting and conducting criminal history checks on each finalist, including internal hires if this was not conducted when the employee was initially hired, for security, safety-sensitive positions, and such other designated positions as are deemed appropriate by the university; including but not limited to, jobs in programs which require or allow for the unsupervised provision of services directly to minors who are not enrolled students of the university;
          
   4. Conducting background investigations, which shall include at least reference checks and verification of employment information with past employers on all final candidates for employment;
         
   5. Conducting academic credentials checks for faculty positions and other designated positions;
         
   6. Designating felony offenses, based on level of severity, which would require presidential approval before an offer of employment could be extended; and
         
   7. Taking appropriate action when the finalist makes false representations or omits material factual information.
         
3. The policies relating to the retention or termination of an employee who has a record of a criminal conviction prior or subsequent to being hired shall at a minimum include a process for the following measures. The extent of these measures shall be determined based upon the level of severity of the offense, the amount of time that has passed since the offense was committed, and other factors deemed relevant by the university:
      
   1. Placing the employee on administrative leave when the university becomes aware of the felony conviction;
         
   2. Conducting an immediate review of the circumstances surrounding the commission of the offense;
         
   3. Providing due process to employees in accordance with Board and university policies before taking disciplinary action; and
         
   4. Taking disciplinary action commensurate with the offense, which may include dismissal from employment.
         
4. In considering whether to hire, retain, or terminate an employee who has been convicted of a felony offense prior to or after employment, the universities shall consider the following factors:
      
   1. Whether the nature of the felony is relevant to the duties of the employee;
         
   2. If the felonies were committed by a minor for which proceedings were held under the jurisdiction of a juvenile or an adult court;
         
   3. If the employee or prospective employee has been pardoned or if the sentence has been commuted or reversed on appeal; and
         
   4. The employee’s or prospective employee’s employment history since the commission of the felony.
         
5. A university may release the results of a reference check and background investigation to another university under the jurisdiction of the Arizona Board of Regents for employment purposes.
      
6. The universities shall submit the policies developed pursuant to this policy to the Executive Director of the Board of Regents. The policies shall be subject to review by Board Counsel for consistency with this policy.

6-710 Severance Agreements (PDF)

Before a university may enter into a severance agreement with an employee who has admitted to or has been found to have intentionally violated ABOR Policy 5-301, et seq., (Code of Conduct) or any university policy for which the employee could have been subject to disciplinary action, the university must seek and obtain a waiver from ABOR Board Counsel if the agreement releases the employee from liability for the employee’s misconduct.

6-711  Internal Control Responsibilities (PDF)

The universities will establish and maintain a system of internal controls to promote effectiveness and efficiency of operations, reliability of financial reporting and, compliance with applicable laws and regulations.

The president and the senior management of each university are responsible for establishing the internal control structure and for providing relevant information regarding policies and controls to all university personnel.  Academic and nonacademic administrators at every level are responsible for compliance with university and board policies and controls.

Ultimate accountability for establishing, maintaining and monitoring a system of internal controls at each university rests with the president. The president may, however, delegate all or a portion of the implementation to other senior managers, in conformance with guidelines to be adopted by the Board.

webrev: 6/2009