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ARTICLE B. FACULTY
6-201 Conditions of Faculty Service
A. Preamble
The Arizona Board of Regents is entrusted by the people of the State of Arizona
with the responsibility for developing and maintaining a system of higher
education that provides an opportunity for education to all persons, explores and
expands the frontiers of knowledge, and serves to improve the quality of life for
the people of the state. In pursuit of these responsibilities, the Board is
committed to the development and maintenance of an outstanding university
system characterized by sound academic programs, distinguished faculty,
institutional diversity, fully equipped facilities, and an open and stimulating
environment for learning, teaching, research and service to the public.
It is the policy of the Board to provide access to the university system to all
qualified persons in Arizona, to provide equal employment opportunities and due
process for its employees, to promote freedom of inquiry, search and exposition
of truth and to involve the faculty in the formulation of educational policy and the
governance of the universities.
The Board recognizes that Arizona universities have long adhered to the
honorable tradition of academic freedom in teaching, research and service and
reaffirms that the process of faculty participation and consultation in matters of
academic policy is a valuable tradition that must be preserved. The faculties of
the respective universities have a correlative duty to share in the responsibilities
and obligations of governance and administration.
To these ends, the Board of Regents establishes these Conditions of Faculty
Service (6-201) for the Arizona universities.
B. Purpose
1. These Conditions of Faculty Service (6-201) constitute the conditions of
employment as a faculty member. Every Notice of Appointment shall
incorporate these conditions by reference and shall provide that
acceptance of the appointment is recognition that these conditions govern
the employment relationship.
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2. The Board of Regents is charged by law to exercise control and
supervision of each university. Any authority delegated by the Board shall
always be subject to the ultimate authority of the Board. The Board shall
retain the right of periodic review and modification of all aspects of
governance of the universities, and the right to enact such rules,
regulations, policies and orders as it deems proper, subject to the rule
making procedures set forth in the Board Policy Manual.
3. The Board and the universities may adopt additional rules to govern the
employment relationship. Such rules may be modified in accordance with
rule making procedures, where applicable, established by the Board
and/or the individual universities, which include opportunities for
appropriate involvement by representatives of each university's Faculty
Senate.
C. Definitions
in this section, unless the context otherwise requires:
1. "Academic Year" means the period commencing and ending with each
university's academic calendar.
2. "Appointment" means employment for a period as specified in a Notice of
Appointment. The term refers to both the initial appointments and all
subsequent appointments, reappointments or renewals of appointments.
3. "Board" means the Arizona Board of Regents.
4. "Clinical Professor" means a non-tenured, non-tenure eligible faculty
member who has established himself or herself by professional
experience and expertise over a sustained period of time to be qualified to
teach or manage practicum, internship, or practice components of degree
programs but who may not have substantial academic experience. The
primary responsibilities of this position are teaching or managing students
in the practice requirements of their degree programs in a manner that
advances the educational mission of the university in a significant or
substantial way.
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5. "Committee on Academic Freedom and Tenure (CAFT)" means a
committee selected by the faculty under procedures determined by each
university. Responsibilities of the committee include, but are not limited
to, the conduct of hearings in accordance with ABOR Policy 6-201L. and
M. (Conditions of Faculty Service, Hearing Procedures for Faculty and
Procedure to Review Allegedly Discriminatory or Unconstitutional Action
(Including Violations of Due Process or Academic Freedom)).
6. "Day" means calendar day, except that where the last day of any specific
time period falls on a Saturday, a Sunday or a university-recognized
holiday, then the time period shall run until 5:00 M., of the next day
which is not a Saturday, a Sunday or a university-recognized holiday.
7. "Discriminatory Action" means an employment action that constitutes
discrimination on the basis of gender, race, color, national origin, religion,
age, veteran status, sexual orientation or qualified handicapped status, or
any other discrimination prohibited by State or Federal law.
8. "Faculty" means all faculty members at a university.
9. "Faculty member" means an employee of the Board whose Notice of
Appointment is as lecturer, senior lecturer, principal lecturer, instructor,
assistant professor, associate professor, professor, professor practice,
research professor, clinical professor or Regents Professor or whose
Notice of Appointment otherwise expressly designates a faculty position.
Graduate students who serve as teaching or research assistants,
associates or otherwise, are academic appointees as well as graduate
students but are not faculty members.
10. "Fiscal Year" means a period of twelve (12) months commencing on
July 1.
11. "Lecturer," "Senior Lecturer," or "Principal Lecturer" means a non-tenured
faculty member whose primary responsibility is teaching undergraduate,
graduate or clinical courses.
12. "Multiple-year Appointment" means an appointment to a faculty position as
a lecturer/senior lecturer/principal lecturer, assistant/associate/full
professor of practice, assistant/associate/full research professor or
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assistant/associate/full clinical professor, as defined herein, for a period
more than one academic or fiscal year but not more than three academic
or fiscal years.
13. "Notice of Appointment" means the document by which an appointment is
made to a faculty position, which is signed by the president of the
university, or designee and which is more fully described in ABOR Policy
6-201D.6., (Conditions of Faculty Service, Appointment Procedures).
14. "President" or "University President" means the president of a university or
the president's designated representative.
15. "Professor of Practice" is a non-tenured, non-tenure eligible faculty
member who has established himself or herself by expertise,
achievements and reputation over a sustained period of time to be a
distinguished professional in an area of practice or discipline but who may
not have substantial academic experience. The primary responsibilities of
this position are teaching courses, including seminars and independent
studies, to undergraduates and graduate students in a manner that
advances the educational mission of the university in a significant or
substantial way.
16. "Renewal" means the process by which an appointment is extended for an
additional period.
17. "Research Professor" means a non-tenured, non-tenure eligible faculty
member who has established himself or herself by expertise,
achievements and reputation over a sustained period of time to be a
distinguished scholar and a researcher but who may not have substantial
academic experience. The primary responsibilities of this position are to
engage in, be responsible for or oversee a significant area of research or
scholarship in a manner that advances the mission of the university in a
significant and substantial way.
18. "Rule" means a written statement of general applicability that implements,
interprets or prescribes law or policy, or describes the procedure to be
utilized in implementing law or policy.
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19. "Tenure" is the employment status awarded by a president to a faculty
member who has demonstrated excellence in teaching, research, and
service in accordance with criteria established by each university. The
status of tenure creates a legitimate claim of entitlement to continued
employment unless the tenured faculty member is dismissed or released
in accordance with ABOR Policy 6-201H., J., or K., (Conditions of Faculty
Service, Post-Tenure Review, Dismissal or Suspension, or Release of
Faculty for Reorganization Caused by Budgetary Reasons or
Programmatic Changes), of these conditions.
20. "Tenured" means having tenure.
21. "Tenure-eligible" means having an opportunity to be reviewed for tenure.
22. "University" means the University of Arizona, Arizona State University,
Northern Arizona University or any other university under the jurisdiction of
the Board.
23. "Volunteer Faculty Members."
a. Those individuals who voluntarily provide substantial and significant
services to a university as preceptors, teachers or researchers on
whom a university wishes to confer a faculty title (through an
approval process established by the university) to reflect the
contributions these individuals make.
b. Volunteer Faculty
(1) Are not employees of the Board of Regents or a university,
(2) Will have no expectation of future employment with the
Board of Regents or a university,
(3) Will not be entitled to any of the rights afforded other faculty
members under either this chapter or relevant faculty
handbooks applicable to university faculty members,
(4) Will not be considered members of a university's general
faculty, and
(5) Will receive no compensation for their services, nor be part
of the faculty governance system except to the extent
permitted by the bylaws of a particular college.
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(c) Volunteer faculty may be eligible for a change in title
reflecting greater contributions they make to the university in
accordance with university or college policies, but are not
tenure-eligible or eligible for any other tenure-eligible or
tenured faculty benefits such as sabbaticals.
(d) A volunteer faculty member's title may be withdrawn at any
time by the President in his sole discretion without cause,
notice or due process.
(e) Each university will determine what, if any non-salary, non-
compensation amenities will accrue to its volunteer faculty
and provide them documentation that contains the conditions
of their volunteer service, including any amenities to which
they may be entitled.
D. Appointment Procedures
1. Each university president shall establish written procedures through which
faculty, heads of academic units, and deans shall have opportunity for
effective participation in deliberations leading to recommendations for
appointment of faculty members.
2. Faculty appointments made without Board approval.
a. A university president may appoint faculty members without Board
approval provided that in each instance:
(1) The appointment is for an academic year beginning on or
about August 15, a fiscal year beginning July 1, or a portion
of such academic or fiscal year; or the appointment is for a
multiple-year term as provided for in ABOR Policy 6-201D.4.,
and 5., (Conditions of Faculty Service, Appointment
Procedures);
(2) The appointment is documented by a Notice of Appointment
as required in ABOR Policy 6-201D.6 (Conditions of Faculty
Service, Appointment Procedures), which is accepted in
writing by the prospective faculty member as required in
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ABOR Policy 6-201D.7 (Conditions of Faculty Service,
Appointment Procedures);
(3) Any salary provided in connection with the appointment does
not exceed the maximum salary level set by the Board; and
(4) Funds for such an appointment are available from an
authorized source.
b. The appointment is effective on the date written acceptance of the
Notice of Appointment is received by the university office
designated to receive such acceptance unless a subsequent date is
specified in the Notice of Appointment.
3. Faculty appointments made with Board approval
a. An appointment at a salary in excess of the maximum salary level
shall be made only with the approval of the Board.
b. The appointment shall not be effective until a written acceptance of
the Notice of Appointment is received by the university official
designated to receive such acceptances and the appointment has
been approved by the Board.
4. Lecturers, senior lecturers and principal lecturers may be offered one year
or multiple year appointments. A multiple-year appointment may be
renewed at the end of the appointment period for another multiple-year
appointment or for a single year appointment. In accordance with
procedures adopted by each university, review for renewal will be
conducted during the year prior to the final year. There is no limit on the
number of renewals. No multiple-year appointment shall become effective
until approved by the university president.
5. Professors of practice, research professors, or clinical professors may be
offered one-year or multiple-year appointments. Appointments may be at
the rank of assistant, associate or (full) professor. In accordance with
procedures adopted by each university, review for renewal of the
appointment will be conducted during the year prior to the final year.
There is no limit on the number of renewals. No multiple-year
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appointment shall become effective until approved by the university
president.
6. The Notice of Appointment constitutes the employment contract of the
person named in the notice when accepted in writing by the person so
named. All notices of appointment shall at a minimum:
a. Be in writing and signed by the president or designee;
b. State the name of the faculty member and the period of the
appointment and the salary, if any, to be paid;
c. State the type of faculty appointment and indicate whether the
appointment is "with tenure" or is "tenure-eligible" or "non tenure-
eligible";
d. Where appropriate for non tenure-eligible faculty, the Notice of
Appointment or offer letter shall state that the appointment is
dependent for continuation upon funding from a specific source
other than state appropriations and that the appointment may
terminate prior to the end of the designated contract period if
funding is no longer available; and
e. State that these conditions of faculty service are incorporated by
reference, as are other applicable rules of the Board or university.
7. A faculty member shall accept his or her appointment by signing and
returning the Notice of Appointment to the designated university official no
later than: (1) fourteen (14) days following the date on which the notice
was posted or personally delivered if the appointment is for a fiscal year;
or (2) thirty (30) days following the date on which the notice was posted or
personally delivered if the appointment is for an academic year.
Signatures by those holding valid powers of attorney shall be accepted as
those of faculty members. If a faculty member fails to return a signed
Notice of Appointment within the required time frame, the appointment
may be rescinded, except that for good cause demonstrated by the faculty
member the president shall cancel the rescission. Disagreement with the
terms of the appointment shall not be deemed good cause, but neither the
offer of nor the signing of the Notice of Appointment shall constitute an
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agreement as to demonstrated typographical or clerical errors contained in
the notice, nor shall signing the Notice of Appointment waive the right of
the faculty member to pursue a disagreement with respect to the offer for
any other reason. Each faculty member shall be responsible for notifying
the university of a mailing address where the Notice of Appointment is to
be sent.
8. No oral or written communication made prior to or after the execution of a
Notice of Appointment that is inconsistent or in conflict with the Conditions
of Faculty Service (6-201) or other Board or university rules shall become
a part of the conditions of employment.
9. Whether or not an annual salary adjustment has been included in the
annual Notice of Appointment, acceptance of the Notice of Appointment
shall not waive the faculty member's right to request a review of a salary
adjustment in accordance with the university procedure for such a review.
10. Regardless of the terms of the notice of appointment, a faculty member
may be placed on furlough under a furlough plan approved pursuant to
Board policy 6-810.
E. Types of Faculty Appointments
1. Any person appointed as an Assistant Professor, Associate Professor or
Professor is either tenured or tenure-eligible as designated by the Notice
of Appointment, except as provided in ABOR Policy 6-201E.2. (Conditions
of Faculty Service, Types of Faculty Appointments).
2. Any person appointed to a faculty position designated as "visiting,"
"adjunct," "research," "clinical", or such other title(s) as may be designated
by each university, shall not be tenured or tenure eligible and shall have
no expectation of continued employment beyond the end of the current
appointment period.
3. Any person appointed as an instructor may or may not be tenure-eligible
as designated by the Notice of Appointment.
4. Any person whose appointment is designated tenure-eligible shall have no
legal right of continuity in his or her position beyond the current period of
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appointment but will be reviewed for renewal or tenure in accordance with
procedures adopted by each university.
5. A tenure-eligible faculty member who has worked beyond the second year
and who receives an adverse renewal or tenure decision shall be given a
terminal year appointment. University policies may provide for a shorter
notice of non-renewal in the first or second years.
6. Any person appointed as a lecturer, senior lecturer, or principal lecturer
shall have no expectation of continued employment beyond the end of the
current appointment period, with the exception of those individuals who
have previously attained tenure prior to the 1991-92 appointment period.
Lecturers, senior lecturers and principal lecturers may receive a multiple-
year appointment.
7. Any person appointed on a multiple-year appointment as a professor of
practice, research professor, or clinical professor shall have no
expectation of continued employment beyond the end of the current
appointment period.
8. Any person appointed to a faculty position, except those faculty members
who have attained tenure status, whose appointment is dependent for
continuation upon funding from a specific source other than state
appropriations, shall have no expectation of continued employment if such
funding is no longer available.
9. A faculty member may hold a nonfaculty appointment concurrent with a
faculty appointment. Only the faculty appointment shall be subject to the
conditions of faculty service.
10. Except as otherwise provided in ABOR Policy 6-208 (Honored Faculty
Positions), an honorary, courtesy or other non-earned faculty appointment
is not an appointment to a tenure-eligible position. No compensation shall
be provided in connection with such an appointment and such
appointment may be terminated at any time at the discretion of the
university president.
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11. At each university, the total number of multiple-year appointments as
lecturers, senior lecturers, principal lecturer, professors of practice,
research professors and clinical professors may not exceed fifteen percent
(15%) of the number of tenure track faculty, both tenured and tenure
eligible.
F. Faculty Compensation, Employment-Related Benefits and Board Policies
1. Maximum and minimum salary scales for Associate Professors, Assistant
Professors, senior lecturers, lecturers, and instructors, and minimum
salary scales for professors are set by the Board. The president shall
approve individual salaries within those scales or as otherwise approved
by the Board. Salary adjustments will depend upon available funding and
are allocated by the president within the limitation of available funds and
based on the provisions in ABOR Policy 6-211 (Evaluation of Faculty) and
ABOR Policy 6-901 (Salary Increases).
2. Employment-related benefits are made available to faculty members as a
matter of State law or Board policy and are subject to change by the
Legislature or the Board.
3. Each university shall maintain a compilation of such employment-related
benefits and policies and shall make good faith efforts to inform the faculty
of their existence.
4. Policies governing outside activities and supplementary compensation are
administered by each university.
G. Duties and Responsibilities
Duties of a faculty member shall consist of those responsibilities assigned by the
president of the university or an appropriate administrator, such as a vice
president, dean, director or department head/chair. Teaching assignments,
schedules and other instructional responsibilities shall be carried out under the
direction of the president. Duties and responsibilities shall be related to the
expertise and competence of the faculty members and may include sponsored or
unsponsored research projects, service activities, or administrative functions.
Assigned duties may include assisting with efforts to achieve university or
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departmental goals related to affirmative action, including participation in student
recruitment and retention programs directed at economically disadvantaged,
minority, and underrepresented student populations. Teaching (including
advising), research, and service performance shall be subject to evaluation by
the president and performance shall be considered in decisions relating to
compensation, renewal, promotion, tenure or termination.
H. Post-Tenure Review
1. Elements of Post-Tenure Review Process
The purpose of the post-tenure review process is to provide accountability
through emphasis on sustained high quality performance and
opportunities for continued faculty development, and to provide additional
accountability to the university community, to the public, and to the Board.
Each university shall design and implement a post-tenure review process
for all tenured faculty members in accordance with Board approved
guidelines ("Common Elements of the Post-Tenure Review Process). The
post-tenure review process at each university shall include the following
essential elements:
a. Annual performance evaluations for all tenured faculty members
shall be conducted by unit heads and/or peer committees,
appropriate administrators and incorporate student input.
b. A faculty member's performance shall be evaluated based upon
written expectations agreed to between the faculty member and the
unit head and by reference to performance standards developed by
each academic unit.
c. A faculty member who is determined to be performing at an
unsatisfactory level shall be required to participate in developing
and implementing a plan designed to improve his or her
performance; the plan shall include specific goals, timelines, and
benchmarks that will be used to measure progress at periodic
intervals.
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d. Failure to achieve the goals prescribed in the performance
improvement plan in a timely manner shall result in a
recommendation for dismissal.
e. A faculty member who is recommended for dismissal as a result of
the post-tenure review process shall have an opportunity to
challenge the recommendation as prescribed in ABOR Policy 6-
201L., (Conditions of Faculty Service, Hearing Procedures for
Faculty).
2. Accountability Mechanisms
The universities shall maintain detailed information on the results of the
post-tenure process and results shall be presented to the Board upon
request of either the President or Chair of the Board. The specific data to
be included in these reports is prescribed in the Board approved
guidelines described above.
I. Promotion, Tenure, and Renewal
1. Decisions relating to promotion, tenure, and renewal shall be made in
accordance with university rules and procedures. These rules and
procedures shall be developed in consultation with the faculty senate and
approved by the president. The final decisions on promotion, tenure and
renewal shall be made by the university president after considering all
evaluations, recommendations and other evidence submitted. A tenured
or tenure-eligible faculty member who receives an adverse decision on
any of these matters is entitled upon request to a written summary of the
reasons for the final decision from the president.
2. Lecturers, senior lecturers or principal lecturers may apply for tenure-
eligible positions for which they are appropriately qualified and tenure-
eligible faculty may apply for lecturer, senior lecturer or principal lecturer
positions. In neither instance, however, would special priority be given in
the selection process.
3. University rules and procedures applicable to tenure-eligible faculty
members shall include (1) a maximum probationary period no longer than
seven (7) years in full-time service at tenure-eligible rank, except in cases
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of waiver by the president for an individual faculty member, or as provided
by policies established by the university to extend the period for individual
faculty members facing adverse circumstances; (2) a mandatory periodic
review; and (3) provisions to cover situations in which the faculty
member's assignment is changed. A tenure-eligible faculty member shall
have no expectation of renewal for the maximum probationary period.
4.
a. Written criteria shall be developed at each university in consultation
with elected faculty members of the faculty senate and approved by
the university president to be applied to all decisions on promotion,
tenure and renewal. These criteria shall include such
considerations as teaching effectiveness (including quality of
advising); quality of scholarly research, publication, or creative
endeavors; and the quality of service rendered to the profession,
the university, and to the community as it relates to the mission of
the university. The primary criterion for the evaluation of lecturers,
senior lecturers or principal lecturers shall be teaching
effectiveness.
b. The contract of a tenure-eligible faculty member is renewed, and
tenure and promotion are granted, on the basis of excellent
performance and the promise of continued excellence. The denial
of, tenure or renewal, however, need not be construed as due to
failure or poor performance on the faculty member's part.
Considerations such as the need for a different area of
specialization or for new emphases; the lack of a continuing
position; the need to shift a position or resources to another
department; or the opportunity for an alternative program in
teaching, research, or service may dictate that the individual not be
renewed, granted tenure, or promoted.
5. Attainment of tenure can only occur through specific notification from the
president and may not result from inaction or inadvertence. A faculty
member who is granted tenure is entitled to said status at the
commencement of the appointment period immediately following the
decision.
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6. Renewal of a fixed-term appointment shall occur only with the approval of
the president and may not result from inaction or inadvertence.
J. Dismissal or Suspension
1. Tenured Faculty Members
a. Tenured faculty members shall not be dismissed or suspended
without pay except for just cause. Such dismissal or suspension
may take effect only following an opportunity for the faculty member
to utilize the conciliation/mediation and hearing procedures as
prescribed in ABOR Policy 6-201L.3 and L.4 (Conditions of Faculty
Service; Hearing Procedures for Faculty, Conciliation/Mediation and
Hearing).
b. Just cause shall include, but not be limited to, demonstrated
incompetence or dishonesty in professional activities related to
teaching, research, publication, other creative endeavors, or
service to the university community; unsatisfactory performance
over a specified period of time and a failure to improve that
performance to a satisfactory level after being provided a
reasonable opportunity to do so by the university, as demonstrated
through the board-approved post-tenure review process;
substantial neglect of or refusal to carry out properly assigned
duties; personal conduct that substantially impairs the individual's
fulfillment of properly assigned duties and responsibilities; moral
turpitude; misrepresentation in securing an appointment, promotion,
or tenure at the university; or proven violation of Board or university
rules and regulations (including the code of conduct or any other
disciplinary rules), depending upon the gravity of the offense, its
repetition, or its negative consequences upon others.
c. The inability to perform assigned duties due to physical or mental
incapacity may be deemed just cause for dismissal or suspension
without pay, but only in accordance with university policies
governing leaves of absence without pay established pursuant to
ABOR Policy 6-805 (Leave of Absence Without Pay).
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2. Nontenured Faculty Members
a. Nontenured faculty members may be dismissed or suspended
without pay during an appointment period only after a finding of just
cause as defined in ABOR Policy 6-201J.1, (Conditions of Faculty
Service; Dismissal or Suspension, Tenured Faculty Members)
Except that "unsatisfactory performance@ will be demonstrated
through the review procedures for tenure-eligible and nontenure-
eligible faculty duly adopted on each campus. Such dismissal or
suspension may take effect only following an opportunity for the
faculty member to utilize the conciliation/mediation and hearing
procedures as prescribed in ABOR Policy 6-201L.3. and L.4.
(Conditions of Faculty Service; Hearing Procedures for Faculty,
Conciliation/Mediation, and Hearing).
b. A university president may decide not to renew the appointment of
any nontenured faculty member. The president shall make such
decision after receiving recommendations from the appropriate
department and college. A nontenured faculty member has no
expectation of continued employment and shall not be entitled to a
hearing following or prior to a decision of nonrenewal except as
provided in ABOR Policy 6-201M.1., (Conditions of Faculty Service,
Procedure to Review Allegedly Discriminatory or Unconstitutional
Action (Including Violations of Due Process or Academic
Freedom)). Upon request, a tenure-eligible faculty member whose
appointment is not renewed shall be entitled to a statement of
reasons in writing for that action from the president.
3. Leave with Pay
a. A faculty member may be placed on leave with pay only if it is
determined by the president that the faculty member's continued
presence on the university campus is likely to constitute a
substantial interference with the orderly functioning of the university
or a department or unit thereof.
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b. Except as provided in ABOR Policy 6-201J.3.c (Conditions of
Faculty Service, Dismissal or Suspension, Leave with Pay), the
decision to place a faculty member on leave with pay:
(1) May be made only after the faculty member has been
provided an opportunity to respond to the allegations; and
(2) Shall be promptly communicated in writing to the faculty
member.
c. In exceptional cases, when the president makes a written finding
that release of information relating to the substance or source of the
allegations may compromise the investigation of such allegations,
the university may limit or deny the faculty members opportunity to
respond to the allegations for a period of time not to exceed fifteen
(15) working days while the investigation proceeds.
d. The period of leave may extend no longer than the duration of an
investigation to determine if there is just cause for dismissal or
suspension without pay, except that if the investigation leads to a
recommendation for dismissal or suspension without pay, then the
period of leave may extend through the final resolution of the
hearing procedures discussed in ABOR Policy 6-201L., (Conditions
of Faculty Service, Hearing Procedures for Faculty)
e. Placement on leave with pay status shall not be considered a
disciplinary sanction.
f. A faculty member who is placed on leave with pay shall continue to
receive full salary and benefits during the term of the leave.
K. Release of Faculty for Reorganization Caused by Budgetary Reasons or
Programmatic Changes
1. A release pursuant to this section is designated a "release for
reorganization."
2. Release of tenured faculty members, or release of nontenured faculty
members prior to the end of the appointment period, may occur upon
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reorganization when determined to be necessary due to budgetary or
programmatic considerations requiring program discontinuance,
curtailment, modification or redirection.
3. When the reorganization proposed by the administration calls for the
release of any tenured faculty member or nontenured faculty member
before the end of an appointment term, the following procedures shall be
observed:
a. The president shall ask the faculty senate to designate a review
committee composed of faculty and students to review and
evaluate the proposed plan for reorganization. The committee's
review shall include a public forum to provide an opportunity for all
members of the university community to present their views on the
impact of the proposed reorganization.
b. Each faculty member whose position may be affected by the
proposed reorganization shall be notified promptly in writing of the
proposed action and shall be given an early opportunity to present
his or her views in person to the review committee and to the
responsible administrator. Any written statement submitted by the
faculty member shall become part of the official record.
c. The review committee shall provide the president with a written
evaluation of the proposed reorganization no later than ninety (90)
days following the president's request, unless the president
specifically requests that the evaluation be provided in a shorter
period. This evaluation shall include an assessment of the impact of
the proposed reorganization upon students, faculty and staff, the
university as a whole, related activities outside the university, and
the interest of higher education within the state. The committee
shall maintain a record of its proceedings, including all written
documents and statements submitted to it.
d. 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.
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e. The president shall present his or her recommendation relating to
the proposed reorganization to the Board for approval.
f. If the Board approves the reorganization, each faculty member
whose position is to be eliminated shall receive written notice when
the decision to eliminate his or her position is final.
4. Each university shall devote its best efforts to securing alternative
appointments within the university for any faculty member who is released
as a result of reorganization. Each university shall devote its best efforts
and available resources to ensure that such faculty members are made
aware of openings at other Arizona universities and opportunities for
retraining or further professional growth.
5. In the event that the program element which has been terminated should
be reinstituted within a period of three years, new positions requiring
qualifications and duties reasonably comparable to those of the released
tenured faculty member shall not be filled without first offering the
appointment to the released tenured faculty member. The released
tenured faculty member must be given a reasonable time, not to exceed
thirty days, to accept or decline reappointment.
6. A tenured faculty member who is to be released, or a nontenured faculty
member who is to be released during an appointment term, shall be
entitled to a review of this decision by filing a written request with the
president within fifteen days of receipt of notice of such release.
The review shall be conducted according to the following procedures:
a. The president shall ask the faculty senate to designate a review
committee to review the decision to release.
b. The review committee shall be convened no later than twenty days
following the faculty member's request to determine whether the
release is consistent with the objectives to be served by the
reorganization.
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c. The review committee shall take into consideration the basis for the
university's decision to release and shall provide the opportunity for
the faculty member to respond.
d. The review committee may consolidate proceedings in order to
expedite its reviews, but shall review each decision to release on its
own merits and render its recommendations accordingly.
e. The review committee shall forward its written recommendation to
the president no later than forty-five days following receipt of the
faculty members request for review. If the decision to release is
deemed to be reasonable, the committee shall recommend that the
decision to release be upheld. If the decision to release is deemed
not to be reasonable, the committee shall recommend that the
decision to release be reversed. This review committee shall make
no recommendation as to the reorganization.
f. The university president shall consider the committee's
recommendation and render a final decision to uphold or reverse
the decision to release no later than fifteen days from the receipt of
the committee's recommendation.
7. A tenured faculty member who is released shall be given a terminal year
appointment unless the Board's approval of the reorganization includes a
specific determination that budgetary considerations do not permit such an
appointment.
L. Hearing Procedures for Faculty
1. Statement of Principles
Investigations and hearings require the judicious consideration of facts,
but they should neither partake of the form of courts of law nor be
constrained by the limitations imposed upon such courts. They are
academic hearings the purpose of which is to safeguard and protect not
only the individual rights of the members affected but also the integrity of
the university.
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2. General
a. A faculty member recommended for suspension without pay or for
dismissal shall be subject to the procedures set forth in ABOR
Policy 6-201L. (Conditions of Faculty Service, Hearing Procedures
for Faculty).
b. The procedures in this subsection apply only to dismissal or
suspension without pay proceedings. In particular, and without
limitation, these procedures are not applicable to:
(1) Decisions relating to promotions, sabbatical leaves or other
leaves;
(2) Decisions relating to renewal at the end of an appointment
period of a nontenured faculty member;
(3) Decisions relating to release from employment due to
reorganization;
(4) Decisions relating to evaluation of faculty under section 6-
211 (Evaluation of Faculty); and
(5) Suspension or dismissal from a concurrently held nonfaculty
position.
3. Conciliation/Mediation
a. If a faculty member is recommended for suspension without pay or
for dismissal, the faculty member may appeal the recommendation
by submitting written notice of appeal to the President no later than
ten (10) days following the date on which the recommendation is
posted. The president of the university shall refer such appeal to a
conciliation committee within seven (7) days of receiving the notice.
The conciliation committee consists of one or more full-time faculty
who are elected by the academic senate or faculty as a whole.
This committee shall attempt to arrive at a mutually agreed upon
solution.
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b. If conciliation fails or after 30 days following the date on which the
appeal was referred, the president shall provide the faculty member
with a written notice of dismissal or suspension. The President
may extend this deadline for up to 30 days if the prospect for
successful conciliation is positive. The President=s written notice of
dismissal or suspension shall:
(1) Refer to the particular statutes, rules or policies, if any,
involved.
(2) Contain a statement of the reasons for the recommendation
in sufficient detail to enable the faculty member to prepare a
defense.
c. As an alternative to meeting with the conciliation committee, a
faculty member may agree to participate in a mediation process to
be established by the university. In the case of mediation, the
same deadlines for referral and termination of the procedure shall
pertain as in the case of conciliation.
4. Hearing
a. The faculty member may appeal a notice of dismissal or
suspension without pay by providing the president and the chair of
the Committee on Academic Freedom and Tenure (CAFT) with a
written detailed statement of the faculty member=s position within
10 days after receipt of the notice of dismissal or suspension.
Failure to provide the written statement within the ten day period
shall immediately terminate the procedure.
b. The faculty member shall further provide a copy of the notice of
dismissal or suspension and the statement of position to the Chair
of the CAFT. The Chair shall then fix a time for hearing, which
hearing shall commence not less than 30, nor more than 45 days,
after receipt by CAFT of the notice of dismissal or suspension and
the written statement of position from the faculty member. The
Chair shall serve upon the parties a written notice of hearing at
least 20 days prior to the hearing. The Chair may shorten or
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extend these time periods for good cause shown or upon consent
of the parties except that the notice of hearing shall not be shorter
than twenty (20) days without the consent of the parties.
c. The notice of hearing shall include:
(1) A statement of time, place and nature of the hearing.
(2) The names of the panel members.
(3) A statement that the hearing is held in accordance with
ABOR Policy 6-201L (Conditions of Faculty Service, Hearing
Procedures for Faculty).
(4) A copy of the notice of dismissal or suspension attached and
incorporated by reference.
d. At least 10 days before the hearing date each party shall provide to
the hearing committee and the other party or parties a written list of
the names and addresses of each witness the party intends to use
at the hearing. No witnesses shall be used at the hearing other
than those listed except for good cause shown or upon written
agreement of the parties.
e. Failure of either party to appear at the scheduled hearing shall be
treated as follows: In the case of the faculty member, failure to
appear shall waive the faculty member=s right to appeal the
decision. In the case of the university representative, failure to
appear shall be treated as resolution of the grievance in favor of the
grievant. Failure of either party to appear may be excused for good
cause by the committee, in which case, the hearing may be
rescheduled.
f. The record of the hearing shall include, to the extent such items are
applicable, the following:
(1) All documents filed by the parties and all notices, orders, or
other documents issued by or submitted to the Committee
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on Academic Freedom and Tenure in connection with the
proceeding.
(2) Testimony received and considered.
(3) Record of objections and offers of proof and rulings thereon,
which may be contained in the transcript.
(4) Findings.
(5) The written recommendation reflecting the decision of the
hearing committee.
g. Each party to the hearing shall be afforded an opportunity to
respond and present evidence and argument on all issues involved.
Each party shall have the right:
(1) At the party's own election and cost, to be represented by
counsel or accompanied by an advisor, which advisor may
consult with and advise the party but shall not otherwise
participate.
(2) To present witnesses and submit evidence, including
documentary evidence.
(3) To question adverse witnesses.
h. The following shall be observed with respect to the hearing:
(1) The hearing, but not the deliberations of the committee, shall
be recorded by a court reporter and shall be transcribed
upon the request of any party at that party's own cost.
(2) The hearing may be conducted in an informal, collegial
manner and without adherence to the rules of evidence
required in judicial proceedings. The CAFT Committee shall
exclude irrelevant, immaterial or unduly repetitious evidence.
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(3) The Chair of the hearing committee shall have the authority
to issue subpoenas for the attendance of witnesses and for
the production of books, records, documents and other
evidence, and shall have the power to administer oaths. The
subpoena shall be in writing and shall be served upon the
witness in person. Members of the university community are
required to comply with subpoenas issued pursuant to this
procedure unless compliance would result in unavoidable
personal hardship or participation beyond the terms of the
contract.
(4) On application by a party, the Chair of the hearing
committee, at his or her discretion, may permit a deposition
to be taken, in the manner and upon the terms designated
by the Chair, of a witness who cannot be subpoenaed or is
unable to attend the hearing. Prehearing depositions and
subpoenas for the production of documents may be ordered
by the Chair, provided that the party seeking such discovery
demonstrates that the party has reasonable need of the
deposition testimony or the materials being sought and no
other reasonable means of discovery are available.
(5) The Chair shall preside over and conduct the hearing and
shall rule upon all matters of procedure including the
admission of evidence. The Chair shall also exercise control
over the hearing to avoid needless consumption of time and
to prevent the harassment or intimidation of witnesses.
(6) Official notice of certain facts may be taken.
(7) At the conclusion of the submission of all evidence, the
hearing committee shall permit each party or counsel to
make an oral or written summation.
(8) The university bears the burden of proving the existence of
just cause by a preponderance of the evidence.
(9) A committee legal advisor, selected by CAFT from a list of
qualified attorneys provided by the university, shall sit in
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attendance at the hearing and may be asked to comment on
questions of procedure and admissibility of evidence and
shall otherwise assist in the conduct of the hearing, but shall
not vote. A person shall not serve as both a committee legal
advisor and as an advisor or legal counsel in the
proceedings for either of the parties. The legal advisor for
the committee will be compensated by the university
i. The recommendation of the hearing committee shall be in writing;
shall include findings of fact based exclusively on the evidence; and
shall be presented to the university president within 30 days
following the conclusion of the hearing except, upon good cause,
the president may extend the recommendation date by an
additional 30 days.
Upon receipt and review of the hearing committee
recommendation, the university president shall approve,
disapprove, or modify the committee recommendation or remand
one or more issues for further consideration by the committee. The
president shall issue a decision in writing, no later than 45 days
following receipt of the committee recommendation and record that
includes findings of fact and conclusions of law, separately stated.
The president shall not be bound by the recommendations of the
committee. Copies of the decision and the committee's
recommendation shall be mailed to the parties, and members of
CAFT. The president's decision shall include a statement that an
appeal to the Superior Court pursuant to the Administrative Review
Act, A.R.S. §12-901 et. seq., if desired, must be filed within thirty-
five (35) days from the date when a copy of the decision sought to
be reviewed is served upon the party affected.
k. The faculty member may request reconsideration of the president's
decision by filing a written request setting forth a ground for
reconsideration with specificity within fifteen (15) days of receipt of
the decision. If no request for reconsideration is made, the
president's decision is effective at the expiration of the period in
which to request reconsideration. The grounds for reconsideration
are:
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1. Irregularities in the proceedings, including but not limited to
any abuse of discretion or misconduct by the committee
which has deprived the employee of a fair and impartial
process;
2. Accident or surprise that could not have been prevented by
ordinary prudence;
3. Newly discovered material evidence, which could not have
been available for the presentation;
4. Excessive or insufficient result;
5. The decision is not justified by the evidence or is contrary to
law.
I. If the faculty member requests reconsideration, the president shall
issue a decision on reconsideration within twenty (20) days of
receiving a request for reconsideration.
m. The president's decision on reconsideration shall include a
statement that an appeal to Superior Court pursuant to the
Administrative Review Act, A.R.S. §12-901, et. seq., if desired,
must be filed within thirty-five (35) days from the date on which the
decision on reconsideration is served on the party affected.
M. Procedure to Review Allegedly Discriminatory or Unconstitutional Action
(Including Violations of Due Process or Academic Freedom).
1. A faculty member who receives an adverse decision concerning his/her
promotion, tenure, nonrenewal or release from employment under ABOR
Policy 6-201L (Conditions of Faculty Service, Hearing Procedures for
Faculty) may file a written complaint alleging that the adverse decision
was a discriminatory action, or was based on unconstitutional grounds
(including violations of due process or academic freedom). This complaint
must be filed with the office of the university president within 10 days of
the faculty member's receipt of notice of the final adverse decision.
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a. "Receipt of notice" means delivery of written notice of the final
adverse decision to the faculty members last known address by
certified mail, return receipt requested. If undeliverable, the written
notice is deemed to have been received by the faculty member if
properly sent to the faculty member's last known address.
b. The faculty member shall have the right to a hearing before the
Committee on Academic Freedom and Tenure (CAFT), or before
such other appropriate committee as may be established by the
university and the academic senate, but not both CAFT and such
other appropriate committee; provided that the faculty member first
exhausts any applicable alternate resolution procedures
established by the university.
c. Where alternate resolution procedures are not established, the
written complaint shall be transmitted to the Chair of the hearing
committee within seven (7) days after receipt by the office of the
university president. The hearing shall occur no earlier than thirty
days nor later than forty-five days after the filing of the complaint,
except that with consent of both the university and the complaining
party, or upon majority vote of the hearing committee, the hearing
may be advanced or delayed.
d. Where alternate resolution procedures are established by the
university, those procedures will be initiated by the president within
seven (7) days after receipt of the written complaint. The written
complaint, if not resolved through use of the alternate procedures,
shall be transmitted to the chair of the hearing committee within
seven (7) days after completion of the alternate procedures or after
thirty (30) days following the date on which the alternate
procedures were initiated. The President may extend this deadline
for up to thirty (30) days if the prospect for successful resolution is
positive. The hearing shall occur no earlier than thirty (30) days nor
later than forty-five (45) days after the written notice is received by
the chair of the hearing committee, except that with consent of both
the university and the complaining party, or upon majority vote of
the hearing committee, the hearing may be advanced or delayed.
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2. The burden of proving discriminatory action or unconstitutional grounds
shall be on the faculty member. The hearing procedures developed by
each university shall provide for the following:
a. The right to an impartial hearing committee of not fewer than three
committee members.
b. The right of each party to obtain access to all relevant, non-
privileged documents relating to the allegations which are subject to
the other party's control and which do not violate the privacy rights
of non-parties; all disagreements relating to the disclosure of
documents shall be decided by the chair of the hearing committee.
c. The authority of the chair to administer oaths and to issue
subpoenas for the attendance of witnesses and for the production
of books, records, documents and other evidence. The subpoena
shall be in writing and shall be served upon the witness in person.
Members of the university community are required to comply with
subpoenas issued pursuant to this procedure unless compliance
would result in unavoidable personal hardship or participation
beyond the terms of the contract.
d. The right of the university and the faculty member to present
witnesses and evidence and to question witnesses.
e At the party's own election and cost, the right of each party to be
represented by counsel or accompanied by an advisor, which
advisor may consult with and advise the party, but shall not
otherwise participate.
f. The hearing shall be recorded by a court reporter. A transcript may
be obtained by any party at that party's own cost.
g. Written findings of fact.
h. The right of the university, faculty member and committee members
to a copy of the written recommendation of the committee;
i. A closed hearing upon request of any party.
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3. The recommendation of the committee shall be transmitted to the
university president within thirty (30) days following the conclusion of the
hearing except, upon good cause, the president may extend the
recommendation date by an additional thirty (30) days. No later than forty-
five (45) days following receipt of the committee recommendation the
president shall render a final determination in writing as to whether the
challenged decision shall be affirmed or modified. A copy of the
determination shall be mailed to the parties and the committee members.
The date of the mailing shall be the effective date of the decision.
The president's decision shall include a statement that an appeal to
Superior Court pursuant to the Administrative Review Act, A.R.S. §12-901,
et seq., if desired, must be filed within thirty-five (35) days from the date
when a copy of the decision sought to be reviewed is served upon the
party affected.
4. The faculty member may request reconsideration of the president's
decision by filing a written request setting forth a ground for
reconsideration with specificity within fifteen (15) days of receipt of the
decision. If no request for reconsideration is made, the president's
decision is effective on the 15th day after the date of the decision at the
expiration of the period in which to request reconsideration. The grounds
for reconsideration are:
a. Irregularities in the proceedings, including but not limited to any
abuse of discretion or misconduct by the committee which has
deprived the employee of a fair and impartial process;
b. Accident or surprise that could not have been prevented by
ordinary prudence;
c. Newly discovered material evidence, which could not have been
available for the presentation;
d. Excessive or insufficient results;
e. The decision is not justified by the evidence or is contrary to law.
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5. If the faculty member requests reconsideration, the president shall issue a
decision on reconsideration within twenty (20) days of receiving a request
for reconsideration.
6. The president's decision on reconsideration shall include a statement that
an appeal to Superior Court pursuant to the Administrative Review Act,
A.R.S. §12-901, et. seq., if desired, must be filed within thirty-five (35)
days from the date on which a copy of the decision on reconsideration is
served upon the party affected.
N. Faculty Grievance Procedure
In accordance with ABOR Policy 6-904 (Grievance), each university shall provide
an established grievance procedure to resolve any work related concerns of a
faculty member, including but not limited to any complaint alleging a violation of
the conditions of faculty service or any other rules of the Board or university
relating to faculty members. The grievance procedure shall authorize a faculty
member to initiate a grievance by filing with the chair of the designated faculty
committee a written statement that describes the specific action(s) being
challenged and any Board or university rule that has allegedly been violated.
O. Revisions
1. A comprehensive review of these conditions shall be undertaken no less
frequently than once every five years. This review shall be conducted by
a working group that includes representatives of each faculty senate to
ensure faculty input in all stages of the review process.
2. No modifications to these conditions may be considered by the Board prior
to consultation with representatives of the faculty senates.
P. Implementation
The president of each university shall establish, in consultation with the faculty
senate, such additional policies and procedures consistent with this policy as
may be needed to carry out the Conditions of Faculty Service, and such policies
shall be set forth in full and not by reference to any other document.
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Q. Interpretation
These conditions of faculty service shall be governed and interpreted under the
laws of Arizona.
R. 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.
S. Acquired Tenure Status
This policy shall not divest a faculty member of tenure status acquired prior to its
adoption.
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