Each university president shall designate ten paid official university holidays per year.
Holidays falling within a paid absence period such as vacation, sick leave and military leave will be treated as paid holiday leave. Employees must be in approved pay status or on a furlough day under a furlough plan approved pursuant to Board policy 6-810 the first scheduled working day before and after the holiday to be eligible for holiday pay.
Employees who cannot be excused from their duties on a university holiday will be granted commensurate time off with pay for each holiday on which they worked.
6-802 Religious Holidays (PDF)
Employees may not be discriminated against because of their religious beliefs or practices, or absence of religious beliefs or practices.
All employees who are employed at 50% time or more and whose employment is expected to continue six months or more, except academic-year faculty, are eligible for paid vacation leave.
- First two years of continuous service - eleven (11) working days not to exceed 88 hours per year;
- Third through fourth years of continuous service, sixteen (16) working days not to exceed 128 hours per year;
- Fifth year and thereafter of continuous service - twenty-two (22) working days not to exceed 176 hours per year.
Administrative, Professional and Classified Staff employees who
are employed at 50% time or more and whose employment is
expected to continue six months or more, are entitled to accrue
paid sick leave at the rate of one (1) day for each month of
service from the first day of eligible employment.
Each university shall establish policy governing the accrual of
sick leave based on time of service and governing the usage of
such leave for eligible employees including faculty.
Subject to the approval of the chair of the Board’s Human
Resources Committee and the Board’s executive director,
universities and the Board central office may adopt policies to
temporarily allow the limited advancement of sick leave to
employees who have otherwise exhausted other forms of paid
leave. Decisions to advance sick leave during periods of serious
contagious illness, such as a pandemic, will consider public
health benefits and continuance of institutional, instructional,
research and service functions while minimizing disruption and
delay that would otherwise be occasioned by an ill workforce.
The amount of sick leave earned in accordance with paragraph A.
is based on 100% full-time equivalent employment. Employees
working less than 100% full-time equivalent, but at least 50%
full-time equivalent, earn sick leave prorated to the percentage
of time paid.
Accrued Sick Leave May Be Used Only When:
An eligible employee is unable to perform his or her duties
because of illness, injury, pregnancy, childbirth or related
medical conditions:;
An eligible employee wishes to obtain health-related services
not reasonably available before or after the employee's regular
working hours; or
An eligible employee is absent due to illness or
communicable disease within the employee's
immediate family, established household, or in
situations which place primary responsibility
for care on the employee; or
An eligible employee wishes to use sick leave upon the death of
family members who are not covered under Board Policy
6-806, Bereavement Leave. Employees may use up to three days of
accrued sick leave for this purpose and two additional days to
attend or arrange funeral services out-of-state.
Upon termination of employment, except for retirement, an
employee shall not be paid for accumulated sick leave. All
faculty and staff at each university shall be eligible to
receive payment for accumulated sick leave at the time of
retirement consistent with the provisions of A.R.S. § 38-615,
subject to the availability of funds. Upon termination, an
employee may be responsible for repayment of sick leave advanced
under university or central office policy.
6-805 Leave of Absence Without Pay (PDF)
Each university shall establish policies governing leaves of absence without pay. These leaves may include, but not be limited to, medical, parental and personal matters.
Two (2) additional paid working days may be granted to attend or arrange funeral services out-of-state.
Employees must be in a pay status in order to receive paid bereavement leave.
6-807 Administrative Leave (PDF)
Employees may be entitled to administrative leave with pay in the following described instances:
Employees must be granted leave for voting purposes as provided by law.
Employees may be granted temporary emergency leave if they are excused from work by the president of the university or the president's designee due to natural disasters, or other reasons which are in the best interest of the university or employees.
An employee called upon for service as a jury member or as a material witness, unless related to the employee's business or personal matters, must be granted leave sufficient to provide the subject service. Any employee who receives a fee as juror in accordance with A.R.S. 12-303 shall either remit such fee to the institution or have an equal amount deducted from his/her pay. Reimbursements for travel expenses may be retained by the employee.
Employees who enter into active duty for extended periods with any component of the U.S. Armed Forces will be placed on Extended Military Leave without pay with such consequences as current law may provide.
Employees who are members of the Military Reserve Units or the Arizona National Guard are entitled to receive their regular compensation during a period of Active Duty Training, such period not to exceed thirty (30) days in any two (2) consecutive calendar years. The period of time spent in training under orders shall not be deducted from the vacation with pay to which any officer or employee is otherwise entitled.
Any military leave in excess of thirty (30) work days in any two (2) consecutive calendar years must be taken as leave without pay or by using accrued vacation or accrued compensatory time.
6-809 Compassionate Transfer of Leave (PDF)
Each university and the Central Office shall establish procedures by which employees may transfer their accrued vacation to other employees who are eligible to accrue vacation and who are unable to work due to suffering a catastrophic illness/injury or who are absent due to catastrophic illness/injury within an employee's immediate family, established household or in situations which place primary care responsibility for care on the employee. These transfers are subject to the following conditions:
- Seriously incapacitating. (In the case of the employee, the employee is unable to perform all the duties of the job held at the time of disability or is unable to perform available light duty work);
Extended. (The anticipated duration of the disability is at least forty-five (45) days); and
Confirmed in writing by a physician chosen by the employee, subject to reconfirmation by a physician chosen by the university.
Recipients must have passed their initial probation if appropriate.
Contributions must be voluntary.
Contributors must retain a minimum balance of eighty (80) vacation hours after the leave transfer.
Recipients who are enrolled in a short term disability program offered by the universities must apply for, and, if eligible, receive their short term disability benefits before compassionate transfer of leave contributions can be used beyond the initial short term disability waiting period. Compassionate transfer of leave contributions (other than for the initial short term disability waiting period) for such recipients may only be used to supplement the short term disability payment up to but not to exceed the recipients' regular rate of pay. In no event shall compassionate transfer of leave be used in lieu of long term disability unless such a claim has been denied by the carrier.
Contributions shall not exceed the anticipated period of disability or until long term disability benefits commence, whichever is shorter.
Transfers shall be accomplished by determining the dollar value of the hourly vacation contribution and by increasing the recipients sick leave balance by that value.
The purpose of this policy is to provide an option for university presidents and the executive director to respond to severe budget constraints, including those that arise from substantial reductions in state appropriations, the occurrence of natural or physical disasters, terrorism, or a public health emergency.
A university president or executive director who wishes to implement or amend a furlough plan must first provide a copy of the furlough plan to and receive approval from the Human Resources Committee of the Board. Once approved by the Human Resources Committee, a university president or executive director may implement the furlough plan, in accordance with applicable law.
Under a furlough plan, categories of university and central office employees (which may include administrative, faculty, professional, and staff as determined by the university president or executive director) are required to take time off work without pay, which will effectively reduce the compensation of these employees during the fiscal years when the furlough plans are in effect.
Employees shall not be required to work in their areas or perform official duties during a period of furlough.
The furlough plan for an individual university or the central office must identify the category or categories of employees to be affected by the furlough, the number of days of the furlough, and other issues specific to implementation at that university or the central office.
The plan shall be implemented in a manner that ensures the continuation of essential services with minimum disruption to the institutions, particularly with respect to the maintenance of class schedules, essential student services, campus safety and institutional patient care activities.
No vacation or sick leave pay, compensatory time pay, or any other form of paid leave may be used in lieu of the time off without pay assigned to a period of furlough. No overtime or compensatory time may be granted to compensate an employee for the loss of pay resulting from a period of furlough.
No reduction of employment health or leave benefits may be required as a result of implementation of the furlough plan.
The universities and the central office shall provide regular status updates to that committee on implementation of and any changes to their plans.
The plan must reflect the best interests of the Arizona university system.
The furlough plan may take into account employee compensation levels or employment categories in establishing the number of furlough days required by the plan.
6-811 Leave of
Absence for the Purpose of Bone Marrow or Organ Donation
As required
by A.R.S. § 41-706, a board or university employee is entitled to a leave of
absence for the purpose of bone marrow or organ donation as follows:
Five work days to serve as a bone marrow donor for a bone marrow
transplant if the employee provides the employer with written
medical certification issued by the employee’s health care provider that
the employee is to serve as a bone marrow donor.
Thirty work days to serve as an organ donor for a human organ
transplant if the employee provides the employer with written
medical certification issued by the employee’s health care provider that
the employee is to serve as an organ donor.
An employee who is granted a leave of absence pursuant to this
section is entitled to receive base pay without interruption
during the leave of absence. For the purpose of determining
seniority, pay or pay advancement and performance awards and for
the receipt of any benefit that may be affected by a leave of
absence, the service of the employee is considered uninterrupted
by the leave of absence.
The employee will not be penalized for requesting or obtaining a
leave of absence pursuant to this section.
General Policy
Each of the Arizona universities shall establish and maintain a system of compensation which encourages and promotes excellence in performance of faculty, professional staff, administrators and classified staff. To this end, the universities shall operate with a Board-approved salary increase plan that provides for rewarding employees in recognition of satisfactory and above-satisfactory performance and provides for a process by which other salary increase considerations are resolved. Monies appropriated and identified by the Legislature as funds to be used by the universities for salary increases shall be divided and distributed under guidelines applicable to two categories: (1) adjustment funds; and (2) performance funds.
Adjustment Funds
In order to maintain an effective compensation plan on each of the campuses, the universities shall continually assess the need for these increases. Such increases may include: (1) market, (2) equity, (3) promotion, and (4) reclassification. Each university shall determine the amount of adjustment funds needed each year for each of the four employee groups and shall request that the Arizona Board of Regents set aside such an amount from the total funds made available by the Legislature for salary increase purposes.
Performance Funds
Performance increases shall be distributed on the basis of an assessment of employee performance. University-approved formal performance evaluation plans administered at the departmental or other organization unit level at each university shall provide the documentation for performance awards to employees in each of the four groups.
Procedures
Funds appropriated to each university for salary increase purposes shall be allocated to each of the four employee groups (faculty, professional, administrative, classified) in proportion to their share of the salary base of that university. Each university shall submit to the Board of Regents a plan for dividing the funds allocated to each of the four employee groups between adjustment funds and performance funds. The Board of Regents shall authorize such division of funds for each of the four employee groups, recognizing different circumstances and needs may lead to different proportions of adjustment funds and performance funds among the various employee groups and among the three universities. Unless exception is approved by the Arizona Board of Regents, no funds allocated to an employee group (faculty, professional, administrative, classified) shall be used to enhance the salaries of employees outside of that employee group. Any exception must be based on compensation-related factors and circumstances which justify an alternative distribution method.
Compensation Report/Salary Adjustment Report
Each year the president of each university shall submit a compensation report to the Arizona Board of Regents upon request. The report shall include such information as requested by the Board.
Performance Based Incentives
Each university and the Central Office may establish procedures to develop and administer a performance based incentive program to promote efficiency and effectiveness subject to the following:
Incentives shall clearly relate to a measurable standard of performance which must be achieved.
Program must be for all employee groups. All employees in .50 - 1.0 FTE positions shall be eligible to participate.
Incentives shall result in cost reductions, improved service quality or improved productivity.
Sources of funds may be from up to 80 percent of salary savings, other monies appropriated from the state general fund, or other sources.
University procedures for awarding increases in compensation for future services shall be submitted to the Executive Director of the Board for presentation to the incentives program oversight review committee for review and recommendation.
This policy shall not prevent a university or the
central office from establishing other performance based incentive programs that
provide for other means of recognizing and rewarding exemplary performance in
addition to increases in compensation for future services. These may include
one-time incentive or recognition awards based upon previously established
criteria for measuring performance.
6-902 Qualified Tuition Reduction Program (PDF)
Policy
It is the intent of the Arizona Board of Regents to implement a Qualified Tuition Reduction Program under Section 117 of the Internal Revenue Code which allows eligible employees, their spouses and eligible dependent children; eligible disabled employees, their spouses and eligible dependent children; eligible retired employees, their spouses and eligible dependent children; and spouses and eligible dependent children of deceased eligible employees, to enroll in courses of study at reduced tuition rates. This Qualified Tuition Reduction Program is reciprocal among the three state universities. Eligibility begins on the first day of employment
Eligible Employees
All administrative, faculty, professional and classified staff employees, except graduate assistants and associates, who are currently employed at fifty percent (50%) time or more and whose employment is expected to continue six (6) months or more and their spouses and dependent children, are eligible to participate in the qualified tuition reduction program.
All retired administrative, faculty, professional and classified employees, and their spouses and dependent children, who were eligible for reduced tuition rates at the time of their retirement and have completed at least five (5) years of continuous, full-time employment in the Arizona university system immediately preceding retirement, who are receiving a retirement annuity under an Arizona university-sponsored retirement program and who are at least fifty (50) years old, and whose employment has not been terminated for cause by the university are eligible to participate.
All university peace officers that have retired before age fifty (50) pursuant to the provisions of the Arizona Public Safety Personnel Retirement System but have completed five (5) continuous years of full-time employment in the Arizona University System immediately preceding retirement and their spouses and dependent children are eligible to participate.
All eligible administrative, faculty, professional and classified employees, on an approved leave of absence, and their spouses and dependent children, are eligible to participate for the duration of the approved absence.
All employees, with at least five (5) continuous years of employment immediately preceding termination, who terminated employment based upon long-term disability, their spouses and dependent children are eligible to participate. This benefit terminates if the employee ceases to receive long-term disability benefits.
In the event of the death of an eligible employee, retiree, or employee who terminated his or her employment based upon long-term disability, with at least five (5) continuous years of employment immediately preceding his or her retirement or disability, their spouse and/or dependent children may enroll at the reduced tuition rate. The spousal benefit terminates at the time a surviving spouse remarries.
Affiliated Units and Employees
Employees of an affiliated unit, their spouses and dependent children may qualify for inclusion under the provisions of this policy, with the approval of the president or designee, if:
The employee is a member of an ROTC unit; or
an approved written contract exists between the university and the affiliated unit that expressly grants reduced tuition rates to employees of the affiliated unit.
Affiliated Participants
Former employees whose positions have been eliminated through a reduction-in-force, their spouses and dependent children are eligible to receive tuition assistance at the rates specified below. The value of reduced tuition rates received by these affiliated participants is not tax exempt and the participant remains fully responsible for any tax consequence.
Eligibility Requirements
(1) Laid-off employees and their spouses and dependent children may continue to receive tuition assistance, at the reduced rate specified herein, for a period not to exceed twelve (12) months from the lay-off effective date. Laid-off employees and their spouses and dependent children may continue to receive tuition assistance for any semester or summer session when registration for classes has occurred at least one day before the expiration of the twelve (12) month period from the layoff effective date. The laid-off employee must have been employed at least five (5) consecutive years at the university immediately prior to the effective date of lay-off and must have received a satisfactory or better performance evaluation. This option is not available to any laid-off employee who elects the buyout option under the reduction in force policy.
The term "dependent children" wherever used in this policy, means children eligible to be claimed as dependents for federal tax purposes and who have not reached age thirty (30) as of the first day of the semester for which the reduced tuition rate is granted.
General Guidelines
The waiving of fees under this policy does not include expenses such as library and laboratory fees, books, supplies and other special course fees. Also excluded from this policy are correspondence courses identified by each university.
This policy in not intended to limit the total number of credit hours and employee may take, however, credit hours taken in excess of the limits specified in this policy shall be paid for by the employee at the actual resident tuition rates for those hours.
Supervisory approval is required before employees may take classes during their regular work schedule.
Qualified Tuition Reduction Rates
All eligible employees and affiliated participants, as defined in ABOR Policy 6-902B, (Qualified Tuition Reduction, Eligible Employees) and their spouses may register for
one to nine (1 to 9) credit hours per regular semester or for one to six
(1 to 6) credit hours per summer session at any institution under the control of the Arizona Board of Regents at the reduced tuition rate of
Twenty-Five Dollars ($25.00), plus any laboratory or course fees.
All eligible employees and affiliated participants as defined in ABOR Policy 6-902B (Qualified Tuition Reduction, Eligible Employees), and their spouses who register for credit hours in excess of
nine (9) per regular semester and six (6) per summer session shall pay the actual resident tuition for those hours over the stated cap.
Dependent children of eligible employees and affiliated participants, as defined in ABOR Policy 6-902B (Qualified Tuition Reduction, Eligible Employees), who register for one or more credit hours shall pay Twenty-Five Percent (25%) of resident tuition plus any laboratory or course fees.
6-903 Educational Assistance Plan (PDF)
The Arizona Board of Regents has adopted this Educational Assistance Plan pursuant to Internal Revenue Code Section 127. The effective date of the plan is January 1, 1991.
Purpose of Plan
The Arizona Board of Regents has adopted this Internal Revenue Code Section 127 educational assistance program for the benefit of its eligible employees and graduate student assistants and associates. It is the intention of the Arizona Board of Regents that the plan qualify as a plan providing qualified educational assistance under Section 127(b)(1) of the Internal Revenue Code of 1986, as amended, and that part or all of the benefits under the plan be eligible for exclusion from the participant's income pursuant to the terms of Sections 127(a) of the Internal Revenue Code of 1986, as amended.
Definitions
"Benefits" shall mean covered costs (subject, however, to any limits on the covered costs which may exist under Sections 127(a)(2) of the Code) for educational courses taken by a participant.
"Code" means the Internal Revenue Code of 1986, as amended from time to time.
"Covered costs" means tuition and fees waived by the university.
(a) "Tuition and fees waived" for all participants other than graduate student assistants and associates means:
Fall/Spring Semester Summer Session The sum of tuition on all units taken minus twenty-five dollars ($25). The sum of tuition on all units taken minus twenty-five dollars ($25). (b) “Tuition and fees waived or tuition remission funded” for graduate student assistants and associates means up to one hundred percent (100%) of the resident tuition as determined by each university and may vary by campus and among the categories of graduate student teaching and research assistants and associates. Each university shall communicate the amount of the tuition and fees waived or tuition remission funded to the affected graduate student assistants and associates.
"Educational course" means any course taken by a participant at the university except for a course which instructs the participant in any sport, game, or hobby (unless required as part of a degree program) or is excluded under Regent policy.
"Effective date" means January 1, 1991, except for the definition of "retired employee" which is effective the date of approval of these changes.
“Eligible graduate student assistant or associate” means a graduate student teaching or research assistant or associate whose appointment is for twenty-five percent (25%) time or more and who is enrolled for a minimum of six (6) credit hours (not including audit enrollment).
"Employee" means any employee of the university who is employed at fifty percent (50%) time or more and whose employment is expected to continue six (6) months or longer.
"Employee on approved leave of absence" means an employee as described in ABOR Policy 6-903B.6. (Educational Assistance Plan, Definitions) who is on an approved leave of absence.
"Retired employee" means an employee as described in ABOR Policy 6-903B.6 (Educational Assistance Plan, Definitions), who has completed at least five (5) years of continuous full-time employment in the Arizona University System immediately preceding retirement, who is receiving a retirement annuity under an Arizona university sponsored retirement program, who is at least fifty (50) years old, whose employment has not been terminated for cause by the university and who was eligible for special tuition fees at the time of retirement. Notwithstanding this provision, university peace officers who have retired before age fifty (50) pursuant to the provisions of the Arizona Public Safety Personnel Retirement System but have completed five (5) continuous years of full-time employment in the Arizona University System immediately preceding retirement shall also be eligible for this benefit. This change becomes effective beginning with the fall 1998 academic semester.
"Employee of an affiliated unit" means an employee of an affiliated unit, with the approval of the president or designee, if:
(a) The employee is a member (full time employment by the Armed Forces) of an ROTC unit; or
(b) An approved written contract exists between the university and the affiliated unit that expressly grants special tuition to employees of the affiliated unit.
"Plan Year" means the twelve (12) consecutive month period beginning on January 1 and ending December 31.
"Participant" means anyone who has satisfied the eligibility requirements under ABOR Policy 6-903C. (Educational Assistance Plan – Eligibility) of this plan.
"Plan" means the Arizona Board of Regent's Educational Assistance Plan.
“Tuition remission funded” means that resident tuition is charged to the student fee payment accounts of the eligible graduate student assistants and associates and payment of all or part of the resident tuition is funded by a university account.
"Waiver" means the remission or forgiving of a tuition payment or any portion thereof.
"University" means the University of Arizona, Arizona State University, Northern Arizona University, and the Central Office of the Arizona Board of Regents.
Eligibility
An employee, retired employee, employee on approved leave of absence, or employee of an affiliated unit, or eligible graduate student assistant or associate shall be eligible to become a participant as of the effective date of such status.
A participant will cease to be a participant the date he/she no longer meets the eligibility requirements set forth in ABOR Policy
6-903C.1. (Educational Assistance Plan, Eligibility).
Benefits
Every eligible participant shall be entitled to receive benefits under the plan.
A participant shall be entitled to benefits under the plan only for covered costs after he/she becomes an eligible participant.
Limitations
In no event shall a participant be entitled to receive any benefit under this plan in lieu of any other compensation he/she might otherwise be entitled to from the university or Board.
Plan Administrator
The university/Central Office shall appoint a plan administrator to serve until resignation or removal by the university/Central Office and appointment of a successor.
The plan administrator shall keep accurate records of all benefits granted to participants under the plan and ascertain that no benefit was granted to a participant in lieu of other compensation.
Each university shall provide to employees a formalized and systematic method of resolving work related concerns through an established grievance procedure. The Arizona Board of Regents strictly prohibits any and all reprisals or retaliatory actions taken against employees for pursuing their rights under this policy.
6-905 Political Activity (PDF)
Employees may participate in political activity outside their employment, but shall not allow their interest in a particular party candidate, or political issue to affect the objectivity of their teaching or the performance of their regular university duties.
6-906 Labor Union Membership (PDF)
The Board does not oppose labor organization membership of employees as such membership is their right and in no way affects their employment relationship, but the Board, as a public employer functioning under the provisions of A.R.S. 15-1626, does not have legal authority to recognize a labor organization as the employees' agent for purposes of collective bargaining. In addition, neither the Board nor the universities shall engage in "meet and confer" activities. (A.R.S. 15-1626)
6-907 Royalties - Repealed (PDF)
6-908 Intellectual Property Policy (PDF)
Preamble
The Arizona Board of Regents, and the three universities which the Board governs, are all dedicated to teaching, research, and extension of knowledge to the public. The university community recognizes its responsibility to produce and disseminate knowledge. Inherent in this responsibility is the need to encourage the production of creative and scholarly works and the development of new and useful materials, devices, processes, and other intellectual property, some of which may have potential commercial value. These activities contribute to the professional development of the individuals involved, enhance the reputation of the university in which they work, provide additional educational opportunities for participating students, and promote the public welfare.
Intellectual property that has commercial potential may be protected under a variety of mechanisms including copyrights, patents, trade secrets, trademarks, and plant variety protection. The rights and privileges, as well as the incentive, of the creators of intellectual property must be preserved so that their abilities and the abilities of others are encouraged and stimulated. The Board and the three universities must promote the appropriate development and marketing of the Board's intellectual property for the public good.
Purpose statement
The Board encourages employees, including faculty, staff, administrators, student employees, visiting faculty and researchers paid by a university governed by the Board (collectively “employees") to undertake and receive recognition for, and share in the revenue resulting from their creative endeavors. Federal and state law provide for Board ownership of intellectual property created by university employees. The Board will use benefits derived from this intellectual property to further the teaching or academic research program of the respective universities in areas of intellectual property.
Each university may patent, register, market, and license intellectual property using its own resources or through one or more intellectual property management organizations. The net income derived by the university will be shared with the creator of the intellectual property in accordance with this policy, and the remainder will be used in support of research, investigation, research fellowships, or other activities relevant to the generation of intellectual property at the institution.
The Board encourages university-industry cooperation to enable universities to comply with state policy or legislation encouraging technology transfer, and to support university-industry collaborative agreements which bring additional resources to the universities. This policy provides universities the discretion to retain ownership in intellectual property, or to enter into agreements with industry sponsors to grant exclusive or non-exclusive licenses, or, when appropriate, to assign title to intellectual property.
Categories of Intellectual Property
This policy covers all forms of legally recognized “Intellectual Property" which is created at the universities, including, but not limited to the following:
Patents (as defined in 35 US Code) which includes but is not limited to: inventions and discoveries (e.g., devices, processes, improvements, and patentable software)
Copyrights (as defined in 17 US Code) which includes but is not limited to:
scholarly works (e.g., textbooks, class notes, research monographs and articles, publications, instructional materials, and research materials);
creative/artistic works (e.g., music, art, dance, architecture, sculpture, poetry, fiction, and film);
copyrightable software (commercial as well as academic or research);
other developing areas, including but not limited to multi-media works, and various other forms of electronic communications, including media used for distance learning; and
mask works.
Trademarks. (As recognized by federal and state laws)
Trade secrets. (As defined by the Uniform Trade Secrets Act; Note, however, that the universities do not maintain trade secrets, unless belonging to and disclosed by, an outside sponsor.)
Data. All data are considered to be subject to this policy, as intellectual property is often present in data that are generated during research at the university. Data shall include, but not be limited to:
lab notes, results of analyses, etc.;
research notes, research data reports, and research notebooks, etc.
This policy will cover any new forms of Intellectual Property that may be added to the above categories during the time this policy is in effect. By way of illustration, in the event databases are given protection under the copyright laws in the future, databases will be covered under this policy.
Intellectual Property Creation and Ownership
Ownership in intellectual property will be determined in accordance with the following categories of creation:
Sponsor-Supported Projects
A “Sponsored Project" is research that has a defined scope of work and is funded by one or more non-university entities (“Sponsor(s)") pursuant to a “Sponsored Project Agreement". Initially, federal and state law defining authorship and inventorship will determine ownership (and all associated rights) relevant to intellectual property developed during the course of work on projects funded by Sponsored Project agreements. A university may agree to give the Sponsor an exclusive option for a limited period of time for the right of first negotiation for a license to intellectual property owned by the university arising from a Sponsored Project (hereinafter “University Contract IP"). The option period will not exceed one year from formal disclosure to the Sponsor of the University Contract IP, or six months from the date of expiration of the Sponsored Project, whichever is earlier in time. A university may also agree to assign title to the Sponsor in any University Contract IP. The agreement or license will be negotiated on behalf of the university by, or under the authority of, the individual designated by the university to be responsible for the administration of intellectual property (the “IP Official"), or by the intellectual property management organization, if any, representing the university. The IP Official shall use his or her best efforts to consult with the creator(s) and principal investigator(s) during the negotiation process. The IP Official shall provide the creator(s) (including inventor(s)) and principal investigator(s) currently employed by the university with a copy of the negotiated agreement prior to its final execution. In the event the creator(s) or principal investigator(s) do not agree with the negotiated terms, he or she shall have the right to appeal the IP Official's position before the agreement is executed, in accordance with Section I of this policy, following the process and time limits established by each university. The agreement will be executed by the designated university officials subject to review by university counsel.
While the value of intellectual property cannot be predetermined, the Board requires the university to determine a minimum amount of financial support (which will be based on the total cost to the university of development of the applicable intellectual property), on a case-by-case basis, below which an assignment of title to University Contract IP will not be considered. In some cases it may not be possible to calculate the total costs of development until after the intellectual property has been developed and disclosed. If the university wishes to assign the title or to license the University Contract IP, the Sponsored Project Agreement will include the following provisions:
In cases of assignment of title:
(1) A provision for monetary support, which must take the form of one of the following three options:
(a) The Sponsor will pay an assignment fee of at least fifty percent of the university's total cost of research and development, including all contract modifications or extensions. The Sponsor will pay the assignment fee after the University Contract IP has been created, reported to the Sponsor, and at the time the assignment of title is made; or
(b) The Sponsor will pay all costs of research, including salaries, materials, other direct costs, and the university's fully-burdened overhead.
(c) The Sponsor is an Arizona State agency and the sponsor will pay all direct costs of research, including salaries and materials, and indirect costs or overhead to the extent permitted by agency rules. In exchange for this reduced overhead reimbursement, the university must (i) receive from the sponsor a significant percentage of any income received by the sponsor from the sale, transfer or licensing of the University Contract IP, and (ii) address with the sponsor during negotiations the opportunity for the university to participate in the management of the University Contract IP.
If possible, the university will calculate such amounts and include them in the Sponsored Project Agreement.
(2) Due-diligence Milestones negotiated on a case-by-base basis to include a “Reassignment Right" exercisable by the university if the Sponsor has not made a good-faith attempt to meet the negotiated Due-diligence Milestones. “Due-diligence Milestones" shall mean objectively measurable goals which a Sponsor will in good faith pursue in order to bring to the public the benefits of the University Contract IP. Due-diligence Milestones may include, by way of example and without limitation, commercialization of University Contract IP, use of University Contract IP to produce products, and licensing or disclosure of University Contract IP to third parties.
(3) “Reassignment Right" will include, but not be limited to, one or more of the following, as negotiated by the parties at the time of negotiating the Due-diligence Milestones:
(a) Right of the university to license other parties, either exclusively or non-exclusively;
(b) Right of the university to collect a periodic “maintenance fee" from Sponsor until such time as Due-diligence Milestones are met, or Sponsor determines it will not commercialize the intellectual property and voluntarily grants its rights to the University Contract IP back to the university.
(4) A windfall provision, in which an appropriate payment or payment schedule is specified based on some mutually agreed upon threshold or event. The parameters of this provision, such as the windfall threshold and the amount of any payments, will be determined on a case-by-case basis.
In cases of licensing:
(1) Due-diligence Milestones negotiated on a case-by-case basis, to include, in the case of an exclusive license, “March-in-Rights" if the Sponsor has not made a good-faith attempt to meet the negotiated Due-diligence Milestones. “March-in-Rights" will include, but not be limited to, one or more of the following, as negotiated by the parties at the time of negotiating the Due-diligence Milestones:
(a) Right of the university to license other parties, either exclusively or non-exclusively;
(b) Right of the university to collect a periodic “maintenance fee" from Sponsor until such time as Due-diligence Milestones are met, or Sponsor determines it will not commercialize the intellectual property and voluntarily terminates its license rights to the University Contract IP.
(2) A provision for reasonable and customary, but unspecified, royalties, since the value of prospective intellectual property cannot be pre-determined.
In cases of either licensing or assignment of title:
(1) The right of the university to retain a royalty-free license for its own internal use of the University Contract IP for research and educational purposes, and a provision that the university has the right to use the University Contract IP in any and all subsequent sponsored research at the university. This provision does not require the university to retain a right to sublicense such University Contract IP to third parties.
(2) The right of the university to make public through publication or presentation any University Contract IP developed under the agreement. The Sponsor may be given up to ninety days to review the manuscript and secure appropriate intellectual property protection (to include the right to remove any Sponsor trade secrets or proprietary information from such manuscripts) prior to actual publication or presentation.
(3) The obligation of the Sponsor to pay patent costs. If the university is filing the patents, such costs to the Sponsor may be capped at reasonable and customary fee amounts.
University-Assigned Projects
The Board owns Intellectual Property developed as a result of employee work performed in the course and scope of employment. “Course and scope of employment" shall include any activity that is listed or described in the employee's job description or is within the employee's field of employment, including research, instruction, or other activities assigned to the employee that involve the creation of Intellectual Property. Copyrightable works created by an employee in the Course and Scope of Employment are considered to be works made for hire under U.S. Copyright Law, with ownership vested in the Board. The employee must cooperate fully with the university and will execute all documentation necessary to assign ownership and, if necessary, to secure protection of intellectual property owned by the Board.
University-Assisted Projects
The Board owns Intellectual Property developed by university employees through an effort which makes significant use of university resources. The employee must cooperate fully with the university and will execute all documentation necessary to assign ownership and, if necessary, to secure protection of this intellectual property. The Board does not construe the use of office space, library resources, personal workstations, or personal computers as constituting significant use of university resources. Significant use of university resources includes but is not limited to: Use of research funding; use of funding allocated for asynchronous or distance learning programs; use of university-paid time within the employment period; assistance of support staff; use of telecommunication services; use of university central computing resources; use of instructional design or media production services; access to and use of research equipment and facilities, or production facilities.
Employee-Excluded Works
The Board releases to the creator all ownership of Intellectual Property in the following categories of work, subject to contractual rights of Sponsors. However, the Board retains a paid-up, non-exclusive license to use this intellectual property for education, research, and public service.
Traditional publications in academia, including scholarly works, textbooks, and course notes
Artistic works (music, art, dance, film, etc.)
Academic software (not for commercial application)
Student works (the student owns his/her own works, unless the student is a university employee and the work is part of his/her employment, or the student makes significant use of university resources, or the student's work is part of a Sponsor-supported project. Student works are not subject to revenue sharing described above.)
Electronic publications, including on-line courses will be reviewed on a case-by-case basis.
Outside Consulting
Consulting for outside organizations is encouraged and may be performed by university employees pursuant to applicable Board and university policies, including policies on consulting, conflict of interest, and this Intellectual Property Policy. If the employee's obligations under this Intellectual Property Policy conflict with the employee's obligations to the consulting entity, the obligations under this Intellectual Property Policy will take precedence.
Individual Projects
The Board owns Intellectual Property developed by university employees, unless the creator of the intellectual property can demonstrate that it was not developed as a “Sponsor-Supported Project," a “University-Assigned Project," or a “University-Assisted Project," as defined above.
Visiting Faculty, Researchers, and Scientists
The Board owns Intellectual Property created by visiting faculty, researchers, and scientists. However, the IP Official may make exceptions on a case-by-case basis, consistent with this policy.
Administrative Responsibilities
Responsibilities of the Creator(s) of Intellectual Property
Each employee (including visiting faculty, researchers, and scientists) must disclose any Intellectual Property made by that person, or resulting from work carried on under his/her direction, in which the Board or a Sponsor may have an interest.
Intellectual Property created as a result of outside consulting must be disclosed to the university only to the extent that the creation of the intellectual property would fall within the above categories under which the Board claims ownership, or as required by other university or Board policies or state laws.
The creator must disclose Intellectual Property promptly to the head of the department on those forms used by the university, with an information copy to the dean of the college or administrative officer, or as otherwise designated by the IP Official. The department head will, as appropriate, indicate his/her opinion concerning the scientific, technical, and economic merit of the discovery, the likelihood and desirability of obtaining intellectual property protection, and an estimate of the commercial possibilities of this intellectual property, and transmit that statement to the IP Official.
The creator must cooperate fully with the university and will execute all documentation necessary to assign ownership, and, if necessary, to secure protection of intellectual property owned by the Board in those countries designated by the university IP Official.
Responsibilities of the IP Official
The IP Official, or his/her designee, will administer all intellectual property disclosed in accordance with the requirements of this policy as follows (not necessarily listed in order of preference):
Released to the creator if the IP Official determines within a reasonable time that the interests of the Board are better served by releasing ownership to the creator under conditions to be specified by the university to include, but not be limited to the following:
(1) the Board retains a paid-up, non-exclusive license to use this intellectual property for education, research, and public service;
(2) provision for a minimal royalty to university in the event a profit is made from commercialization of the intellectual property; and
(3) the faculty creator may not use university facilities to improve upon the invention. If the inventor wishes to continue work on the invention using university managed funds and/or facilities, they will need to do so under an arm's length relationship (i.e., full Board disclosure and license).
Licensed to the creator, at the university's discretion, subject to compliance with other applicable policies and approvals;
Assigned to one or more intellectual property management organizations for commercial development in accordance with Board policy on technology transfer consistent with all applicable requirements of this policy;
Licensed or assigned to the research sponsor under which the intellectual property was created if license or assignment is required by the contract with the sponsor and is permitted or is required by law;
Patented, or otherwise protected, by the university, appropriately marketed, and either licensed or assigned to another organization for commercialization consistent with the Section regarding Sponsor-Supported Projects of this Policy;
Archived by the university with notification to the creator.
Responsibilities of the University
The university vice-president or vice-provost for research, or his/her designee, will require that:
The university or its nominee or licensee will pay all costs involved in obtaining and maintaining domestic and/or foreign protection for intellectual property for which the Board holds an interest.
The university will establish and administer a fund for the promotion of research and development of intellectual property. The fund will include monies received by the university from intellectual property created by its employees. The IP Official, or a designee, will administer this fund according to policies and procedures established by the university.
An intellectual property committee of faculty and staff will be appointed by the president, or his/her designee, of each university in accordance with that university's policies and procedures. The intellectual property committee will review proposed changes in the Intellectual Property Policy and make its recommendations to the president through the IP Official. The intellectual property committee will also operate as a review committee in accordance with this Policy.
Publication Rights/Responsibilities for the Protection of Intellectual Property
Early peer-reviewed publication of results is a major objective of academic research. The Board does not intend for this policy to impede a university employee's ability to publish. Public disclosure of a patentable invention prior to filing for a patent application will, however, preclude the availability of patent protection in most countries. “Public disclosure" includes any non-confidential written or oral disclosure that describes the invention (e.g., at a scientific meeting, in a journal, or even in an informal discussion with outside colleagues). However, limited disclosure of intellectual property internally within the university will not interfere with the ability to protect the intellectual property. University employees should consider delaying public disclosure of intellectual property until the internal evaluation process is completed by the university IP Official. The universities will make every effort to expedite the evaluation process when an employee indicates a compelling need for rapid publication.
The foregoing provision does not apply to a Sponsor's proprietary information disclosed to the university pursuant to a non-disclosure agreement. In the case of Sponsor-supported projects, the Sponsored Project agreement may provide for delay of publication to allow the Sponsor to adequately protect its own intellectual property.
Revenue Sharing
The university will pay the creator a share of the net income received by the university from any intellectual property licensed or assigned in accordance with this policy. “Net income" is defined as gross revenues resulting from any given intellectual property, less a university administrative fee of not to exceed fifteen percent (15%), then less all unreimbursed costs incurred by the university or its nominee in protecting, licensing, and maintaining the intellectual property. The IP Official will determine the percentage to be paid to the creator, ensuring that it is in accordance with the university's revenue sharing policy, subject, however, to the following minimum:
The employee who creates intellectual property as the result of work for which he/she is paid by the university and where he/she uses university facilities and resources will receive a minimum of fifty percent (50%) of the first net ten thousand dollars ($10,000) received by the university and a minimum of twenty-five (25%) of the net amount received by the university in excess of the first net ten thousand dollars ($10,000). This royalty revenue sharing is not to be construed as wages or salary compensation to the employee from the university, but rather as separate income derived from commercialization of intellectual property. In addition, an employee's rights which have accrued to this royalty revenue sharing shall continue beyond such employee's employment with the university.
Faculty Owned or Affiliated Companies Based on the Board's Intellectual Property
With respect to university employees holding interest in private organizations which are based on intellectual property owned by the Board, the creator of the intellectual property that is of interest to that private organization must comply with administrative responsibilities detailed above.
The IP Official will use his/her best efforts to negotiate an appropriate agreement with the private organization whenever one or more university employees(s):
Holds a substantial interest in that organization;
Is a creator of university intellectual property related to the business of the organization; and
Continues his or her university employment in an area related to the business of the organization.
A license or assignment or option agreement between the university and any organization in which an employee owns a substantial interest will be individually evaluated and negotiated for each technology or improvement for which the organization wishes to acquire rights from the university. Such agreements shall be subject to customary terms and conditions consistent with the section on Sponsor-Supported Projects of this policy.
If the company in which a university employee holds a substantial interest is given more favorable royalty terms than is usually granted in comparable cases in its license with the university, then the IP Official will determine whether that university employee, who holds a substantial interest in the company licensing university technology developed by that university employee, should receive a personal share of the licensing income received by the university from that company in addition to that employee's equity or other financial interest in that company. If the IP Official determines that the affected employee should not receive his/her personal share of university licensing income, then the share of licensing income that would otherwise be disbursed to the employee personally will be distributed among the other university accounts designated in the university's income distribution policy.
For purposes of this Section, the interest owned by the university employee at the time of Board approval of the employee's relationship with the company will be the interest used in determining whether the employee has a “substantial interest."
Conflict of Interest
A grant, contract, or any other form of agreement between a university and any organization containing a provision assigning title or granting an exclusive license is subject to final approval by the Board if a university employee has a substantial or material interest in the contracting organization or any entity engaged in a business relationship with the contracting organization. All agreements are subject to federal and state law and Board policy regarding conflict of interest and technology transfer.
Approval by the Board for either the creation of any organization or any substantial interest in an organization under applicable Arizona law does not exempt any agreement between that university and the organization from the provisions of this Section.
Interpretation, Decisions, Appeals (Disputes)
If the employee does not agree with any interpretation or decision made by the IP Official, the employee may ask the Intellectual Property Committee to review that decision.
The Intellectual Property Committee will review all relevant information submitted to it and will make its recommendation concerning the disputed decision to the president of the university involved, or his/her designee, who will make the final decision.
The final decision of the president or his/her designee is subject to judicial review only pursuant to Arizona Revised Statutes Title 12, Chapter 7, Article 6. Failure to complete the above review procedures will constitute a failure to exhaust administrative remedies.
The president or the president's designee at each institution is authorized to make applications for copyrights, in the name of the Board, or in the name of an individual or other entity when required by contract, for materials published by the respective institutions. (ABOR 7/88)
The president of each institution, or a person designated by the president must approve or disapprove of requests for reproduction of materials appearing in publications copyrighted in the name of the Board.
6-909.10 Technology Transfer Policy (PDF)
The Arizona Board of Regents encourages the universities of the
state of Arizona to engage in technological research and
development while insuring that public benefit takes precedence
over private gain and assures that public funds or resources are
not used for private benefit.
Thus, this policy is intended to apply to and govern the
relationship between the universities of Arizona and
non-university entities formed to, or having as their primary
purpose, the commercialization of university developed
technology which does not have an immediate obvious market or
use whether such entities are composed of employees,
non-employees or both.
In order to facilitate this transfer and development of
university technologies to the public sector for the benefit of
the public, the state of Arizona and the nation, the Board will
consider approval of arrangements between university and
non-university entities that meet the following guidelines.
For the purposes of this policy the following definitions shall apply:
"Employee" means any person employed by the Arizona Board of Regents or an organization governed by the Board to perform duties on a regular basis, whether full or part time, including those individuals who are not paid by the Board but who are treated as employees of the Board or an institution under its governance.
"Entity" means any natural person, partnership, corporation,
joint venture, limited partnership, unincorporated association
or identifiable organization not under the governance of this
Board.
Guidelines for Management Contracts With Patent Management, Technology Management or Technology Development Entities
In addition to transfers permitted under ABOR Policy 6-908 (Intellectual Property Policy), a university may manage its technology transfer activities with one or more entities that meet the following criteria:
The entity has resources or expertise not readily available within the institution. These resources or expertise may include, but are not limited to, the ability to:
Design and recommend methods or strategies for the effective transfer of university technology or the management or university patents
Act as trustee and legal owner of equity
positions in business ventures held for the
benefit of the university.
Provide educational or research opportunities
for graduate students, faculty or staff.
University Technology Transfer Report
The president of each university shall report annually to the Board concerning its technology transfer activities for the preceding year.
The report shall include an analysis of income and expenditures detailed by source, such as licensing, royalty or fees, as well as the university's prevailing standards for measuring performance of patent management arrangements and the performance evaluation results.
Claims or controversies arising from technology transfer activities between employees, between an employee and the university or between the university and an entity shall be resolved by the president of each university.
Any such claim or controversy shall be brought to the attention of the president in writing. The written notice of claim or controversy shall set forth in reasonable detail the technical, legal or other basis for the claim or controversy and shall clearly and concisely state the relief or amount sought.
The president
shall make or cause to be made such investigation as he deems appropriate.
After investigation but within twenty (20) days of receipt, the president
shall make a written determination of the claim or controversy and mail his
determination to all interested parties.
The twenty (20) day period may be extended by the president for an
additional twenty (20) days if necessary to adequately investigate the claim or
may be extended additionally as all parties agree.
The president's determination shall be final.
6-910 Appointments Requiring Board Approval (PDF)
The following appointments require Board approval:
Appointments and renewals of appointments for the university presidents and the Board's executive director;
Initial appointments of vice presidents; and
All multiple-year appointments for head coaches and intercollegiate athletic directors.
6-911 Notice And Acceptance of Appointment Forms (PDF)
The universities shall use Board-approved notice and acceptance of appointment forms in the employment of administrative, faculty, and professional employees.
6-912 Access to or Disclosure of Personnel Records or Information (PDF)
Neither the Board of Regents nor the universities under the jurisdiction of the Board shall disclose or permit access to personnel records or information except as authorized by this policy or as required by law.
Employee Access
On request, an employee or a person authorized by the employee in writing may review and obtain copies of documents from the employee's own personnel file, subject to reasonable and specific procedures established and administered by each university.
Administrative Access
All personnel, employment or related records shall be available only to authorized users for authorized purposes. The president of the institution or the president's designee has final authority to determine what administrative uses and purposes are authorized pursuant to this policy. Any unauthorized access, release or use of personnel information shall constitute employee misconduct.
As determined by the president of the institution, authorized officers, employees or agents of the Board or of any institution under the jurisdiction of the Board may have access to and may disclose personnel records or information as necessary in the prosecution, defense or resolution of any hearing or dispute regarding personnel matters. This paragraph is a supplement to, and shall not be construed as a limitation of, paragraph B.1 above.
Access or Disclosure to Third Parties
Access to or disclosure of personnel records or information from those records shall not be provided to individuals or agencies other than those designated by the universities under this policy, except as follows:
The following information regarding present or former employees may be disclosed:
(a) Name
(b) Titles or positions (including academic degrees and honors received);
(c) Campus telephone number and e-mail address.
(d) Fact of past or present employment
(e) Dates of employment; and
(f) Salaries or rates of pay.
Access to personnel records or disclosure of personnel information may be provided when necessary to protect the interests of the institution when the institution believes the actions of the individual violate the conditions of employment or otherwise threaten injury to the institution or to others, to a properly identified law enforcement authority when the institution reasonably believes that an applicant, employee or former employee may have engaged in illegal activities, or pursuant to a federal, state or local government statute or regulation that specifically requires disclosure of certain information to certain parties.
Access to certain personnel records or disclosure of personnel information may be provided in response to a lawfully issued administrative summons, search warrant, or judicial order or subpoena, provided that:
(a) legal counsel has reviewed the matter and approved disclosure; and
(b) if the request is not issued on behalf of the affected employee(s), a reasonable effort has been made to notify the affected employee(s) of the request prior to compliance.
(c) the institution receiving a summons or subpoena may seek a protective order to prevent disclosure of certain documents, such as promotion and tenure files, letters solicited from outside reviewers who were given a promise of confidentiality, and performance evaluations, on the basis that a qualified privilege exists to protect those documents in the employee evaluation system for making determinations of employee retention and the granting of tenured or continuing status.
Public Records Law
Except as otherwise required by this policy or by applicable law, personnel records and information shall be treated as confidential and not subject to public inspection because public disclosure of this information would be contrary to the best interests of the state.
To the extent required by A.R.S. §39-128, records maintained by the Board or a university that are reasonably necessary to maintain an accurate knowledge of employee disciplinary actions will be open to inspection and copying, unless inspection or disclosure of the records or information in the records is contrary to law.
If a university receives a request under public records law for employee records it will make reasonable efforts to provide notice to affected employees.
For purposes of this policy,
“Disciplinary Action” means: involuntary demotion, involuntary dismissal, suspension without pay, and resignation in lieu of dismissal; and for classified staff under progressive discipline, written reprimands.
“Records maintained by the Board or a university that are reasonably necessary to maintain an accurate knowledge of employee disciplinary actions” mean the final written disciplinary action and the employee’s response, if any, to that action.
This
policy does not require disclosure of any individual’s home address,
home telephone number or photograph, or any information that may subject
an individual to the risk of identity theft.
6-913 Drug Free Workplace (PDF)
Each university and the central office shall establish and implement those policies and programs which enable it to certify that it will provide a drug free workplace, as required by the Drug-Free Workplace Act of 1988 and its implementing regulations. The policies and programs shall be reviewed by university counsel and board counsel for compliance with the federal requirements. Each university and the central office may elect to extend the requirements of the Act to all university or central office employees.
6-914 Protection of Employees from Reprisal for Whistleblowing (PDF)
To prohibit supervisory personnel from taking adverse personnel action against an employee, or failing to take an otherwise appropriate action, as a result of the employee's good faith disclosure of alleged wrongful conduct to a public body or to a designated university officer on a matter of public concern. An employee who discloses and subsequently suffers an adverse personnel action as a result is subject to the protection of this Policy (6-914 Protection of Employees from Reprisal for Whistleblowing).
Arizona Revised Statutes §38-531; §38-533; §41-1062
All employees and supervisors of employees of the Arizona Board of Regents or a state university under the Board's jurisdiction who disclose alleged wrongful conduct, as defined in this Policy (6-914 Protection of Employees from Reprisal for Whistleblowing), and, who, as a result of the disclosure, are subject to an adverse personnel action.
No adverse personnel action may be taken against a university employee in knowing retaliation for any lawful disclosure of information on a matter of public concern to a public body, including a designated university officer, which information the employee in good faith believes evidences: (1) a violation of any law, (2) mismanagement, (3) gross waste or misappropriation of public funds, (4) a substantial and specific danger to public health and safety; or (5) an abuse of authority, collectively referred to herein as "alleged wrongful conduct."
No supervisor, director, chair, dean, department head, or any other employee with authority to make or materially influence significant personnel decisions shall take or recommend an adverse personnel action against an employee in knowing retaliation for disclosing alleged wrongful conduct to a public body. Any employee found to have so violated this Policy (6-914 Protection of Employees from Reprisal for Whistleblowing) shall be disciplined, up to and including termination, in accordance with existing university rules, policies, and procedures.
- Abuse of authority: Action or decision which is outside the scope of the alleged violator's position, scope of duties, or level of authority as authorized by the university president or designee. However, even actions or failure to take actions which are within the alleged violator's authority may constitute abuse of authority if the violator's motive or purpose is to harass, intimidate, or treat the employee unreasonably or capriciously under the applicable facts and circumstances.
Adverse personnel action: An employment-related act or decision or a failure to take appropriate action by a supervisor or higher level authority which affects an employee negatively. The following are adverse personnel actions in the university's personnel system:
- Termination of employment, including denial of tenure, denial of continuing status, non-renewal, or dismissal for cause
- Demotion
- Suspension
- Written reprimand
- Retaliatory investigation
- Decision not to promote
- Receipt of an unwarranted performance rating
- Withholding of appropriate salary adjustments
- Imposition of involuntary transfer or reassignment;
- Elimination of the employee's position, absent a reduction in force, reorganization, or a decrease in or lack of sufficient funding, monies, or work load;
- Denial of awards, grants, leaves, benefits, or training for which the employee would normally be eligible;
- Other significant change in job responsibilities or working conditions which are inconsistent with the employee's position, salary or grade.
- Alleged wrongful conduct: Violation of law, mismanagement, gross waste or misappropriation of monies, substantial and specific danger to public health and safety or abuse of authority.
Conflict of interest: when an employee is in a position to influence a university activity or decision in ways that could lead to any matter or form of personal gain to the employee or for his/her family member, or when the employee has a personal vested interest in the activity or decision.
Day: Calendar day. In cases of faculty, academic professionals, and other employees appointed on an academic year (nine month) basis, day does not include summer, mid-semester, semester, or other similar break periods.
Discloser: An employee who reports alleged wrongful conduct to a public body, as defined herein.
Disclosure: Oral or written report by an employee to a public body of alleged wrongful conduct on a matter of public concern.
Disclosure investigation: Review and determination made by the appropriate university officer and/or designees of a disclosure.
Filing: Receipt by the office where filing is required.
Gross waste or misappropriation of public funds: Action or decision which is outside the scope of the alleged violator's spending or budgetary authority, or even when the action or decision is within budgetary authority, the action would be considered by a reasonable person to be grossly excessive, wasteful, or an improper use of public funds.
Knowing retaliation: An adverse personnel action taken by a supervisor or other authority against an employee because of a prior disclosure of alleged wrongful conduct.
Mismanagement: Action or decision which exceeds the scope of the alleged violator's responsibilities, or even if the action is within responsibilities, the action would be considered by a reasonable person to be grossly excessive or unfair.
Personnel action: An employment-related action or decision which affects an employee positively or negatively.
Public body: The Arizona Attorney General; the Arizona Legislature; the Governor of Arizona; a federal, state, or local regulatory or law enforcement agency; the local county attorney; a member of the Arizona Board of Regents, a university president, provost, vice president, vice provost, college dean, or non-academic department director.
Service provider: Independent entity which has contracted with the university to provide hearing officer services. The hearing officer will be selected by the service provider through a process which includes consultation with the parties.
Supervisory employee: Any supervisor, director, chair, dean, department head, or other employee who has authority to make or materially influence significant personnel decisions.
University officer: President, provost, vice-provost, vice-president, dean, or non-academic department director.
Violation of law: A violation of local, state, or federal law or regulation that is applicable to the university or its employees.
Whistleblower complainant ("complainant"): A current or former employee who disclosed alleged wrongful conduct to a public body and who subsequently is subject to an adverse personnel action as a result of making the prior disclosure.
Whistleblower complaint: A complaint filed by a complainant with a university officer alleging that an adverse personnel action was taken in retaliation for a prior disclosure of alleged wrongful conduct to a public body.
Whistleblower complaint review: A review by a university officer or committee of a whistleblower complaint, resulting in a written decision which the university officer provides to the complainant.
Whistleblower external hearing: A hearing conducted by an external hearing officer selected by the complainant and university to conduct a hearing if the complainant is dissatisfied with the decision of the university officer following a whistleblower complaint review.
An employee who becomes aware of alleged wrongful conduct is encouraged to make a disclosure to any public body as soon as possible, but in any case must make the disclosure no later than three hundred sixty-five (365) consecutive calendar days after becoming aware of the conduct.
In order to allow the university an opportunity to investigate alleged wrongful conduct and to take necessary internal corrective action, employees are encouraged to report in writing a disclosure of alleged wrongful conduct to a university president, provost, vice president, vice provost, dean, or non-academic department director.
If the employee is unwilling or unable to put an oral disclosure in writing, the university officer who investigates the disclosure will prepare a written summary of the employee's disclosure and provide a copy to the employee. No later than ten (10) days after receipt of the summary, the employee may submit a written supplement to the university officer who prepared the summary. Failure to submit a supplement within ten (10) days will constitute acceptance of the summary as an accurate statement of the disclosure made by the employee. The university officer and/or designees will conduct an investigation into the allegations of the disclosure and will take necessary corrective action, as warranted. Throughout this process, the confidentiality of the discloser will be maintained to the greatest extent possible. At the conclusion of the investigation, the university officer will notify the discloser and other affected employees in writing of the determination. A copy of the determination shall be retained by the provost, the discloser, and the alleged violator. The investigation shall be conducted by a university officer who does not have a conflict of interest in the matter being investigated. A discloser must suffer adverse personnel action as a result of making a disclosure to file a whistleblower complaint and receive a hearing.
Where the university officer determines the employee's allegations do not meet the definition of disclosure under this policy, the university officer shall refer the employee to other available university grievance or appeal processes to address the employee's concerns. Furthermore, where the employee's allegations constitute a complaint of discrimination on a basis covered by the university's non-discrimination or similar policy, the employee's allegations shall be referred to the university office charged with investigating allegations of discrimination, rather than being investigated as a disclosure of alleged wrongful conduct under the whistleblower policy.
An employee who knowingly makes false allegations of alleged wrongful conduct to a public body shall be subject to discipline, up to and including termination of employment, in accordance with university rules, policies, and procedures.
This policy may not be used as a defense by an employee against whom an adverse personnel action has been taken for legitimate reasons or cause under university rules and policies. It shall not be a violation of this policy to take adverse personnel action against an employee whose conduct or performance warrants that action separate and apart from that employee making a disclosure.
No later than thirty (30) days after a current or former employee is notified or becomes aware of an adverse personnel action, he or she may protest the action by filing a written whistleblower complaint with a university designated officer or committee if the employee believes the action was based on his or her prior disclosure of alleged wrongful conduct. The university officer or committee, on receipt of a whistleblower complaint, shall review the complaint expeditiously to determine: (1) whether the complainant reported alleged wrongful conduct to a public body on a matter of public concern before an adverse personnel action was imposed; (2) whether the complainant suffered an adverse personnel action after reporting alleged wrongful conduct to a public body; (3) whether the complainant alleged that the adverse action resulted from the prior disclosure; and (4) whether the complainant alleged the adverse action was the result of knowing retaliation for the employee’s disclosure. The review shall be conducted by a university officer or committee whose members do not have a conflict of interest in the matter being reviewed.
No later than forty-five (45) days after receipt of the complaint, the university officer shall notify the complainant in writing of the results of the review and whether the adverse personnel action is affirmed, reversed, or modified, and provide a copy of the decision to the employee’s supervisor. The supervisor will implement the decision and will verify implementation in writing to the university officer no later than ten (10) days after receipt of the university officer’s decision.
Where the designated university officer or committee finds the employee did not make a disclosure pursuant to this policy, the employee shall be referred to other available university grievance or appeal processes to pursue the complaint. Furthermore, because there are other university policies and statutes that provide remedies for claims of retaliation following the filing of an unlawful discrimination complaint, such retaliation claims will be referred to the university office charged with investigating allegations of discrimination rather than being reviewed as whistleblower complaints.
A complainant who is dissatisfied with the decision of the university officer on the whistleblower complaint may file a request for a whistleblower hearing and proceed under the following procedures.
- Request for hearing
The Board, through its universities, has contracted with qualified service providers to provide qualified external hearing officers and a hearing process for a complainant who is dissatisfied with the university officer’s decision. The purpose of the hearing is to determine whether an adverse personnel action resulted from the complainant’s prior disclosure of alleged wrongful conduct. No other issues or determinations are authorized. The hearing officer will be selected by the service provider in consultation with the parties. The hearing officer cannot be a university employee and, except for the contractual arrangement to provide hearing officer services, cannot have substantial interest in the university.
- Request for hearing
No later than fifteen (15) days after receipt of the university officer’s decision, a complainant who is dissatisfied and desires an external hearing must file a written request for hearing with the university representative or office designated to review these requests.
- Contents of request for hearing
A request for hearing must contain the following:
(1) A specific statement that it is a request for a whistleblower hearing by an external hearing officer;
(2) The name, work address, work telephone number and position of the complainant;
(3) The name, work address, work telephone number and position of the university officer who issued a decision on the complainant’s whistleblower complaint;
(4) A statement of the reasons for requesting a hearing including the objectionable portion of the university officer’s decision;
(5) A statement of the specific relief or remedy requested; and
(6) Copies of (a) the employee’s prior disclosure or the written summary prepared by a university officer; and (b) the university officer’s decision on the whistleblower complaint.
- Appointment of hearing officer
No later than twenty (20) days after receipt of a request for hearing, the designated university officer or committee who receives the complaint will determine whether the complainant qualifies for an external hearing based on the following:
- The complainant identified an adverse personnel action imposed on him or her and the date of notice of the action;
The complainant made a prior disclosure of alleged wrongful conduct to a public body on a matter of public concern prior to the adverse personnel action;
The complainant alleges the adverse personnel action resulted from the prior disclosure;
The complainant attached the disclosure and the decision on the whistleblower complaint review to the request for hearing.
The request will be reviewed by a university officer or committee whose members do not have a conflict of interest with respect to that matter.
If the request qualifies for an external hearing, the designated university officer or committee will forward the request to the service provider to begin the process of selecting an external hearing officer and conducting a whistleblower hearing.
If the request does not qualify for a whistleblower hearing, the request will be returned to the complainant with written reasons for rejection. No later than ten (10) days after receipt of the decision, the complainant may file a written appeal of the rejection to the university president or designee. The president or designee will respond to the complainant in writing no later than twenty (20) days after receiving the appeal. If the president or designee reverses the decision, the case will proceed; if the president or designee affirms the decision that the request does not qualify for a hearing, that decision is final.
- Submission of the record
No later than twenty (20) days after receipt of the request for hearing, the service provider shall notify the complainant and the identified university officer that the request for hearing is accepted and assist the parties with the mutual selection of the hearing officer, the procedures for a pre-hearing conference in person or by telephone, and the procedures which will be followed in conducting the hearing, including submission of evidence, documents, and witness lists. The hearing officer may require the parties to submit summaries of their positions before the hearing commences.
The hearing will be conducted no later than ninety (90) days after the request is received by the service provider, unless the hearing officer extends the time for good cause.
- Conduct of hearing
Hearings shall be conducted in accordance with the requirements of A.R.S. §41-1062 governing administrative hearings, as well as the requirements of this policy and the rules and procedures of the service provider. The procedures designated in this policy supersede rules of the service provider, if there is a conflict. The formal rules of evidence do not govern the hearing. Generally, the party advocating a particular point or fact has the burden of proof on that point or fact. Ultimately, the person seeking review has the burden of persuading the hearing officer that the adverse action occurred because of a prior disclosure of alleged wrongful conduct to a public body. The evidence standard is proof by a preponderance of the evidence.
The hearing officer has subpoena power. The hearing shall either be recorded or transcribed, as determined by and at the university’s expense, so as to provide an accurate, written rendition of the hearing.
- Attorneys or advisers
Complainant, at his or her own expense, may be represented by an attorney at any stage of the hearing process, including but not limited to presentation of the case during the hearing. If the complainant is represented at the hearing by an attorney, then the university representative may also be represented at the hearing by an attorney.
- Resolution by agreement
At any time, the parties may agree upon a resolution of the matter. In such event, the written agreement shall be presented to the designated university officer who shall close the case and notify the service provider and the parties in writing that the matter is resolved by agreement.
- Hearing officer’s decision
No later than thirty (30) days after the close of the hearing, the service provider shall provide the hearing officer’s written report to the parties and to the university president. The report will contain findings of fact and the evidence relied upon to sustain those facts, conclusions including reference to applicable law, rules or policies, and a decision by the hearing officer that the adverse personnel action was or was not based on a prior disclosure, and whether the adverse action is affirmed, reversed, or modified.
The university will implement the decision of the hearing officer no later than ten (10) days after receipt, except that the hearing officer may not direct that the university grant renewal, tenure, continuing status or promotion to a faculty member or academic professional.
If the hearing officer finds that an adverse personnel decision related to renewal, tenure, continuing status or promotion of a faculty member or academic professional was the direct result of the disclosure of alleged wrongful conduct, the hearing officer shall remand the complaint to the university for further proceedings consistent with its internal procedures.
Board of Regents Policy 6-201, A. (Conditions of Faculty Service), and 6-301, A. (Conditions of Professional Service), provide extensive due process and procedures for dismissal of tenured faculty or continuing academic professionals, including review and/or hearings by university faculty committees. In dismissal cases, the internal grievance hearing process as set out in the hearing provisions of ABOR Conditions Policies must be completed and include a report with recommendations from the committee to the university president for decision. The grievance committee will consider the whistleblower and other grievance issues raised by the grievant. If the complainant disagrees with the results of the internal process, he or she may request a whistleblower hearing as provided in this policy.
- In compliance with A.R.S. §41-1062.b, a complainant who is dissatisfied with the decision may request a rehearing or review by filing a written request with the service provider no later than fifteen (15) days following receipt of the written decision. The service provider will forward the request to the hearing officer on receipt. The request shall be based on one or more of the following grounds:
- Irregularities in the proceedings, including but not limited to any abuse of discretion or misconduct by the hearing officer or hearing panel, which has deprived the complainant/grievant of a fair and impartial hearing;
- Newly discovered material evidence which with reasonable diligence could not have been presented during the fact-finding or hearing process;
- Excessive severity of the sanction; or
- The decision is not justified by the evidence or is contrary to law.
- Following receipt of the request for review, the hearing officer shall make whatever review is deemed necessary to resolve the issues that have been raised.
The service provider will provide the hearing officer’s written decision on review to the parties and university president no later than twenty (20) days after receipt of the request from the complainant.
When the complainant does not request rehearing or review, the hearing officer’s decision following the hearing becomes the final agency decision fifteen (15) days after the complainant’s receipt of that decision. When the complainant requests review, the hearing officer’s decision following review is the final agency decision.
The hearing officer’s decision is subject to judicial review only under A.R.S. §12-901, et seq. The hearing officer’s decision following the hearing shall include a statement notifying the complainant that he or she has thirty-five (35) days from the date on which the decision becomes final to seek review of that decision in the superior court in accordance with the provisions of the Administrative Review Act, A.R.S. §12-901, et seq.
Each university shall develop appropriate mechanisms to advise all employees of the existence of this policy, including but not limited to making the policy available on the university’s web site, including a reference to the policy in employee handbooks, and posting copies of the policy where appropriate.
6-915 Executive Compensation Guidelines
ARTICLE J. MULTIPLE YEAR APPOINTMENTS OF HEAD COACHES AND
OF INTERCOLLEGIATE ATHLETICS DIRECTORS [PDF]6-1001 General Provisions (PDF)
- Applicability
- This Article J (Multiple-year Appointments of Head Coaches and of Intercollegiate Athletics Directors) shall constitute the policies and procedures to be followed in the appointment and employment of any head coach or intercollegiate athletics director for a fixed period of more than one year but not more than five years.
- This Article J (Multiple-year Appointments of Head Coaches and of Intercollegiate Athletics Directors) shall apply to any multiple year appointment of a head coach or intercollegiate athletics director, whether an initial appointment or a reappointment, which occurs after the date of this Article's adoption by the Board.
- This Article J (Multiple-year Appointments of Head Coaches and of Intercollegiate Athletics Directors) shall not apply to the appointment of a head coach or intercollegiate athletics director for a period of one (1) year or less. In such case, the head coach or intercollegiate athletics director shall be subject to the conditions of service policy referenced in the notice of appointment document received by the head coach or intercollegiate athletics director from the university president.
- Conditions of Employment
- All terms and conditions for the employment of a head coach or intercollegiate athletics director for a fixed period of more than one (1) year but not more than five (5) years shall be set forth in a written contract.
- A head coach or intercollegiate athletics director with a multiple year appointment shall not be subject to the personnel policies set forth in Articles A through D of this Chapter VI (Personnel Policies) concerning Conditions of Service for Administrators (6-101), Faculty (6-201), Professional (6-301) or Classified Staff (6-401). However, a head coach or intercollegiate athletics director with such an appointment may concurrently hold an appointment to another employment position with the Board which is subject to one of the above-referenced policies.
- Definitions
In this Article J (Multiple-year Appointments of Head Coaches and of Intercollegiate Athletics Directors), unless the context otherwise requires:
- "Board" means the Arizona Board of Regents.
- "Contract" means a written contract between the Board and the head coach or intercollegiate athletics director setting forth in full the terms and conditions of employment of a head coach or intercollegiate athletics director with a multiple year appointment.
- "Head Coach" means an employee of the Board who serves at a university as a head coach of an intercollegiate athletic team.
- "Intercollegiate Athletics Director" means an employee of the Board who serves at a university as the director of intercollegiate athletics.
- "Multiple year appointment" means an appointment to a position as a head coach or intercollegiate athletics director for a period of more than one (1) year but not more than five (5) years.
- "President" or "university president" means the president of the appropriate university or the president's designated representative.
- "University" means a university under the jurisdiction and control of the Board.
- "Year" means a period of twelve months beginning with the effective date of the contract or such other date as specified in the contract.
- Offer of a Multiple Year Appointment
- A university president may offer a multiple year appointment to a head coach or intercollegiate athletics director provided that the offer and the appointment are conditioned upon approval by the Board.
- A university president may offer to renew a multiple year appointment as head coach or intercollegiate athletics director for a period of not more than five years and may offer to renew an appointment of one year or less as a multiple year appointment, provided that in each case the offer of renewal and the appointment are conditioned upon approval by the Board.
- Board Approval
- Approval by the Board of the offer and the appointment shall constitute Board approval of the contract. In obtaining such approval, the president shall specify:
- The period of the appointment;
- The compensation to be paid by the university during the period of the appointment, including any provision for performance bonuses;
- Additional significant provisions of the contract; and
- Such other information as the Board may request.
- In obtaining Board approval, the information required to be specified may be provided by submitting to the Board a copy of the proposed contract.
- Effective Date
A multiple year appointment as head coach or intercollegiate athletics director, whether an initial appointment or a reappointment, shall be effective as of the date set forth in the contract, which date shall be no earlier than the date there exists a fully executed contract, the terms and conditions of which have been approved by the Board.
- The contract shall contain such terms as are negotiated by the university president and approved by the Board, but each contract shall specify at least the following:
- The names of the parties and the period of the appointment as head coach or intercollegiate athletics director.
- The duties and responsibilities of the head coach or intercollegiate athletics director.
- That compensation beyond the university's current fiscal year is expressly made contingent upon the availability of funds.
- Identification of all university-furnished fringe benefits, with the proviso that those benefits which are also made available to all other nonclassified university employees are subject to change from time to time by the legislature, the Board or the university.
- That the contract contains in full the terms and conditions of employment, that no oral or written communication made prior to or after the execution of the contract that is inconsistent or in conflict with the contract shall become a part of the contract, and that the head coach or intercollegiate athletics director shall not rely on such communications if made. This provision shall not be construed as prohibiting Board approved written amendments to the contract.
- With respect to the contract of a head coach only, that an annual disclosure of the head coach's outside sources and amounts of athletically related benefits (to the extent disclosure is required by the NCAA or the applicable athletic conference) shall be made to the university president, the university's intercollegiate athletics director, and the president of the Board.
- A provision permitting the university president to terminate the contract at any time without cause by causing the university, at the president's discretion, to pay, as liquidated damages in lieu of all other remedies available to the head coach or intercollegiate athletics director, a specified sum not greater than that which the head coach or intercollegiate athletics director should have received as salary from the university to the end of the then-existing contract term. The provision should indicate the extent to which the sum to be paid by the university will be reduced by the amount of compensation received by the head coach or intercollegiate athletics director if subsequently employed in a position at another institution of higher education or professional major league team during the period covered by the multiple year appointment with the university. The provision should indicate whether any university-furnished fringe benefits are included in defining "salary" for the purpose of establishing the specified liquidated damages. The provision should also make clear that in the event of an early termination of the contract without cause, or with respect to any claim brought in connection with the contract, the Board will not be liable to the head coach or intercollegiate athletics director for any collateral business opportunities or other benefits associated with the head coaching or intercollegiate athletics director position not provided by the Board or university, except to the extent, if any, that such opportunities or benefits are specifically identified in the contract and
- Such opportunities or benefits are expressly included in defining "salary" for the purpose of establishing the specified liquidated damages, or
- Liability for such opportunities or benefits is expressly provided for in the contract.
- With respect to the contract of a head coach only, a noncompetition clause or restrictive covenant provision sufficient to permit the university at the president's discretion to enjoin a head coach from being employed in the sport in which the head coach serves at the university by any institution designated in the contract during the period of the multiple-year appointment.
- With respect to the contract of an intercollegiate athletics director only, a noncompetition clause or restrictive covenant provision sufficient to permit the university at the president's discretion to enjoin an intercollegiate athletics director from being employed in a comparable administrative capacity by any institution designated in the contract during the period of the multiple year appointment.
- The basis on which the coaching contract can be terminated for cause so as to bar the head coach or intercollegiate athletics director from entitlement to further payment of compensation. Cause shall include but not be limited to:
- Demonstrated dishonesty.
- Substantial neglect of properly assigned duties.
- Personal misconduct that substantially impairs fulfillment of assigned duties and responsibilities by the head coach or intercollegiate athletics director.
- Substantial incapacity, physical or mental, to perform assigned duties. Due consideration should be given to the nature and duration of the incapacity.
- Violation of the Code of Conduct or other Board or university policies governing athletics or athletic department employees.
- Violation of conflict of interest laws.
- Violation of NCAA or applicable athletic conference regulations.
- Conviction of a criminal act that constitutes either a felony, a misdemeanor involving moral turpitude, or that otherwise reflects adversely on the person's fitness to serve as a head coach or intercollegiate athletics director.
- The procedures to be followed in the event of termination for cause, which shall at least provide for:
- The suspension with pay of a head coach or intercollegiate athletics director if the president determines that the continued presence of the head coach or intercollegiate athletics director on the campus will substantially interfere with the orderly functioning of the university or a department, college or other budgetary unit of the university.
- Timely notice of the charges asserted against the head coach or intercollegiate athletics director and a reasonable opportunity to defend against the charges.
ARTICLE K. MULTIPLE YEAR APPOINTMENTS OF UNIVERSITY PRESIDENTS
AND THE EXECUTIVE DIRECTOR OF THE BOARD [PDF]6-1101 General Provisions (PDF)
- Applicability
- This Article K (Multiple-year Appointments of University Presidents and the Executive Director of the Board) shall constitute the policies and procedures to be followed in the appointment and employment of a university president or the board's Executive Director for a fixed period of more than one year but not more than three years.
- This Article K (Multiple-year Appointments of University Presidents and the Executive Director of the Board) shall apply to any multiple-year appointment of a university president or executive director, whether an initial appointment or a reappointment, which occurs after the date of this Article's adoption by the Board.
- This article K (Multiple-year Appointments of University Presidents and the Executive Director of the Board) shall not apply to the appointment of a university president or Executive Director for a period of one year or less. In such case, the university president or Executive Director shall be subject to the Conditions of Service Policy referenced in the Notice of Appointment document received by the university president or Executive Director.
- Conditions of Employment
- All terms and conditions for the employment of a university president or Executive Director for a fixed period of more than one (1) year but not more than three (3) years shall be set forth in a written contract.
- A university president or Executive Director with a multiple year appointment shall not be subject to the personnel policies set forth in Articles A through D of this Chapter VI (Personnel Policies) concerning Conditions of Service for Administrators (6-101), Faculty (6-201), Professional (6-301) or Classified Staff (6-401). However, a university president or Executive Director with such an appointment may concurrently hold an appointment to another employment position with the Board which is subject to one of the above-referenced policies.
- Definitions
In this Article K (Multiple-year Appointments of University Presidents and the Executive Director of the Board), unless the context otherwise requires:
- "Board" means the Arizona Board of Regents.
- "Contract" means a written contract between the Board and the university president or Executive Director setting forth in full the terms and conditions of employment of a university president or Executive Director with a multiple year appointment.
- "Executive Director" means the Executive Director of the Central Office of the Board.
- "Multiple Year Appointment" means an appointment to a position for a period of more than one (1) year but not more than three (3) years.
- "President" or "University President" means the President of the appropriate university.
- "University" means a university under the jurisdiction and control of the Board.
- "Year" means a period of twelve (12) months beginning with the effective date of the contract or such other date as specified in the contract.
- Board approval
The Board shall act upon a multiple year appointment for a university president or Executive Director by authorizing the issuance of the appointment, and may delegate its authority to execute the contract to the Board President, following a review of the contract by Board Counsel.
- Effective Date
A multiple year appointment as university president or Executive Director, whether an initial appointment or a reappointment, shall be effective as of the date set forth in the contract, which date shall be no earlier than the date there exists a fully executed contract, the terms and conditions of which have been approved by the Board.
- The contract shall contain such terms as are negotiated by the parties, but each contract shall specify at least the following:
- The names of the parties and the period of the appointment as university president or Executive Director.
- The duties and responsibility of the university president or Executive Director.
- That compensation beyond the university's current fiscal year is expressly made contingent upon the availability of funds.
- Identification of all university-furnished fringe benefits, with the proviso that those benefits which are also made available to all other nonclassified university employees are subject to change from time to time by the Legislature, the Board or the university.
- That the contract contains in full the terms and conditions of employment, that no oral or written communication made prior to or after the execution of the contract that is inconsistent or in conflict with the contract shall become a part of the contract, and that the university president or Executive Director shall not rely on such communications if made. This provision shall not be construed as prohibiting Board approved written amendments to the contract.
- A provision permitting the Board, at its sole discretion, to terminate the contract at any time without cause by paying, as liquidated damages in lieu of all other remedies available to the university president or Executive Director, a specified sum not greater than that which the university president or Executive Director should have received as salary to the end of the then-existing contract term. The provision should indicate the extent to which the sum to be paid will be reduced by the amount of compensation received by the university president or Executive Director if subsequently employed in a comparable position at another institution of higher education during the period covered by the multiple year appointment with the Board. The provision should indicate whether any Board-furnished fringe benefits are included in defining "salary" for the purpose of establishing the specified liquidated damages. The provision should also make clear that in the event of an early termination of the contract without cause, or with respect to any claim brought in connection with the contract, the Board will not be liable to the university president or Executive Director for any collateral business opportunities or other benefits associated with the university president or Executive Director position not provided by the Board or university, except to the extent, if any, that such opportunities or benefits are specifically identified in the contract and
- Such opportunities or benefits are expressly included in defining "salary" for the purpose of establishing the specified liquidated damages, or
- Liability for such opportunities or benefits is expressly provided for in the contract.
- The basis on which the contract can be terminated for cause so as to bar the university president or Executive Director from entitlement to further payment of compensation. Cause shall include but not be limited to:
- Demonstrated dishonesty.
- Substantial neglect of properly assigned duties.
- Personal misconduct that substantially impairs fulfillment of assigned duties and responsibilities by the university president or Executive Director.
- Substantial incapacity, physical or mental, to perform assigned duties. Due consideration should be given to the nature and duration of the incapacity.
- Violation of the Code of Conduct or other Board or university policies governing Board employees.
- Conviction of a criminal act that constitutes either a felony, a misdemeanor involving moral turpitude, or that otherwise reflects adversely on the person's fitness to serve as a university president or Executive Director.
- The procedures to be followed in the event of termination for cause, which shall at least provide for:
- The suspension with pay of a university president or Executive Director if the Board determines that the continued presence of the university president or Executive Director will substantially interfere with the orderly functioning of the university or the Central Office.
- Timely notice of the charges asserted against the university president or Executive Director and a reasonable opportunity to defend against the charges.
ARTICLE L. ARIZONA INTERNATIONAL COLLEGE OF THE UNIVERSITY OF ARIZONA [PDF]
Section "L" consists of policies pertaining to the employment of appointed personnel (faculty, professional and administrative) at the Arizona International College (AIC) of the University of Arizona. AIC is part of the University of Arizona and its chief college administrator reports directly to the provost of the University of Arizona.
6-1200 Conditions of Faculty Service - Arizona International College (PDF)
- 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, scholarly endeavors 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, scholarly endeavors 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.
To these ends, the Board of Regents establishes these Conditions of Faculty Service for the Arizona International College of the University of Arizona.
- Purpose
- These Conditions of Faculty Service constitute the conditions of employment as a faculty member at the Arizona International College. 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.
- 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 (at least every five (5) years) and modification of all aspects of governance of the universities, and the right to enact and revise such rules, regulations, policies and orders as it deems proper, subject to the rule making procedures set forth in the Board policy manual.
- 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, which include opportunities for appropriate involvement by representatives of the college.
- Definitions
In this section, unless the context otherwise requires:
- "Adjunct appointment" is an appointment of less than .5 FTE for one semester.
- "Appeals Hearing Team" means a committee selected by the Arizona International faculty under procedures determined by the college. Responsibilities of the committee include, but are not limited to, the conduct of hearings in accordance with ABOR Policy 6-1200J (Conditions of Faculty Service -- Arizona International College, Suspension and Dismissal Hearing Procedures), K (Conditions of Faculty Service -- Arizona International College, Procedure to Review Allegedly Discriminatory or Unconstitutional Action (Including Alleged Violations of Due Process or Academic Freedom)), and L (Conditions of Faculty Service -- Arizona International College, Grievance Procedure to Review Other Faculty Grievances) below.
- "Appointment" means employment for a period as specified in a notice of appointment. The term refers to both the initial appointment and all subsequent appointments, reappointments or renewals of appointments.
- "Board" means the Arizona Board of Regents.
- "College" means the Arizona International College or any other area designated by the chief college administrator.
- "Chief college administrator" means the administrative officer responsible for all activities at the college or the administrator's designated representative.
- "Day" means calendar day, except that where the last day of any specific time period falls on a Saturday, a Sunday or a college-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 college-recognized holiday.
- "Discriminatory action" means an employment action that constitutes any discrimination prohibited by state or federal law.
- "Faculty" means all faculty members at the college.
- "Faculty member" means an employee of the Board whose notice of appointment expressly designates a faculty position.
- "Fixed-term appointment" means an appointment to a faculty position for one or more academic or fiscal years but for not more than five fiscal years.
- "Initial review period" means the initial period of appointment for all fixed-term appointments. Initial appointments may be made for one (1) to three (3) years at the discretion of the chief college administrator.
- "Notice of appointment" means the document by which an appointment is made to a faculty position, which is signed by the chief college administrator and which is more fully described in ABOR Policy 6-1200D.4 (Conditions of Faculty Service -- Arizona International College, Appointment Procedures).
- "Part-time appointment" is an appointment of less than .5 FTE for one semester.
- "President" means the president of the University of Arizona or the president's designated representative.
- "Re-employment" means the reappointment of a fixed term faculty member for another fixed term appointment.
- "Renewal" means the process by which a fixed-term appointment is extended for an additional period.
- "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.
- "Semester appointment" means an appointment for one semester.
- "University" means the University of Arizona.
- Appointment Procedures
- The chief college administrator shall establish written procedures through which faculty, heads of academic units and other appropriate personnel shall have opportunity for effective participation in deliberations leading to recommendations for appointment of faculty members.
- Faculty appointments:
- The chief college administrator may appoint faculty members without Board approval subject to the provisions of ABOR Policy 6-910 (Appointments Requiring Board Approval), provided that in each instance:
(1) Faculty members initially will serve for an initial review period of up to three (3) years;
(2) The appointment is documented by a notice of appointment as required in ABOR Policy 6-1200D.4 (Conditions of Faculty Service -- Arizona International College, Appointment Procedures) in this section, which is accepted in writing by the prospective faculty member as required in ABOR Policy 6-1200D.5 (Conditions of Faculty Service -- Arizona International College, Appointment Procedures) of this section; and
(3) Funds for such an appointment are available from an authorized source.
- The appointment is effective on the date written acceptance of the notice of appointment is received by the college office designated to receive such acceptance unless a subsequent date is specified in the notice of appointment.
- After serving an initial review period of up to three years, faculty may be offered written fixed-term appointments. A fixed-term appointment may be renewed at the end of each appointment period for another fixed-term appointment. In accordance with procedures adopted by the college, review for renewal will be conducted during the year prior to the final year of appointment. There is no limit on the number of renewals. No fixed-term appointment for a period of greater than one year shall become effective until approved by the Board.
- 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:
- Be in writing and signed by the chief college administrator;
- State the name of the faculty member, the period of the appointment and the salary, if any, to be paid;
- State the position is a faculty appointment and indicate the length of the fixed-term appointment;
- State that these Conditions of Faculty Service are incorporated by reference, as are other applicable rules of the Board, university, or college.
- A faculty member shall accept his or her appointment by signing and returning the notice of appointment to the designated college official no later than fourteen (14) days following the date on which the notice was posted or personally delivered if the appointment is for a fiscal 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 chief college administrator 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 the signed 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 college of a mailing address where the notice of appointment is to be sent.
- 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 or other Board or college rules shall become a part of the conditions of employment.
- 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 members' right to request a review of a salary adjustment in accordance with the college procedure for such a review.
- Types of Faculty Appointments
- Any person appointed to an established faculty title shall be accorded a fixed-term position as designated by the notice of appointment, except as provided in ABOR Policy 6-1200E.2 (Conditions of Faculty Service -- Arizona International College, Types of Faculty Appointments) of this section.
- Any person appointed to a faculty position designated as "part-time", "adjunct" or such title(s) as may be designated by the college, shall be appointed for a period of no more than two semesters and shall have no expectation of continued employment beyond the end of the current appointment period. Re-employment for such a faculty member can only occur through specific notification from the chief college administrator and may not result from inaction or inadvertence. The college shall provide non-renewal procedures including a reasonable notification period of non-renewal.
- Any person appointed for a fixed-term shall serve an initial review period not to exceed three (3) years. College policies shall provide for the notice of non-renewal in the first, second or third year and a reasonable period of notification of non-renewal during the last year of a fixed-term appointment.
- A faculty member may hold a nonfaculty appointment at the Arizona International College concurrent with a faculty appointment. Only the faculty appointment shall be subject to 6-1200 (Conditions of Faculty Service -- Arizona International College).
- Except as otherwise provided in ABOR Policy titled Honored Faculty Positions (6-208), an honorary, courtesy or other non-earned faculty appointment is not an appointment to a fixed-term appointment. 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 chief college administrator.
- Faculty Compensation, Employment-Related Benefits and Board Policies
- Faculty salary scales are set by the Board. The chief college administrator shall approve individual salaries. Salary adjustments will depend upon available funding and are allocated by the chief college administrator within the limitation of available funds and based on the provisions in the ABOR Policy titled Evaluation of Faculty (6-211) and Salary Increases (6-901).
- 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.
- The college shall maintain a compilation of such employment-related benefits and policies and shall make good faith efforts to inform the faculty of their existence.
- Policies governing outside activities and supplementary compensation are administered by the college.
- Duties and Responsibilities
Duties of a faculty member shall consist of those responsibilities assigned by the chief college administrator or an appropriate college administrator. Teaching assignments, schedules, work location and other instructional responsibilities shall be carried out under the direction of the chief college administrator. Duties and responsibilities shall be primarily teaching and teaching related activities and may include scholarly projects, service activities, or administrative functions. Assigned duties may include assisting with efforts to achieve college goals related to affirmative action, including participation in student recruitment and retention programs directed at economically disadvantaged, minority and underrepresented student populations. Teaching, advising, scholarly and service performance shall be subject to evaluation by the chief college administrator and performance shall be considered in decisions relating to compensation, renewal or termination.
- Renewal
- Decisions relating to renewal shall be made in accordance with college rules and procedures. These rules and procedures shall be developed in consultation with the faculty and approved by the chief college administrator. The decision on renewal shall be made by the chief college administrator after considering all evaluations, recommendations and other evidence submitted. A fixed-term faculty member, on a term appointment of two (2) or more years, who receives a notice of nonrenewal is entitled upon request to a written summary of the reasons for the decision from the chief college administrator. Should the decision be appealed, the decision of the provost is final and not subject to further administrative review.
- Part-time, adjunct or any other faculty members on a semester appointment may apply for fixed-term positions for which they are appropriately qualified and fixed-term faculty may apply for part-time or adjunct positions. In neither instance, however, would special priority be given in the selection process. Faculty hired on a fixed-term appointment who previously served on a semester appointment shall serve an initial review period.
- College rules and procedures applicable to fixed-term faculty members shall include:
- A maximum initial review period up to three (3) years in full-time service in a fixed-term position, except in cases of waiver by the chief college administrator for an individual faculty member, or as provided by policies established by the college to extend the period for individual faculty members facing adverse circumstances;
- A mandatory periodic (No less than yearly) review;
- Provisions to cover situations in which the faculty member's assignment is changed; and
- Inrange salary adjustments based on service and performance within the grade.
- After the initial review period the faculty member shall have no expectation of renewal for the maximum possible period.
- Criteria for renewal
- Written criteria shall be developed by the college in consultation with the faculty and approved by the chief college administrator to be applied to all decisions on renewal. These criteria shall include such considerations as teaching effectiveness; ability to work with others; quality of advising; quality of scholarly or creative endeavors; and the quality of professional service rendered to the college and to the community as it relates to the mission of the college. The primary criteria for the evaluation of all faculty shall be teaching effectiveness and ability to work with others within the criteria of the faculty evaluation procedures.
- The appointment of a fixed-term faculty member is renewed on the basis of excellent performance and the promise of continued excellence. Nonrenewal 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 emphasis; the lack of continued need for the position; the need to shift a position or resources to another unit; or the opportunity for an alternative program in teaching or service may dictate that the individual not be renewed.
- Renewal of a fixed-term appointment shall occur only with the approval of the chief college administrator, the President, and the Board and may not result from inaction or inadvertence.
- Dismissal or Suspension
- Fixed-term faculty members
- Fixed-term 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 mediation and hearing procedures in ABOR Policy 6-1200J (Conditions of Faculty Service -- Arizona International College, Suspension and Dismissal Hearing Procedures) below.
- Just cause shall include, but not be limited to, unsatisfactory performance over a specified period of time; dishonesty in professional activities related to teaching, scholarship or other creative endeavors, or service to the college community; 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 or promotion at the college; or proven violation of Board or college rules or regulations (including code of conduct or any other disciplinary rules), depending upon the gravity of the offense, its repetition, or its negative consequences upon others.
- The inability to perform assigned duties due to physical or mental capacity may be deemed just cause for dismissal or suspension without pay, but only in accordance with college policies governing leaves of absence without pay established pursuant to the ABOR Policy titled Leaves of Absence Without Pay (6-805).
- Faculty members holding a semester appointment
- An adjunct or other faculty members holding a semester appointment may be dismissed or suspended without pay during an appointment period only after a finding of just cause as defined in ABOR Policy 6-1200I.b (Conditions of Faculty Service -- Arizona International College, Dismissal or Suspension), above. Such dismissal or suspension may take effect only following an opportunity for the faculty member to utilize the mediation and hearing procedures as prescribed in ABOR Policy 6-1200J. (Conditions of Faculty Service -- Arizona International College, Suspension and Dismissal Hearing Procedures), below.
- An adjunct or other faculty member holding a semester appointment has no expectation of continued employment beyond the appointment period and shall not be entitled to a hearing if they are not offered another appointment, unless they can prove alleged discrimination or unconstitutional action (see ABOR Policy 6-1200K (Conditions of Faculty Service -- Arizona International College, Procedures to Review Allegedly Discriminatory or Unconstitutional Action (Including Alleged Violations of Due Process or Academic Freedom)).
- Administrative Leave with Pay Pending Investigation
- A faculty member may be placed on leave with pay only if it is determined by the chief college administrator that the faculty member's continued presence at the college is likely to constitute a substantial interference with the orderly functioning of the college or academic unit thereof.
- Except as provided in ABOR Policy 6-12000I.3.c. (Conditions of Faculty Service -- Arizona International College, Dismissal or Suspension, Administrative Leave with Pay Pending Investigation), below, 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.
- In exceptional cases, when the chief college administrator 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 college 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.
- 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 6-1200J (Conditions of Faculty Service -- Arizona International College, Suspension and Dismissal Hearing Procedures).
- Placement on leave with pay status shall not be considered a disciplinary sanction.
- A faculty member who is placed on leave with pay shall continue to receive full salary and benefits during the term of the leave.
- Suspension and Dismissal Hearing Procedures
- 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 college.
- The college shall provide a review procedure for a faculty member who is recommended for suspension without pay or for dismissal during a contract period. This procedure shall only apply to dismissal or suspension without pay recommendations and without limitations; the procedure is not to be applicable to:
- Decisions relating to promotions or leaves;
- Decisions relating to renewal at the end of an appointment period of a fixed-term faculty or faculty member holding a semester appointment;
- Decisions relating to release from employment due to reorganization;
- Decisions relating to evaluation of faculty under ABOR Policy 6-211 (Evaluation of Faculty); and
- Suspension or dismissal from a concurrently held nonfaculty position.
- The college review procedure shall include a mediation process and a hearing procedure and/or an alternative resolution procedure.
- The college review procedure shall provide for but is not limited to the following: (1) the establishment of a review committee and/or an alternative resolution procedure; (2) a written process including time periods; (3) maintenance of hearing records; (4) in accordance with the state's open meeting law, hearings and committee deliberations shall be conducted in executive session, closed to the public, except that the complainant may require that proceedings be held in public meetings; (5) written findings and recommendations; (6) review and decision by the chief college administrator; and (7) an appeals process to the President whose decision shall be final.
- Procedure to Review Allegedly Discriminatory or Unconstitutional Action (Including Alleged Violations of Due Process or Academic Freedom)
The college shall provide a review procedure for a faculty member who receives an adverse decision concerning his/her salary range adjustment, renewal, or release from employment under ABOR Policy 6-1200J.2 (Conditions of Faculty Service -- Arizona International College, Suspension and Dismissal Hearing Procedures). A faculty member may file a written complaint alleging that the adverse decision was a discriminatory action, or was based on unconstitutional grounds (including violation of due process or academic freedom). The process shall provide for but is not limited to the following:
- The establishment of a review committee;
- A written hearing process;
- Maintenance of hearing records;
- The burden of proving discriminatory action or unconstitutional grounds shall be on the faculty member;
- The cost of an advisor (who shall not be entitled to participate in the hearing process) or the cost of a transcript of the hearing shall be the responsibility of each party;
- The determination shall be made by the president. The president's decision shall be final.
- Grievance Procedure to Review Other Faculty Grievances
In accordance with ABOR Policy 6-904 (Grievance), the college shall provide an established grievance procedure to resolve any work-related concerns of a faculty member, not covered by ABOR Policy 6-1200 J and K (Conditions of Faculty Service -- Arizona International College, Suspension and Dismissal Hearing Procedures and Procedure to Review Allegedly Discriminatory or Unconstitutional Action (Including Alleged Violations of Due Process or Academic Freedom)) above including but not limited to any complaint alleging a violation of the Conditions of Faculty Service or any other rules of the Board or college relating to faculty members. The grievance procedure shall authorize a faculty member to initiate a grievance by filing with the immediate supervisor a written statement which describes the specific action(s) being challenged and any Board or college rule which has allegedly been violated. If the faculty member is not satisfied with the immediate supervisor's decision, the faculty member may file an appeal for mediation.
- Implementation
The chief college administrator shall establish, in consultation with faculty and other personnel, such additional policies and procedures consistent with this policy as may be needed to carry out the Conditions of Faculty Service - Arizona International College (6-1200).
- Severability
If any section, paragraph, subdivision, clause, sentence or phase 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.
- Interpretation
These Conditions of Faculty Service shall be governed and interpreted under the laws of Arizona.
6-1201 Conditions of Administrative Service - Arizona International College (PDF)
- General
- These Conditions of Administrative Service (6-1201) shall constitute the policy under which administrative employees of the Board are employed at the Arizona International College of the University of Arizona. 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.
- 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 and revise such rules, regulations, policies and orders as it deems proper.
- It is recognized that individual administrative employees may hold dual appointments at the Arizona International College only one of which may be to a position subject to the Conditions of Administrative Service (6-1201).
- Definitions
- "Administrator" or "administrative" means an officer who reports directly to the president, the chief college administrator or vice president and who is responsible for planning, organizing, directing, controlling and evaluating the activities of a major segment of the college; promulgating and implementing university and college 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, officers of the institution, unit heads and other related positions as determined by the Board.
- Any nonclassified or non-student employee, not covered by the Conditions of Professional Service, Arizona International College (6-1202) or Conditions of Faculty Service, Arizona International College (6-1200), who reports to a person below the level of chief college administrator and who has direct role in planning, organizing, directing, evaluating and controlling a major college function. Specific positions shall be determined by the chief college administrator consistent with the terms of this definition.
- "Board" means the Arizona Board of Regents.
- "College" means the Arizona International College or any other area designated by the chief college administrator.
- "Chief college administrator" means the administrative officer responsible for all activities on the college or the administrator's designated representative.
- "Notice of Appointment" means the document by which an appointment is made each year and which is signed by the chief college administrator.
- "President" means the president of the University of Arizona or the president's designated representative.
- "University" means the University of Arizona.
- Appointment Procedures
- The chief college administrator shall establish procedures for securing recommendations for appointments to administrative positions. Appointments may become effective when approved by the chief college administrator and president but require approval or ratification by the Board. Except in extraordinary circumstances, the chief college administrator and president shall obtain the Board's approval prior to the effective date of an administrative appointment.
- Appointments to positions described in ABOR Policy 6-1201B.1.b. (Conditions of Administrative Service -- Arizona International College, Definitions), shall become effective only when approved by the chief college administrator.
- All administrative employees shall receive each year an appointment 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 Administration Service - Arizona International College (6-1201), shall become a part of the conditions of employment.
- 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.
- Compensation
- Salary ranges for administrative positions are set by the Board. The chief college administrator may set individual salaries within those ranges or as otherwise approved by the Board. Salary rates for reappointment will depend upon available funding. Merit raises may be allocated by the chief college administrator within the limitation of available funds.
- Certain fringe benefits are made available to all state employees and are subject to change by the legislature or the Board.
- Policies governing outside activities and supplementary compensation are administered by each university.
- Employment-related Benefits
The Board has provided various benefits 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 or by state law.
- Duties and Responsibilities
- Duties and responsibilities of an administrative employee shall consist of those assigned by the chief college administrator. All duties and responsibilities shall be carried out under the direction of the chief college administrator who may alter or amend assigned duties or change titles at any time.
- Performance of assigned duties by administrative employees shall be subject to evaluation by the chief college administrator and performance shall be considered in decisions relating to compensation, retention, termination or a decision not to reappoint.
- Reappointment
- Decisions relating to reappointment shall be made in accordance with college rules and procedures developed by the chief college administrator. The decision of the chief college administrator not to reappoint is final.
- 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.
- Administrative employees shall be given a ninety-day notification of non-renewal. Failure to provide an administrative employee with a ninety-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 an administrative employee's appointment period, the employee shall be entitled to continuation of salary for ninety days from the date of notification.
- Termination and Release
- Administrative employees may be removed by the chief college administrator from their administrative assignment at any time, but may not be dismissed during an appointment period without reason, except as set forth in ABOR Policy 6-1201H.3. (Conditions of Administrative Service -- Arizona International College, Termination and Release) below.
Reasons for dismissal may include, but are not limited to, unsatisfactory performance, incompetence or dishonesty in professional activities, neglect of properly assigned duties, moral turpitude, 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.
The president's determination shall be final.
- An administrative employee may be suspended with pay if the chief college administrator determines that the continued presence of the employee on the college may constitute a substantial interference with the orderly functioning of the college or of a substantial area, unit or department of the college.
- 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.
- Implementation
The chief college administrator shall establish such additional policies and procedures consistent with this policy as may be needed to carry out the Conditions of Administrative Service - Arizona International College (6-1201).
- 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.
- Appointment to Administrative Position
The chief college administrator 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 chief college administrator at any time without cause or explanation.
- Salary Adjustments for Administrators Who Return to Faculty Positions
- The chief college administrator shall inform the president prior to final execution of an employment contract in which administrative personnel are changed to a faculty assignment. The compensation to be paid for such faculty assignment is subject to president's approval.
- When a college administrator returns or is reassigned to an appointment as a faculty member the faculty salary shall be determined by the chief college administrator on the same basis as all other faculty salaries.
- Interpretation
These Conditions of Administrative Service -- Arizona International College (6-1202) shall be governed and interpreted under the laws of Arizona.
6-1202 Conditions of Professional Service - Arizona International College (PDF)
- General
These Conditions of Professional Service -- Arizona International College (6-1202) shall constitute the policy under which professional employees of the Arizona Board of Regents are employed at the Arizona International College of the University of Arizona. 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 (at least every five years) and modification of all aspects of governance of the state universities, and the right to enact and revise such rules, regulations, policies and orders as it deems proper.
It is recognized that individual employees may hold multiple appointments. Other appointments may be to positions subject to conditions other than the Conditions of Professional Service -- Arizona International College (6-1202).
- Definitions
- "Appointment" means employment for a period as specified in an Appointment or Reappointment Notice.
- "Appointment Notice" means the document by which an initial appointment is made and which is signed by the chief college administrator. Each Appointment Notice for professional employees shall state that this policy is incorporated by reference as are other applicable rules of the Board, university, or college. It shall provide that acceptance of the Appointment Notice constitutes recognition of this incorporation.
- "Board" means the Arizona Board of Regents.
- "College" means the Arizona International College or any other area as designated by the chief college administrator.
- "Chief college administrator" means the administrative officer responsible for all activities at the college or the administrator's designated representative.
- "Day" means calendar day, except that where the last day of any specific time period falls on a Saturday, a Sunday, or a college-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 college-recognized holiday.
- "Discriminatory action" means an employment action that constitutes any discrimination prohibited by state or federal law.
- "President" means the president of the University of Arizona or the president's designated representative.
- "Professional(s)" or "professional employee(s)" means those for whom assigned responsibilities require advanced training or an advanced degree and carry the expectation of continued professional development. Professional employees exercise independent judgment, and discretion within the standards of the employees' profession. They require intellectual and professional freedom.
- "Professional" means those whose responsibilities predominantly include provision of service to college clientele or to the college itself. Within this context, professionals may be assigned supervisory responsibilities.
These positions typically may include, but are not limited to, student service professionals, budget professionals, library professionals, legal personnel, business operations professionals, program directors and program managers.
- "Reappointment" means employment for an additional contract period beyond that specified in the initial Appointment Notice.
- "Reappointment Notice" means the document by which an appointment is continued without a break in service.
- "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.
- "Suspension without pay" means the removal from assigned responsibilities and a discontinuation of salary for the stipulated period of the suspension. An employee who is suspended without pay will have the same access to insurance benefits as an employee on leave without pay.
- "University" means the University of Arizona.
- Conditions of Employment
- Appointment procedures
- All professional employees shall receive an Appointment Notice for a fiscal year or portion thereof. Appointments and reappointments shall not be for more than one fiscal year.
- The appointment is effective on the date specified by the chief college administrator.
- The Appointment Notice constitutes the employment contract of the person named in the notice when accepted in writing by the person so named. All Appointment Notices shall at a minimum:
(1) Be in writing and signed by the chief college administrator;
(2) State the name of the professional, the period of the appointment and the salary, if any, to be paid and the title of the position to which the employee is appointed;
(3) State the appointment is "year-to-year" and designate the employee as a "professional" subject to the Conditions of Professional Service -- Arizona International College;
(4) Where appropriate, state that the appointment is dependent on funding from a 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 Professional Service -- Arizona International College (6-1202) are incorporated by reference, as are other applicable rules of the Board or college and are incorporated by reference into any subsequent regoverned by this appointment.
- A professional shall accept his or her appointment by signing and returning the Appointment Notice to the designated college official no later than the deadline stated in the Appointment Notice. The college shall establish its own procedures regarding the non-return of Appointment Notices.
- No oral or written communication made prior to or after the execution of an Appointment Notice that is inconsistent or in conflict with the Conditions of Professional Service -- Arizona International College (6-1202) or other Board or college rules shall become a part of the conditions of employment.
- Reappointment procedures
- All affected professional employees shall receive a Reappointment Notice from the chief college administrator for a fiscal year or portion thereof.
- No oral or written communication made prior to or after the execution of a Notice of Reappointment that is inconsistent or in conflict with the Conditions of Professional Service -- Arizona International College (6-1202) shall become part of the conditions of employment.
- Reappointments shall become effective on the date specified.
- Whether or not an annual salary adjustment has been included in the Reappointment Notice, the professional retains the right to request a review of a salary adjustment in accordance with the college procedures for such a review.
- The professional is not required to sign and return the Reappointment Notice. An employee is expected to begin work on the effective date of the reappointment period. The college shall develop a policy regarding abandonment of position.
- Professional appointments
- An appointment may be for a period of less than one year, but shall be for a period of no more than one fiscal year. Professionals shall have no expectation of employment beyond the end of the current contract commitment. There is no limit to the number of appointment periods to which a person may be appointed.
- Any person appointed to a professional position 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.
- A professional may hold other appointments at the Arizona International College concurrent with a professional appointment. Only the professional appointment(s) shall be subject to the Conditions of Professional Service -- Arizona International College (6-1202).
- The college shall determine policies for part-time professional employees.
- Duties and responsibilities
- Duties of a professional shall consist of those responsibilities assigned by the chief college administrator or an appropriate administrator. All duties and responsibilities shall be carried out under the direction of the chief college administrator. Duties and responsibilities shall be related to requirements of the position and the professional's expertise and competence. Assigned duties may include assisting with efforts to achieve college or unit goals related to affirmative action, including participation in student recruitment and retention programs directed at economically disadvantaged, minority, and underrepresented student populations.
- 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 reappointment, advancement/promotion, compensation, termination or a decision not to reappoint.
- Reappointment and promotion
- Decisions relating to reappointment and promotion shall be made in accordance with written college rules and procedures.
- Criteria for promotion shall include such considerations as position effectiveness, quality of professional contributions, scholarship (if appropriate) and the quality of service rendered to the profession, the college, and to the community as it relates to the mission of the college.
- Professionals have no expectation of continuing employment beyond the current appointment period and shall not be entitled to a hearing following or prior to a decision of non-reappointment except as otherwise provided in the section of these conditions concerning alleged discrimination or unconstitutional action. A professional who is non-reappointed is not entitled to a statement of reasons for the decision.
- The college shall provide a professional at least a ninety-day notice of non-appointment prior to the end of the current appointment period. Failure to provide a professional with a ninety-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's appointment period, the employee shall be entitled to continuation of salary for ninety days from the date of notification.
- Compensation and Benefits
- Compensation and employment-related benefits
- The chief college administrator shall approve individual salaries. Salary adjustments will depend upon available funding and are allocated by the chief college administrator within the limitation of available funds and consistent with the Board provisions for evaluation of professionals and salary increases.
- Employment-related benefits are made available to professionals as a matter of state law or Board policy and are subject to change by the legislature or the Board. The college shall maintain a compilation of such employment-related benefits and policies and shall make good faith efforts to inform the professionals of the provisions of such benefits and policies.
- Policies governing outside activities and supplementary compensation are administered by the college.
- Release From Employment During the Period of Appointment
- Dismissal or suspension
- Professionals shall not be dismissed or suspended without pay during an appointment period except for just cause. Such dismissal or suspension may take effect only following an opportunity to the professional to utilize the conciliation/mediation and hearing procedures as prescribed by these conditions.
(1) Just cause shall include, but not be limited to, unsatisfactory performance or dishonesty in professional activities related to position effectiveness, professional contributions, or service to the college; 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 or promotion at the college; or proven violation of Board or college 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.
(2) The inability to perform assigned duties due to physical or mental incapacity may be deemed just cause for dismissal or suspension without pay.
- Leave with pay
(1) A professional being considered for dismissal or suspension may be placed on leave with pay only if it is determined by the chief college administrator that the professional's continued presence on the college is likely to constitute a substantial interference with the orderly functioning of the college or a unit thereof.
(2) Except as provided below, the decision to place a professional on leave with pay:
(a) May be made only after the professional has been provided an opportunity to respond to the allegations; and
(b) Shall be promptly communicated in writing to the professional.
(3) In exceptional cases, when the chief college administrator 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 college may limit or deny the professional'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 the investigation to determine if there is just cause for dismissal or suspension without pay, except if that 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 these conditions.
(5) Placement on leave with pay status shall not be considered a disciplinary sanction.
(6) A professional who is placed on leave with pay shall continue to receive full salary and benefits during the term of the leave.
- Hearing procedure for dismissal or suspension
The purpose of the hearing is to safeguard and protect not only the individual rights of the members affected but also the integrity of the college. 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.
- The college shall provide a review procedure for a professional member who is recommended for suspension without pay or for dismissal. This procedure shall only apply to dismissal or suspension without pay recommendation and, the procedure is not to be applicable to:
(1) Decisions relating to promotions or leaves;
(2) Decisions relating to renewal at the end of an appointment period;
(3) Decisions relating to evaluation of professional; and
(4) Suspension or dismissal from a concurrently held nonprofessional position.
- The college review procedure shall include a conciliation/mediation process and a hearing procedure and/or an alternative resolution procedure.
- The college review procedure shall provide for but is not limited to the following:
(1) the establishment of a review committee and/or an alternative resolution procedure;
(2) a written process including time periods;
(3) maintenance of hearing records;
(4) in accordance with the state's open meeting law the hearing and committee deliberations shall be conducted in executive session closed to the public, except as the professional requires that proceedings be held in a public meeting;
(5) written findings and recommendations; and
(6) final review and decision by the chief college administrator without further administrative appeal.
- Administrative Complaint Procedures
- Procedure to review allegedly discriminatory or unconstitutional action (including violations of due process)
- The college shall provide a review procedure for a professional who receives an adverse decision concerning his/her range adjustment, non-renewal or promotion. A professional employee may file a written complaint alleging that the adverse decision was a discriminatory action, or was based on unconstitutional grounds (including violation of due process). The process shall provide for but is not limited to the following:
(1) The establishment of a review committee;
(2) A written hearing process;
(3) Maintenance of hearing records;
(4) The burden of proving discriminatory action or unconstitutional grounds shall be on the professional;
(5) The cost of an advisor (who shall not be entitled to participate in the hearing process) or the cost of a transcript of the hearing shall be the responsibility of each party;
(6) The determination shall be made by the chief college administrator. In cases of appeals to the president, the president's decision shall be final.
- Complaint procedure
- The college shall provide an administrative complaint procedure to resolve any work-related complaint by a professional.
- The college shall also provide a procedure by which a designated committee may be convened to hear a professional's complaint regarding an alleged violation of the Conditions of Professional Service -- Arizona International College (6-1202) or any other rules of the Board or college relating to professional, where disposition of the complaint is not covered under other sections of this policy. This committee may be established as part of the administrative complaint procedure for hearing complaints outlined in the previous sentence. The committee may be established to hear complaints if the complaints are not resolved by the administrative grievance procedure or by any applicable alternative resolution procedures provided by the college. The designated committee shall be appointed by the chief college administrator. The committee may decline to hear any case that in its judgment is insufficiently meritorious or falls outside its jurisdiction. The designated committee's recommendation shall be rendered to the chief college administrator and shall be advisory.
- Implementation
The chief college administrator shall establish such additional policies and procedures consistent with this policy as may be needed to carry out the Conditions of Professional Service -- Arizona International College (6-1202).
- Severability
If any section, paragraph, subdivision, clause, sentence or phase 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.
- Interpretation
These Conditions of Professional Service -- Arizona International College (6-1202) shall be governed and interpreted under the laws of Arizona.
webrev: 6/2009