UNIVERSITY HANDBOOK FOR APPOINTED PERSONNEL
THE UNIVERSITY OF ARIZONA
2000

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CHAPTER 3: FACULTY PERSONNEL POLICIES AND PROCEDURES

These policies and procedures are established pursuant to Section 6-201(P) of the Arizona Board of Regents Policy Manual (ABOR-PM). They are intended for use in conjunction with the ABOR Conditions of Faculty Service and supersede all previous faculty personnel policies and procedures.

3.01 DEFINITIONS

See Definitions.

3.02 SCOPE OF CHAPTER

Actions concerning personnel matters affecting faculty members shall be taken in accordance with this chapter and the ABOR-PM 6-201 et seq., Conditions of Faculty Service, as amended.

3.03 DUTIES AND RESPONSIBILITIES OF FACULTY MEMBERS

Duties of a faculty member shall consist of those responsibilities assigned by the President or an appropriate administrator, such as a vice president, dean, director or department head. Teaching assignments, schedules and other instructional responsibilities shall be performed under the direction of the President or the administrator. Duties and responsibilities shall be related to the expertise and competence of the faculty member.

Within the parameters of their assigned responsibilities, faculty members shall have the privileges and responsibilities expressed in ABOR-approved statement contained in the Notice of Appointment.

Teaching, research, and service performance shall be subject to evaluations by the President or an appropriate administrator. Performance shall be considered in decisions relating to compensation, retention, promotion, tenure, termination or a decision not to renew an appointment.

3.04 PROHIBITED CONSIDERATIONS: REVIEW OF DECISIONS INVOLVING PERSONNEL MATTERS

No action involving personnel matters shall be based on unlawful discrimination or other unconstitutional grounds. A faculty member who believes that an action involving a personnel matter is a result of unlawful discrimination or was based on other unconstitutional grounds should request of the Provost an Equal Opportunity Affirmative Action Office or other appropriate investigation. This shall result in a recommendation to the Provost that the matter be closed or that further action be taken to resolve the matter. The Provost may take any lawful action deemed appropriate to resolve the matter. The Provost's decision shall be final and is not subject to further administrative review.

If the Provost's decision is not acceptable, the faculty member may then invoke the procedures for a hearing before the Committee on Academic Freedom and Tenure as provided in ABOR-PM 6-201(M)(4).

3.05 NONAPPOINTED PERSONNEL

Students who are graduate teachers or research assistants are not faculty members. Actions with regard to such individuals are governed by rules and procedures established through the Office of the Dean of the Graduate College.

3.06 COMPUTATION OF TIME/PREVIOUS SERVICE

Statements of time periods in Section 3.10, Section 3.11, and Section 3.12 in all cases include sabbatical leaves but do not include leaves of absence without pay or parental delay unless specifically provided otherwise by the Provost.

Persons having previous faculty service at another educational institution as a tenure-eligible assistant or associate professor may count no more than two years of such service when being considered for tenure at The University of Arizona. Under special circumstances, prior tenure-eligible faculty service may be discounted. The amount of prior service to be counted shall be determined in writing and must be approved by the Provost at the time of appointment.

3.07 NOTICE

Wherever notice is called for herein, it shall be given in writing either by delivering the notice personally to the individual named, or by depositing the notice in the United States mail, first class, postage pre-paid, addressed to the individual named at his or her current address as reflected in the records of the Department of Human Resources.

3.08 APPOINTMENTS
Rev. 1/2000; 9/2002

Each member of the faculty is appointed subject to the duties and responsibilities detailed in the ABOR-PM 6-201, et seq. and this Handbook, and is entitled to all the rights and privileges set forth therein.

Appointments become effective when approved by the President. Appointment procedures are set forth in the Human Resources online site as follows:

All faculty members shall receive each year a Notice of Appointment for the fiscal year beginning July 1 or for the academic year beginning on or about August 15. Appointments and renewals of appointments shall be for the period designated in the Notice of Appointment, but in no event shall the appointment be longer than one fiscal year. No oral or written communication made prior to or after the execution of a Notice of Appointment that is inconsistent or in conflict with the Conditions of Faculty Service (ABOR-PM 6-201, as amended) shall become a part of the conditions of employment.

The appointment of any faculty member, the performance of whose duties and responsibilities require a license or certification from the State of Arizona, is conditional upon the individual's obtaining and maintaining the license or certification.

Appointments that are dependent for continuation upon funding from a source other than state appropriations shall so state in the Notice of Appointment and may terminate when the funding is no longer available.

A faculty member with tenure shall be so indicated on the Notice of Appointment by the designation "with tenure."

A faculty member without tenure shall be so indicated on the Notice of Appointment by the designation "tenure-eligible" or "nontenure-eligible."

3.09 CONFIDENTIALITY OF PEER REVIEW PROCESS

Deliberations, evaluations, and recommendations of peer review committees are confidential, as are any evaluations or recommendations received by them. However, a summary of the results of any peer evaluation shall be communicated to the individual evaluated upon request when the results of the performance evaluations are reviewed with the individual by his or her administrative head.

3.10 ANNUAL PERFORMANCE REVIEW
Rev. 7/97;4/2003

3.10.01 General
Faculty members of The University of Arizona are evaluated with respect to all personnel matters on the basis of excellence in performance. The annual performance review is intended to support faculty members in achieving excellence in the performance of their duties and responsibilities.

Annual performance reviews follow specific procedures outlined in Section 3.10. For tenure-eligible faculty, the mandatory successive renewal process, which occurs in the third and sixth (tenure) years, follows procedures outlined in Section 3.12.

Annual performance reviews are intended:

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

  2. To assess actual performance and accomplishments in the areas of teaching, research and professional service through the use of peer review;

  3. To promote the effectiveness of faculty members through an articulation of the types of contributions they might make that enhance the University;

  4. To provide a written record of faculty performance to support personnel decisions;

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

  6. To correct unsatisfactory ratings in one or more areas of responsibility through specific improvement plans designed to correct the deficiencies in a timely manner;

  7. For tenured faculty members, to fulfill the ABOR-PM 6-201(H), Post-tenure Review.
The assessment of performance shall include an evaluation by both a peer review committee of the unit and the immediate administrative head. The peer committee is to be elected unless decided otherwise by the faculty of the unit.

The evaluation of individual faculty performance shall be based on written criteria (Section 3.10.02) and shall address, at a minimum, a discussion of the faculty member's (1) past and present performance, (2) professional progress, and (3) future expectations, based upon a written agreement between the faculty member and the unit head, that fits within unit and campus mission and guidelines.

Each annual performance review shall include the past three to five calendar years of the individual faculty member's performance, with substantial emphasis on the most recent year for evaluation of teaching. The review time period shall be determined by the unit. The review should evaluate the faculty member's performance in his or her unit consistent with that unit's responsibilities. Every annual review of teaching will consist of peer and student input, including student evaluations of faculty classroom performance in all classes, and other expressions of teaching performance.

The unit head will meet with the faculty member no later than May 15, (See Section 3.10.05), to discuss the evaluation and expectations for the next annual review. Prior to this meeting the unit head will provide the faculty member with a preliminary written evaluation. If the faculty member so requests, the discussion at this meeting shall include a summary of the results of the evaluation conducted by the peer review committee, in accordance with Section 3.09. The faculty member may provide comments as part of the official record.

When an individual holds a dual appointment involving administrative assignments in addition to assignments as a faculty member, the performance evaluation shall address contributions under both assignments (See Section 5.08.01).

In order to audit the annual performance review process, the dean of each college and an elected faculty committee convened by the dean shall review a sufficient number of tenured cases each year to ensure that over a maximum of five years, every tenured file is reviewed. This Dean's Level Audit will determine the adequacy, fairness and integrity of the process. If deemed appropriate as a result of the audit, the dean may refer files back to the unit peer committee.

The Provost will provide an annual summary to ABOR of the review process outcomes and the Dean's Level Audit outcomes.

The number of satisfactory (or better) and unsatisfactory ratings of the annual review, by unit, shall be reported by the Provost to the Faculty Senate each year.

3.10.02 Criteria
Written evaluation criteria shall be developed by faculty of the unit, together with the unit head, to express the performance expectations for faculty members. The stated expectations will differentiate between satisfactory and unsatisfactory performance and must be in accordance with the mission and goals of the department, college or division, within the norms of the discipline, and must be approved by the college dean and the Provost.

Criteria for annual performance must consider teaching effectiveness, research and scholarly growth, creative activity, service and outreach. Evaluation criteria may provide for recognition of long-term faculty activities and outcomes. Concentration of effort in one of the three major areas of faculty responsibilities (teaching, research, and service) during a particular year is permissible, and may even be encouraged. Guidelines and evaluation procedures within departments shall be flexible enough to meet the particular objectives of the department without undermining the uniformity of the whole system. When teaching effectiveness is evaluated, a systematic assessment of both student and peer opinion shall constitute one component of the evaluation.

Annual performance reviews shall be taken into account as part of the promotion and tenure process, but such evaluations are not determinative on promotion and tenure issues. Satisfactory ratings in the annual performance reviews do not necessarily indicate successful progress toward promotion and tenure. Progress towards promotion and tenure requires scholarly accomplishment over a period of years in the broader range of faculty responsibilities, and includes evaluation by external referees, which is not a part of the annual review process. Criteria and decisions with regard to promotion and tenure are detailed under Section 3.11.

3.10.03 Procedures
The following procedures shall be employed in the annual performance review of faculty members:

  1. The first step is information gathering, including an opportunity for the faculty member to provide information to the immediate administrative head and peer review committee. In the area of teaching, student evaluation of faculty classroom performance in all classes is required.

  2. Peer evaluation, through procedures and criteria determined by the faculty and head, is required. The information gathered in the first step, and any other materials which may be deemed relevant, are utilized in the peer review. Results of the peer evaluation are transmitted directly to the immediate administrative head in accordance with Section 3.09.

  3. The immediate administrative head, working with the peer committee, evaluates the faculty member on the basis of information provided by the faculty member, peer evaluators, students, and such other information as is available. The unit head provides the faculty member with a preliminary written evaluation no later than April 15.

  4. The administrative head and faculty member meet no later than May 15 to discuss the head's written evaluation, and to agree upon goals, assignments, and expectations for the next annual review.

  5. The faculty member provides comments as desired, signs the document and returns it to the administrative head within 15 days of the meeting described in item 4 above.
3.10.04 Outcomes of Annual Performance Review
All faculty members who are found to be performing overall at satisfactory levels in the annual performance review will be eligible for salary increases and other rewards which may exist or be established at the unit, college, or university levels.

Tenured faculty members found to be performing at unsatisfactory levels in any area of responsibility are required to enter one of two processes, depending upon the extent of the deficiency. A tenured faculty member who is evaluated overall as satisfactory, but with a deficiency in any single area of performance, for example, teaching, will enter into a Faculty Development Plan at the unit level. Tenured faculty members with overall unsatisfactory performance will enter directly into the Performance Improvement Plan process.

A. Overall Satisfactory with a Deficiency in Teaching, Research, or Service

The Faculty Development Plan: For tenured faculty, the Faculty Development Plan addresses a single area of deficiency before it becomes sufficiently serious to impair the faculty member's overall performance.

  1. Corrective action can involve a plan to improve the deficiency and/or to redirect the faculty member's work responsibilities to areas of particular strengths.

  2. The plan, developed at the unit level in collaboration with the faculty member, may have a maximum of one year duration and should include appropriate interim monitoring and feedback

  3. Improvement to a satisfactory level in the deficiency area within one year will make the faculty member eligible for any rewards that become available during that year.

  4. If the head and the peer committee determine that satisfactory improvement in the deficient area has not occurred in one year within the terms of the plan, an overall unsatisfactory rating will be assigned and the Performance Improvement Plan process described below, which addresses cases of overall unsatisfactory ratings, will apply.

  5. The faculty member may appeal the finding that there has been unsatisfactory improvement in the Faculty Development Plan at the next highest administrative level.
B. Overall Unsatisfactory
The Enhanced Review: For tenured faculty, when the annual performance review identifies cases of overall unsatisfactory performance of stated expectations, an enhanced review of the faculty member's performance will occur unless the faculty chooses to proceed directly with a Performance Improvement Plan. The enhanced review will include the following:

  1. The faculty member may opt to have an enhanced review by
    • A committee of the unit appointed jointly by the head and by the chair of the unit peer review committee;
    • By the elected peer committee at the next higher level; or
    • By an elected peer committee at the university level.

  2. If deemed necessary by either the faculty member or the peer committee, evaluations from external reviewers expert in the faculty member's discipline will be sought and taken into consideration as part of the enhanced review. Expenses for such external review shall be borne by the University.

  3. The enhanced review is to take no longer than 100 days from the date of communication to the faculty member of the results of the annual performance review. The enhanced review may find that the faculty member's performance meets stated expectations and is satisfactory, or that it fails to meet stated expectations, precisely how it fails, and that the faculty member's overall performance is unsatisfactory. For a decision to be reached that performance is unsatisfactory, the burden of proof is on the institution to show that such a finding is warranted.

  4. Should the overall unsatisfactory finding be upheld by the enhanced review, a Performance Improvement Plan must be developed and approved by the dean within 45 days following the decision.
The Performance Improvement Plan: When the annual review of a tenured faculty member results in an overall unsatisfactory performance rating, upheld in the enhanced review process, or if a tenured faculty member fails to achieve a satisfactory outcome in a Faculty Development Plan, a Performance Improvement Plan will be developed. The objective of the plan will be to enable the faculty member to resume his or her place as a fully contributing member of the faculty. The faculty member must take responsibility for helping to develop and for following the Performance Improvement Plan.

  1. Within 45 days of the rating or outcome, the Performance Improvement Plan will be developed by the faculty member, the unit head, and the unit peer committee, with approval of the dean.

  2. The Performance Improvement Plan shall be implemented no later than the semester following the overall unsatisfactory evaluation.

  3. The plan must state reasonable expectations and may involve an altered mix of job responsibilities.

  4. The university will make reasonable efforts to provide appropriate resources to facilitate the plan's implementation and success.

  5. Depending upon facts and circumstances, the improvement plan might include the following:
    • A description of specific deficiencies
    • A list of reasonable outcomes needed to correct deficiencies
    • The process to be followed to achieve outcomes
    • The timeline for accomplishing the process, including annual or more frequent benchmarks
    • The criteria to be used in evaluating progress in the plan
    • The resources needed to facilitate the plan

  6. The faculty member's performance within the context of the improvement plan must be evaluated as early as possible and no later than one year after the plan is put into effect. This special evaluation will be carried out by the unit head and the elected peer review committee in place at the time of the evaluation, and approved by the dean.

  7. The improvement plan will stay in effect until performance returns to a satisfactory level according to stated expectations. Any plan that exceeds one year must be approved by the Provost. In no case shall an improvement plan take more than three years to lead to satisfactory performance.

  8. Rev. 1/2000
    Failure to demonstrate adequate progress relative to the benchmarks and performance goals of the Performance Improvement Plan shall lead to a recommendation for dismissal, according to ABOR-PM 6-201(J). Such action may occur in cases where one of the following circumstances exists:
    • The faculty member is unwilling to enter into a Performance Improvement Plan following an unsatisfactory judgment and the conclusion of any appeals provided for in Section 3.10.06.
    • The faculty member fails to make progress considered acceptable within the evaluation periods under the implementation of the Performance Improvement Plan;
    • The faculty member fails to achieve a satisfactory performance according to stated expectations within the duration of the Performance Improvement Plan.
3.10.05 Frequency of Reviews
Each faculty member's performance shall be evaluated in writing on a scheduled basis at least once every 12 months. Each annual review shall include the past three to five calendar years of the individual faculty member's performance, with substantial emphasis on the current year for evaluation of teaching. The review time period shall be determined by the unit. The unit head's written evaluation shall be shared with the faculty member involved no later than April 15. The faculty member may add written comments to the evaluation before signing it. The signed evaluation shall become a part of the faculty member's departmental records.

3.10.06 Appeals

A. Appeals of Overall Satisfactory Ratings

Faculty members who disagree with their evaluations may request that they be reviewed at the next administrative level, which ordinarily will be that of the dean of the appropriate college. Such requests for review must be made in writing to the administrative head of the next level within 30 days of receipt of the written evaluation and must state:
  • The points of disagreement;
  • Specific findings to be reviewed;
  • Facts in support of the request; and
  • Corrective action sought.

The administrator conducting the review shall consider the facts in support of the request and develop any additional facts deemed necessary. The review shall be completed in writing within 30 days of receipt of the request, with copies provided to the faculty member and the unit or other administrative head involved in the initial evaluation.

B. Appeals of Overall Unsatisfactory Ratings
For non-tenured faculty, appeals of overall unsatisfactory ratings will follow the procedure outlined in 3.10.06(A). For tenured faculty, appeals of overall unsatisfactory ratings will follow the procedure outlined in 3.10.04(B).

C. Appeal of Performance Improvement Plan
If no agreement on the terms of the Performance Improvement Plan occurs, the faculty member has a maximum of 15 days to request the peer committee at the next higher administrative level to make a determination on the improvement plan, with approval of the dean. The committee has 45 days to render its determination as to an appropriate improvement plan.

3.11 PROMOTION AND TENURE

3.11.01 Standing Committees
Provided there are sufficient faculty members in a department to warrant such a committee, each college and department shall have a standing committee on faculty status to advise the dean and department head before recommendations are forwarded to higher administrative levels concerning all faculty personnel matters. Each committee shall be composed of at least three tenured members of the faculty.

In promotion or tenure matters the committees shall be so constituted that recommendations shall be made only by faculty members holding rank superior to the rank of the candidate being considered, except in the case of full professors where the committee members shall each be a full professor. Normally standing committees shall meet without the administrator whom they advise.

The Provost will appoint a University Standing Committee on Faculty Status composed of at least nine members, including female and minority members, representing diverse disciplinary areas. The committee shall advise the Provost in all promotion and tenure considerations. The committee shall carefully and systematically review, in accordance with University-level criteria, all pertinent materials provided by departments and colleges, and shall ensure that high standards of accomplishment and professional performance are maintained.

3.11.02 Criteria
Promotion and tenure require excellent performance and the promise of continued excellence in teaching, research and service. Within these general guidelines, promotion and tenure criteria are to be developed by the faculty members and department head in each department and approved by and filed with the dean and Provost. Members of standing committees at all levels are expected to familiarize themselves with all promotion and tenure criteria applicable to the individual candidates they are to consider. Promotion and tenure criteria shall be reviewed by each department annually, and current copies shall be maintained in the offices of the department head, college dean, Provost and the Faculty Center.

Department heads and departmental standing advisory committees should meet with tenure-eligible faculty members at least once a year to review promotion and tenure criteria and to answer questions. Tenure-eligible faculty members are expected to familiarize themselves with the promotion and tenure criteria applicable to their departments. Tenure-eligible faculty members experiencing or anticipating difficulties in meeting departmental tenure criteria should discuss the matter with their department head and departmental standing advisory committee at the earliest date possible.

3.11.03 Attainment of Tenure
Attainment of tenure can only occur through specific notification by the President and may not result from inaction or inadvertence.

3.11.04 Assurance of Appointment
An individual who holds a tenured appointment is assured that the President shall offer an appointment to that individual for each succeeding fiscal or academic year until retirement, resignation, dismissal for just cause, or termination for budgetary reasons or for educational policy change.

3.11.05 Legal Effect of Tenure
It is within neither the President's nor the ABOR's power to commit the State of Arizona to an obligation for which an appropriation has not been made. The use of the term "with tenure" neither constitutes nor implies a legal obligation which the President or ABOR is not empowered to undertake. In practice, renewals of appointments of tenured faculty members have been approved and funds have been allocated annually for these appointments.

3.11.06 Effect of Retirement, Resignation and Part-time Employment on Tenure
Tenured faculty members who retire or resign from the University relinquish their tenured status. Persons already granted tenure do not forfeit their tenured status by reason of changing to part-time employment, but tenure-eligible status will be forfeited by a change to part-time employment. Changes to part-time status are permissible only where approved by the department head, and Provost.

3.11.07 Effect of Service in Administrative Positions on Tenure and Other Rights
Members of the faculty serving in an administrative position shall not lose academic rank or tenure status but will have no expectation of continued employment in administrative service. When a tenure-eligible candidate receives an administrative appointment, there shall be a clear written understanding concerning the individual's faculty status, including when the faculty appointment is to be renewed or terminated. Any change in rank or tenure status during the administrative appointment is subject to the normal review procedures outlined elsewhere in this chapter. Appointments to administrative positions are not contracts and such service is at the pleasure of the President. (See ABOR-PM 6-101 et seq., Conditions of Administrative Service, and Chapter 5 of this Handbook.)

A member of the faculty who is terminated or released from an administrative position is not entitled to a hearing before the "Comittee on Academic Freedom and Tenure" or any other faculty committee.

3.12 RULES AND PROCEDURES REGARDING SUCCESSIVE RENEWAL, NONRENEWAL, PROMOTION, AND TENURE OF TENURE-ELIGIBLE AND TENURED FACULTY MEMBERS.

This section applies only to tenured and tenure-eligible faculty members as defined in Definitions.

3.12.01 Limitation on Tenure-eligible Service
Rev. 5/1/98; 4/2003
A tenure-eligible appointment is for one year and, except for leave of absence without pay or parental delay, shall not be renewed as a tenure-eligible appointment more than six successive times, i.e., for a maximum of seven (or eight, in the case of a parental delay) academic or fiscal years of service, regardless of faculty rank or ranks held during the years of tenure-eligible service.

While holding a tenure-eligible appointment at The University of Arizona, an individual may request a one-year "parental delay" of the tenure clock such that the third-year and tenure-status reviews will take place one year later than would have occurred without such a delay. Such a delay or connected set of delays will be granted up to twice during the individual's tenure-eligible appointment period, if the appointee becomes a parent by the birth or adoption of a child while holding such a tenure-eligible appointment, and if certain eligibility requirements are met, as described in the paragraph which follows. An individual granted a parental delay shall not be subject to additional scholarship or service requirements, above and beyond those normally required, in order to qualify for retention or tenure. If both spouses hold tenure-eligible appointments at the University, and are otherwise eligible, then both shall be granted a parental delay upon request.

Eligibility requirements for receiving a parental delay include providing a written notice to the department head as early as possible and in no case later than one year subsequent to the date of birth or adoption of the new child. In order to be eligible for a delay of the third-year or tenure-status review, the birth or adoption date must have occurred no later than the summer (or semester) immediately prior to the semester in which the scheduled department-level review is to take place. The request for a delay of a given review must be submitted prior to departmental consideration of the candidate under review. The request for parental delay must be approved by the appropriate department head or director, dean, and the Provost.

3.12.02 Lecturers
Appointments as "lecturer" or "senior lecturer" are nontenured, nontenure-eligible appointments governed by Subsection 3.13.01. However, individuals holding appointments as "lecturer" with tenure on June 30, 1987, have the assurance of continued tenure under the terms of Subsection 3.11.04.

3.12.03 Instructors
The instructor rank is not tenurable but service as a tenure-eligible instructor at the University of Arizona is counted in computing accrued service towards tenure at other ranks. A person is not eligible for appointment as a tenure-eligible instructor before receiving a terminal degree in the field in which the appointment will be held. Instructors who are candidates for terminal degrees in the fields of their appointments are governed by Subsection 3.13.02.

Instructors are appointed initially for a period of one year. Such appointments are temporary. No instructor may be reappointed more than three times, (i.e., may hold the rank of instructor for more than four academic years, whether successive or not).

An instructor may be recommended for promotion, for nonrenewal, or for other change in status during the first, second, or third year of service in rank. However, the department head shall inform the instructor in writing no later than the end of the third year that he or she is being recommended for: (a) promotion to assistant professor; or (b) reappointment as instructor for a fourth year and that the appointment is terminal.

3.12.04 Assistant Professors
Rev. 4/2003

An initial appointment as an assistant professor is for a period of one academic year. The appointment may be renewed at that rank no more than six times, i.e., no faculty member may hold the title of assistant professor for more than seven academic years. The rank of Assistant Professor is not tenurable. Assistant professors without prior service are permitted six years to tenure unless the Provost approves of a shorter period and the candidate agrees in writing at the time of appointment.

A person promoted to assistant professor from the rank of instructor may not be reappointed in a tenure-eligible position more than six successive times including any appointments as a tenure-eligible instructor.

An assistant professor may be recommended for promotion, for nonrenewal or for other change in status at any time through the sixth year of tenure-eligible service.

Exceptions to the time table for tenure and retention review are described in Section 3.06.

Before the end of the third year in rank assistant professors shall be informed in writing by their department head that they are being recommended for: (a) reappointment for a fourth, fifth and sixth year as assistant professor (this does not necessarily preclude consideration for promotion effective the sixth year, nor does it preclude possible nonretention at the end of the sixth year); (b) promotion for the fourth year; or (c) nonrenewal at the expiration of the fourth year of service in rank. During a third-year review, departments may seek additional assessments from outside the department and the University regarding a candidate's professional accomplishments, stature as viewed by peers, and scholarly potential.

Reappointment in rank at the end of three years may be made without college or University review, but assistant professors must be formally evaluated at this stage by the department head and departmental standing committee on faculty status. This evaluation shall be expressed in writing, identifying any problem areas which may preclude the granting of tenure, and given to the nontenured faculty member. Decisions not to reappoint, however, must follow from the full review process described in Subsection 3.12.07. The college may require college review of all retention cases.

Before the end of the sixth year in rank, assistant professors shall be informed in writing by the department head and dean that they are being recommended for: (a) promotion to the rank of associate professor with tenure; or (b) appointment as assistant professor for a seventh and terminal year. See Section 3.15. A faculty member/academic professional cannot waive the right to tenure or renewal review. There must be a review, even in the absence of a Promotion and Tenure packet, unless the faculty member/academic professional submits a letter of resignation in which he/she (a) waives his/her right to a review and (b) resigns as of the end of what would be the terminal year.

3.12.05 Associate Professors

An individual whose initial appointment at The University of Arizona is tenure-eligible at the rank of associate professor but who has not served at another educational institution in the rank of assistant or associate professor shall be governed by the same time schedule for notification of renewal, nonrenewal, promotion and tenure decisions as is given in Subsection 3.12.04 for assistant professors. A decision on tenure or nonrenewal in faculty rank must be made before the end of the sixth year in rank. Exceptions to this policy are described in Section3.06. Promotion is not required as a condition of continued employment.

An individual who has had prior service at another educational institution, which is to be counted under Section 3.06, at the rank of assistant or associate professor and whose initial appointment at The University of Arizona is tenure-eligible at the rank of associate professor may be recommended for promotion, tenure, or nonrenewal at any time during the second through fourth year of service at The University of Arizona. Before the end of the fourth year of appointment in the rank of associate professor at The University of Arizona, the faculty member shall be informed in writing by the department head that he or she is being recommended for: (a) tenure effective the fifth year; or (b) appointment as an associate professor for a fifth and terminal year. Although a decision on tenure or nonrenewal in faculty rank must be made no later than the fourth year, promotion is not required as a condition of continued employment.

A faculty member/academic professional cannot waive the right to tenure or renewal review. There must be a review, even in the absence of a Promotion and Tenure packet, unless the faculty member/academic professional submits a letter of resignation. A letter may be submitted in which he/she (a) waives the right to review and (b) resigns as of the end of what would be the terminal year.

Exceptions to the time table for tenure and retention review are described in Section 3.06.

An associate professor with tenure may be recommended for promotion to the rank of professor at any time. If not earlier recommended, before the end of the fifth year of service in the rank of associate professor at The University of Arizona the faculty member shall be notified by the department head in writing that he or she has the right to be reviewed during the sixth year for promotion and recommended for: (a) promotion to the rank of professor effective the seventh year or (b) reappointment as an associate professor for the seventh and subsequent years. A review will be conducted unless the faculty member declines in writing. If promotion to the rank of professor is not recommended or granted, the department head shall ask that the departmental standing committee on faculty status review the case for promotion at six-year intervals unless the candidate requests a review prior thereto or writes to again decline a review.

3.12.06 Professors

An individual whose initial appointment at The University of Arizona is tenure-eligible at the rank of professor may be recommended for tenure or for nonrenewal at any time during the first through third year of service in this rank. Normally such a person will not be granted tenure effective the first year, but may be granted tenure effective the second year. If tenure is not granted effective the first, second, or third year, the faculty member shall be informed in writing before the end of the third year that he or she is being recommended for: (a) tenure effective the fourth year; (b) an appointment as a professor without tenure for a fourth and terminal year; or, in the case only of individuals who are 60 years of age or more at the time of review and who agree to this third option, (c) appointment renewable on a year-to-year basis by mutual agreement with total service in rank not to exceed seven years. Cases under the third option shall also be referred to the standing advisory committees on promotion and tenure following the procedures described in Subsection 3.11.01, Subsection 3.12.04 and Subsection 3.12.07.

Exceptions to the time table for tenure and retention review are described in Section 3.06.

3.12.07 Decisions on Nonrenewal, Promotion and Tenure
Decisions regarding nonrenewal, promotion and tenure of tenure-eligible faculty members and promotion of tenured faculty members shall involve the following levels of review in a multiple-department college:

  1. Departmental Standing Advisory Committee on Faculty Status (where the department contains sufficient personnel to warrant such a committee)

  2. Department Head

  3. College Standing Advisory Committee on Faculty Status

  4. Dean of College

  5. University Standing Advisory Committee on Faculty Status

  6. Provost

In a single department college, only levels 3 through 6 are required. The dean's designate shall act as the department head in cases in which a department temporarily has no head.

The Provost shall decide whether an individual will not be renewed, or will be promoted or granted tenure. In the case of nonrenewal of a tenure-eligible individual, a terminal contract shall be offered for the next appointment period.

3.12.08 Appeals to the President
In cases where the Provost has decided not to renew or has denied promotion or tenure to a tenure-eligible faculty member or promotion to a tenured faculty member, the faculty member may appeal the nonrenewal or denial to the President. Such appeals must be filed in writing with the Office of the President within 30 days after notice of the Provost's decision. The President's review shall be limited to the record compiled under Section 3.12.07.

Before reaching a decision the President may seek or may ask the departmental standing committee on faculty status to seek additional assessment from outside the department and/or the University regarding the candidate's professional accomplishments, stature as viewed by peers, and scholarly potential. However requested, these assessments are to be commented on successively by all levels of review previously involved, and then forwarded for the President's consideration. Outside assessments shall be solicited with the promise of confidentiality. In selecting peers to provide such assessments, the spirit of the guidelines and procedures used by the candidate's home department are to be followed.

The President's decision shall be issued in writing and forwarded to the faculty member involved, with copies to the Provost and the appropriate dean and department head, within 90 days of notice of appeal. The President's decision is final. However, the Committee on Academic Freedom and Tenure may subsequently consider allegations of unlawful discrimination or other unconstitutional actions and may recommend further review or action. The President may then direct that such additional review or action be taken; otherwise, the matter is not subject to further review.

3.12.09 Changes in Appointment and Rehires
Tenure-eligible faculty members may apply and be considered for other available appointed positions in the University during their first five years of tenure-eligible service at the University. Thereafter they shall not be considered for a change to a different faculty appointment, either tenure-eligible or nontenure-eligible, except to that of nontenure-eligible lecturer in the same discipline. An individual is allowed, during the sixth year, prior to denial of tenure, to switch to academic professional position if hired on the basis of a competitive search.

Individuals who were denied tenure or whose appointment was not renewed for other than reorganization or budgetary reasons shall not be considered for other available appointed positions at the University, except as a result of an appeal to the President.

Individuals whose faculty service was terminated for cause shall not be considered for employment in any position at the University.

Individuals who resign from faculty positions to take up employment elsewhere may subsequently be considered for appointments at the University.

3.13 RULES AND PROCEDURES REGARDING SUCCESSIVE RENEWAL, NONRENEWAL AND PROMOTION OF NONTENURE-ELIGIBLE FACULTY MEMBERS

This section applies only to nontenure-eligible faculty members as described in Definitions.

3.13.01 Lecturers
There are two types of nontenure-eligible lecturer appointments, both of which can be modified by such terms as "adjunct" or "visiting":

  • Lecturers, appointed for one year or less
  • Lecturers appointed for more than one year, not to exceed three years, in which case the titles "Lecturer" or "Senior Lecturer" may be used. These appointments may be renewed indefinitely, for up to three years each time, except that all reappointments for longer than one year require approval of the Provost.

Promotion from Lecturer to Senior Lecturer may occur only after peer evaluation at the department and college levels.

Renewal of all types of Lecturer appointment are subject to performance evaluations reflecting satisfactory levels of teaching, research and service, as appropriate.

3.13.02 Instructors
Nontenure-eligible instructors are appointed for a period of one year or less. An indefinite number of annual renewals is possible. An individual holding such a title may be promoted to nontenure-eligible assistant professor within three years of initial appointment provided their annual evaluations under Section 3.10 meet the criteria in Subsection 3.13.03. Nontenure-eligible instructors who complete a terminal degree in their field of employment may be considered for appointment as tenure-eligible instructors as provided in Subsection 3.12.03.

3.13.03 Assistant Professors
Appointment or promotion to nontenure-eligible assistant professor will be recommended largely on evidence of promise, adequate training, depth of knowledge in a particular specialty, and capacity to undertake high quality teaching, research, or service. A nontenure-eligible assistant professor is appointed initially for a one-year period. This appointment may be renewed an indefinite number of times subject to satisfactory annual performance evaluations. Promotion to nontenure-eligible associate professorship is possible after a minimum of three years of service in rank.

Nontenure-eligible assistant professors must be informed by the department head every five years that they are being reviewed for retention in rank or for promotion to nontenure-eligible associate professor. Such recommendations shall be considered by the standing departmental and college committees on faculty status, and be forwarded to the Provost.

3.13.04 Associate Professors
Appointment or promotion to the level of nontenure-eligible associate professor will require evidence of an established and productive career in addition to the qualifications required of a nontenure-eligible assistant professor. Such an individual should be known at the state and national level for his or her particular expertise. Such a person should contribute to the departmental program in a significant fashion. Annual reappointments may be made an indefinite number of times, subject to satisfactory performance evaluations.

A nontenure-eligible associate professor may be recommended for promotion to the rank of nontenure-eligible professor at any time but normally shall be reviewed for retention in rank every six years. During the fifth year, the faculty member must be informed by the department head that he or she has the right to be reviewed for retention in rank or for promotion to nontenure-eligible professor. A review will be conducted unless the faculty member declines in writing. Recommendations resulting from these reviews must be considered by the standing departmental and college committees on faculty status, as well as the department head and dean, and forwarded to the Provost's office for decision.

3.13.05 Professors
Appointment or promotion to the level of nontenure-eligible professor will require unique qualifications regarding expertise and experience in addition to those possessed by nontenure-eligible associate professors. Such an individual must have achieved national recognition through peer organizations and should bring distinction to the departmental program. Nontenure-eligible professors may be reappointed annually provided they continue to meet the criteria for the rank and perform satisfactorily as determined by annual performance evaluations.

3.13.06 Decisions on Renewals
Decisions not to renew a nontenure-eligible faculty member shall be made by the department head or, in a single-department college, by the dean. The decision may be appealed by filing a written request with the dean or Provost, as appropriate, within 15 days of receiving the decision. The subsequent decision by the dean or Provost shall be final in all cases and not subject to further administrative review.

3.13.07 Notification of Nonrenewal
In the case of nonrenewal of a nontenure-eligible faculty member, notice must be given to the faculty member at least 90 days prior to his or her renewal date.

3.13.08 Appointments Funded by Nonstate Funds
Nontenure-eligible faculty whose appointments are funded wholly by nonstate funds, i.e., funds from a source other than state appropriations, may not be renewed if the nonstate funds are no longer available. If a nontenure-eligible faculty member's appointment is partially funded by nonstate funds and those nonstate funds become unavailable, the faculty member's salary is subject to adjustment accordingly.

3.13.09 Changes in Appointment and Rehires
Nontenure-eligible faculty members may apply for other available positions at the University. Similarly, former such faculty members who resigned to take up positions elsewhere and former such faculty members who were not reappointed for budgetary reasons, or as a result of reorganization, also may apply for other available positions at the University.

Individuals whose faculty service was terminated for cause shall not be considered for employment in any position at the University.

3.14 RESIGNATIONS

Faculty members who intend to resign at the expiration of their appointments shall notify the department head in writing of their intention as early as possible.

3.15 NOTICE OF RECOMMENDATION

At the time a recommendation regarding renewal, nonrenewal, promotion or tenure is transmitted by the department head or dean to the next administrative level, the faculty member involved should be advised in writing of the nature of the recommendation. The faculty member is not entitled to a statement of the reasons for the recommendation.

3.16 REASONS FOR NONRENEWAL OR DENIAL OF PROMOTION OR TENURE

A nontenured faculty member whose appointment is not renewed or who is denied promotion or tenure is not entitled to a statement of the reasons for that action. However, the denial of promotion or tenure or the refusal to renew need not be construed as due to failure or poor performance on the candidate's part. Considerations such as the need for a different area of specialization or for new emphases; the lack of a continuing position; the need to shift a position or resources to another department or unit; or the opportunity for a more vigorous program in teaching, research or service may dictate that the individual not be renewed or granted tenure.

3.17 DISMISSAL OR SUSPENSION
Rev. 1/2000

Dismissal or suspension shall not occur until the faculty member has been given an opportunity for any applicable hearing as prescribed in ABOR-PM 6-201. Dismissal refers to termination for just cause of (1) a tenured faculty member or (2) a tenure-eligible or nontenure-eligible faculty member prior to the expiration of an appointment.

The dismissal of tenured faculty members shall be governed by the provisions of ABOR-PM 6-201(J)(1) and ABOR-PM 6-201(L)(3).

The dismissal of nontenured faculty members shall be governed by the provisions of ABOR-PM 6-201(J)(2) and ABOR-PM 6-201(L)(3).

3.18 RELEASE DUE TO REORGANIZATION OR FINANCIAL EMERGENCY
Rev. 1/2000

3.18.01 General
Any determination that reorganization or financial emergency requires the release of a tenured faculty member or the release of a tenure-eligible or nontenure-eligible faculty member prior to the end of an appointment term shall be made in accordance with the provisions of the ABOR-PM 6-201(K).

3.18.02 Reorganization
In cases involving reorganization the review committee called for by ABOR-PM 6-201(K)(3)(a) shall consist of faculty members nominated by the Committee on Committees and selected by the Faculty Senate and students nominated by the Associated Students of the University of Arizona and selected by the President. The review committee shall present its findings to the Faculty Senate. The Senate's recommendations, together with the review committee's report, shall be forwarded to the President. Within 30 days of a decision to terminate a program element, an affected faculty member may appeal the decision to an appeal committee of faculty and administrators appointed by the President. The appeal committee will make a recommendation to the President within 30 days of the filing of the appeal. The President shall make the final decision.

The appointment of a tenured faculty member may not be terminated before the end of the academic year following the one in which the decision to eliminate that position becomes final.

The University shall devote its best efforts to securing alternative appointments within the University in positions for which the affected faculty member is qualified under existing criteria. The University shall devote its best efforts to insure that such faculty members are made aware of openings at other Arizona universities and opportunities for retraining for further professional growth.

In the event that the program element which has been terminated should be reinstituted within a period of three years, new positions consisting of duties reasonably comparable to those of the released tenured faculty member shall not be filled without first offering reappointment to the released tenured faculty member. The released tenured faculty member must be given a reasonable time not to exceed 30 days within which to accept or decline reappointment.

A tenured faculty member who is to be released, or a nontenured faculty member who is to be released during an appointment term, shall be entitled to a review as provided in ABOR-PM 6-201(K)(6) upon written request filed with the President of the University within 15 days of receipt of notice of such release.

3.18.03 Financial Emergencies
Rev. 1/2000
In cases involving financial emergency, the President shall ask the Faculty Senate to designate a review committee composed of faculty and students to review the proposed plan for reorganization, as called for by ABOR-PM 6-201(K)(3). The committee's review shall include a public forum to provide an opportunity for all members of the University community to present their views on the impact of the proposed reorganization.

Each faculty member whose position may be affected by the proposed reorganization shall be notified in writing of the proposed action and shall be given an early opportunity to present his or her views in person to the review committee and to the responsible administrator.

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

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

The President shall present his or her recommendation relating to the proposed reorganization to ABOR for approval. If ABOR approves the reorganization, each faculty member whose position is to be eliminated shall receive written notice when the decision to eliminate his or her position is final.

A tenured faculty member who is released, or a nontenured faculty member who is released within an appointment period, shall be entitled to a review of this decision in accordance with the procedures provided in ABOR-PM 6-201(K)(6).

3.19 REGENTS' PROFESSORS

The title of Regents' Professor may be awarded to current or newly recruited tenured professors of exceptional achievement that has brought them national or international distinction. The title serves as recognition of the highest merit.

After appropriate recommendation and review at the department and college level, an appointment will be made by the President, subject to approval by the ABOR. Criteria for the appointment include the highest level of sustained accomplishment in teaching; in research, scholarship or creative work; or in public service; and demonstrated national or international recognition among leaders in the field.

The appointment carries a salary increment and a special annual allocation of funds for research or other professional activities.

3.20 ENDOWED PROFESSORSHIPS
Rev. 1/2000

The endowed professorship is a recognition bestowed on exceptionally distinguished and valued faculty members. Endowments may be established in coordination with the University of Arizona Development Office and following procedures outlined in the University gift policy as follows:

3.21 NAMED PROFESSORSHIPS

This option can be offered to honor individuals with exceptional achievement, exceptional reputation, and/or exceptional service to the institution. The named professorship, in addition to Regents Professors and Endowed chairs, is a recognition bestowed on exceptionally distinguished and valued faculty at the University. This section outlines the criteria and process that will govern the selection of individuals.

3.21.01 Selection Criteria Based on Scholarship, Teaching, Service
Achievement in scholarship is evidenced by a record of original, substantive, and influential research; either theoretical or empirical. Appropriate measures include, but are not limited to, the quality and quantity of publications, invitations to participate in significant national and international activities, frequency of citations in the scholarly literature, demonstrable impact upon the way in which discipline views its subject matter, peer-selected awards and prizes, active membership in national and international organizations, externally funded peer-reviewed research awards, quality and number of graduate students and support of prominent scholars in the field.

Achievement in teaching is evidenced by a record of substantial, superior, and consistent recognition for excellence. Appropriate measures include, but are not limited to, student evaluations, peer evaluations, teaching awards, honors and the degree to which teaching materials (e.g. cases, textbooks) developed by the individual are adopted by other institutions. Recommendations may be solicited from external sources, colleagues in the college or University, and students who have taken the professor's courses, particularly from students who have graduated and can evaluate their education from the viewpoint of its later contribution to their careers and their lives.

Achievement in service to the department, college, university or professional organizations is evidenced by a record of sustained involvement and recognized contributions. Appropriate measures include, but are not limited to, membership on and chairing of committees, temporary or continued assumption of administrative duties, major participation in decision making bodies, service as a journal editor or on editorial boards. Service to the community is measured by a record of service on community boards, public service lectures and similar activities.

3.21.02 Process

Appointments: Appointments to named professorships will be made by the dean of the college, who will receive recommendations from a committee formed to evaluate the candidates.

Evaluation Committee: An evaluation committee selected by the Dean will review candidates for named professorships and will recommend appointments. The Committee Chair will distribute relevant documentation to the members, convene the committee, conduct its meetings, and report its recommendations.

Procedure: To be considered, candidates will be nominated by two faculty colleagues. The Dean's office will compile documentation as outlined below. Prior to the meeting, committee members will receive and review a candidate. During the meeting, members will discuss their views and decide by majority vote whether the nominee merits appointment to a named professorship. The Chair will report the committee's conclusions to the Dean.

Documentation: A brief portfolio will be prepared for each candidate, beginning with nominating letters from two faculty colleagues and a current vita. Second, the documentation will include a summary statement prepared by the nominators with the assistance of the candidate. This summary, no longer than two pages, should address the professor's principal scholarly, teaching, and service achievements as well as the impact of these achievements on the college, the University, and the professor's discipline.

3.22 EMERITUS STATUS
Rev. 1/2000

With the approval of the President, faculty who retire from the University of Arizona after serving fifteen years or more are given the title of emeritus. This status also may be granted to other faculty by recommendation of their department and endorsement of the President.

Emeritus faculty shall be entitled to library and information system access, and access to parking privileges, as well as all other benefits which may be granted by the University to retirees.

Departments shall endeavor to meet reasonable scholarly and academic needs of emeritus faculty in a manner consistent with continuing contributions to the mission of the department and university, within limits governed by the availability of resources, and balanced against other needs and priorities. Each department should negotiate specific agreements for each individual case, for a specific period of time, and document these agreements in writing.

3.23 VOLUNTARY RELEASE OF RIGHT TO CONTINUED EMPLOYMENT
Ref: ABOR-PM 6-213

3.23.01 Authority
The President of The University of Arizona or a designee may offer a tenured faculty member severance pay in exchange for the release of any right to continued employment. The University is not obligated to make such offers and there is no faculty entitlement to such an offer. Any such offer is to be negotiated between the faculty member and the President or a designee on a case-by-case basis. The conditions under which such an offer may be made areas follows:

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

  2. The offer benefits both the University and the faculty member.

  3. The offer is in the best educational interest of the University and the State.

3.23.02 ABOR Approval
The offer must be approved by ABOR. In requesting ABOR approval, the President shall specify:

  1. The amount of the severance pay;

  2. The method of payment;

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

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

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

3.23.03 Acceptance

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

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

3.23.04 Payment Requirements

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

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

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


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