Academic Affairs Manual (ACD)

Effective: 1/9/2006

Revised: 6/8/2007

ACD 507–05: Probationary Appointments and Review

Purpose

To describe the appointment and review procedures for probationary academic professionals

Sources

Arizona Board of Regents Policy Manual - 6–301, 302

Office of the Executive Vice President and Provost of the University

Applicability

Academic professionals eligible for continuing appointment

Policy

Academic professionals who are working toward continuing appointment are to have probationary reviews prior to the review for continuing appointment (see ACD 507–06, “Review for Continuing Appointment”). An academic professional on a probationary appointment will either achieve continuing appointment within the specified period or will be issued a terminal contract for the following year.

Probationary/continuing appointments are made for the following reasons:

1. the need for high-level or unique critical expertise, along with the need for long-term institutional commitment to ensure continuity
2. prevailing market forces that require the kind of sustained stability of employment that continuing appointment offers
3. an expectation that the academic professional will participate, long-term, in advancing the mission of the university and/or discipline through his or her academic expertise, with position effectiveness, professional contributions, and institutional, professional, and/or community service

   and

4. a continuing source of funding.

The unit specifies the type of academic work, the position description, performance expectations, the evaluation and review process, and salary range. The university’s academic freedom policy applies to academic professionals, regardless of their appointment period.

Academic professionals on probationary appointments must have a position description that articulates standards for position effectiveness; professional contributions; and institutional, professional, and/or community service. Individual academic professionals will have different percentages of effort in each category. It is the responsibility of the colleges and the unit that such a job description exist for each academic professional.

The performance by academic professionals on probationary appointments shall be evaluated at least once annually by the immediate supervisor and, where appropriate, the administrator to whom the supervisor reports. Unit policies shall be consistent with ACD 507–08, “Annual Performance Evaluation.”

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Ranks of Appointment

Assistant

All academic professionals appointed at this initial rank must meet the minimum standards for appointment as defined by the unit. Ordinarily, academic professionals have earned an advanced degree or have acquired a high level of the particular skills needed for a position. As assistant academic professionals gain experience, they are expected to improve in their performance categories as outlined by position descriptions and unit guidelines.

Associate

Academic professionals appointed at/promoted to associate rank must exceed the standards for initial appointment at assistant rank, and meet the standards for appointment to the associate rank as defined by the unit. They must have attained considerable expertise in the areas of competence required of their positions. Associate academic professionals must demonstrate excellence in their performance categories as outlined by position descriptions and unit guidelines.

Full or Senior

Academic professionals appointed at/promoted to full or senior rank must exceed the standards for associate rank, have substantial professional experience, and meet the standards for appointment to the full or senior rank as defined by the unit. Academic professionals at this rank must demonstrate a high level of effectiveness and should be considered experts in their chosen fields. At this rank, both professional contributions and service activities, if required, must involve sharing knowledge and experience with others by providing substantial guidance and leadership in areas of professional or academic interest.

Although there is no prescribed timeline for promotion from associate to full, it would be unusual for a person to accumulate the record of accomplishment expected for this rank without working for several years at the associate level.

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The Probationary Period

Purpose

The purpose of probation is twofold:

1. It provides the probationary academic professional with an opportunity to develop and demonstrate the ability to meet the criteria for a continuing appointment.

   and

2. It provides the university with the opportunity to evaluate the abilities of the academic professional.

Length of the Probationary Period

Full-time probationary academic professionals:

1. appointed at the assistant rank
   
   1. are reviewed in their third year
   2. have a maximum duration of the probationary period of six years.

2. appointed at the associate rank
   
   1. are reviewed in their second year
   2. have a maximum duration of the probationary period of four years.

Academic professionals working part time will have their probationary periods adjusted accordingly.

The probationary period and the year for continuing appointment review will be specified in the offer letter. Academic professionals who wish to be considered for continuing appointment earlier than the date listed in their appointment letters should consult with their unit head. Early promotion and continuing appointment reviews should include consideration of relevant professional experience either at the university or at another institution.

A leave of absence granted for personal reasons, having no significant relationship to the professional activity of the individual, may be exempted from the probationary period if requested by the academic professional and deemed appropriate by the institution.

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The Probationary Review

Purpose

The purpose of the review is to give the university and the academic professional an appraisal of the progress being made toward earning continuing appointment.

Review Criteria

The review will be based on the academic professionalí progress toward meeting the criteria for continuing appointment in three areas: position effectiveness; professional contributions; and institutional, professional, and community service. Individual academic professionals will have different percentages of effort in each category.

Levels of Review

The probationary review involves multiple levels within the university. This broad base provides a mechanism for ensuring quality control and provides checks and balances for perceived biases at one or more levels.

The order of the probationary review is as follows. The review moves:

1. from the academic professional and his or her supervisor (in consultation with the primary evaluator, if different) to a unit personnel review committee
2. from the unit personnel review committee to the unit administrator (usually a department chair or center director)
3. from the unit administrator to the college peer review committee
4. from the college peer review committee to the dean of the college
5. from the dean of the college to the campus provost

   and

6. from the campus provost to the executive vice president and provost of the university

Peer Review Committees

At each level of the administrative structure—unit; college, school, or library—a minimum of two independent reviews will be conducted: the first by a peer committee and the second by an administrator. Each unit will establish review committees for academic professionals in accordance with unit by-laws. Guidelines at each administrative level must articulate the procedures for establishing peer review committees, which must be developed and approved through appropriate governance processes.

Where possible, peer review committees will consist of academic professionals on continuing appointment from within the same administrative unit. In those units with few academic professionals, unit guidelines may allow for greater flexibility in the configuration of peer review committees. Such units may allow peer review committees to include individuals from other units, or from other employment categories.

Conduct of the Review

Probationary reviews are conducted as follows:

1. Probationary reviews are under the general supervision of the Office of the Executive Vice President and Provost of the University in accordance with the university schedule for academic personnel actions.
2. The unit head is responsible for directing probationary reviews and for notifying academic professionals in a timely manner so that they may prepare appropriate materials for upcoming reviews.
3. Unless unit guidelines say otherwise, it is not necessary to solicit letters of evaluation from outside the unit for probationary reviews.
4. Each level is to make a recommendation for retention, conditional retention, or termination.
5. The recommendations are forwarded to the Executive Vice President and Provost of the University, who makes the final decision regarding retention or termination.
6. Copies of all probationary reports are to be given to the academic professional within 30 days after the Office of the Executive Vice President and Provost of the University notifies the supervising dean of the decision.

   and

7. Upon completion, probationary reviews are filed in the Office of the Executive Vice President and Provost.

Confidentiality

The review process is confidential. The only people authorized to discuss results with the academic professional are department chairs, center directors, and deans. Confidential materials will be placed in the personnel file of the academic professional in the Office of the Executive Vice President and Provost of the University.

Grievances

The result of a probationary review is final unless an academic professional alleges that the review was not made in accordance with regular university procedures or that the result was based on discriminatory or other unconstitutional grounds, as outlined in ACD 509–03, “Grievance Policies and Procedures for Academic Professionals.”

Grievances based on discrimination are to be referred to the Office of Diversity, Human Resources.

Procedure

Units are responsible for providing probationary academic professionals with guidelines for preparing their review file.

Academic professionals undergoing review are responsible for assembling materials to support their case, per unit guidelines.

Unit heads are responsible for overseeing the process within the unit and ensuring completeness of the file.

The dean is responsible for ensuring that the file is complete before forwarding it to the campus provost.

The college dean sends the entire file to the campus provost. The campus provost makes a recommendation and sends the entire file to the executive vice president and provost of the university, who makes the final decision. This decision is either to issue the academic professional a regular contract, a terminal contract for the following fiscal or academic year, or a conditional contract.

If a conditional contract is offered to an academic professional, the dean must state condition(s) that must be met to warrant a regular contract the following year. A copy of the letter stating the conditions must be sent to the campus vice provost for academic personnel by May 15.

Whenever a conditional contract is awarded, a review must be conducted the next year to determine whether the conditions have been met. If the conditions have been met, the academic professional receives a regular probationary contract for the following year. If the conditions have not been met, the academic professional may receive a terminal contract for the following year.

Cross-References

For information on continuing appointment, see ACD 507–06, “Review for Continuing Appointment”

For information on unit policies for annual review, see ACD 507–08, “Annual Performance Evaluation.”

For information on grievance policies, see ACD 509–03, “Grievance Policies and Procedures for Academic Professionals.”

For information on unlawful discrimination, see ACD 403, “Procedures for Resolving Complaints of Unlawful Discrimination.”

For information on nonreappointment, see ACD 508–01, “Nonreappointment.”

 

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