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| Effective: 07/1/1996 |
Revised: 1/22/2008 |
![[ASU logo]](asu.gif) |
SPP 320: Conditions of Service Professional Service at ASU |
To define the appointment process for service professional employees and to set forth the conditions of service for service professionals
Arizona Board of Regents Policy Manual - 6–301, –302, –911
University policy
Service professionals
Policy for Service Professionals
The Conditions of Service Professional Service shall constitute the policy under which service professionals of the Board of Regents are employed. Each notice of appointment for service professionals shall incorporate this policy by reference and shall provide that acceptance of the notice of appointment constitutes recognition that this policy constitutes the conditions of employment. The board shall not be bound by, nor does it adopt or incorporate herein, the interpretations, policies, or recommendations of other organizations.
Authority
The board is charged by law to exercise control and supervision of the state universities and their property. Any authority delegated by the board is always subject to the ultimate authority of the board. The board retains the right of periodic review and modification of all aspects of governance of the universities, and the right to enact such rules, regulations, policies, and orders as it deems proper.
Dual Appointments
Individual service professionals may hold dual appointments, only one of which may be to a position subject to the Conditions of Service Professional Service.
Approvals
The president shall establish procedures for securing recommendations for appointment to service professional positions. Appointments may become effective when approved by the president.
Yearly Appointments
All service professionals filling a regular line of the university budget shall receive a notice of appointment for each fiscal year beginning July 1 or for each academic year beginning on or about August 15, or a portion thereof. Appointments and reappointments shall not be for more than one fiscal year. There is no limit to the number of appointment periods to which a person employed under a year-to-year contract may be appointed. 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 Service Professional Service shall become a part of the conditions of employment.
Appointments Dependent on Nonstate Funding
Appointments that are dependent for continuation on funding from a specific source other than state appropriations shall so state in the notice of appointment and may terminate when the funding is no longer available.
Salaries
The president may set individual salaries. Salary rates for reappointments will depend upon available funding. Merit raises may be allocated by the president within the limitation of available funds.
Fringe Benefits
Certain fringe benefits are made available to all state employees and are subject to change by the legislature, the board, or the university.
Outside Activities and Supplementary Compensation
Policies governing outside activities and supplementary compensation are administered by the university.
The board has adopted various policies that may be a part of the employment relationship depending upon the terms of the particular policy. Among these policies are the patent policy, Medical Service Plan, royalty policy, and leave policy. Changes to existing policies may be made by the board and such changes will normally become effective at the beginning of the first appointment period following the period in which a change is adopted. Additional policies may be added to be effective as determined by the board.
Each university shall maintain a compilation of such policies and shall take reasonable steps to inform the service professionals of the existence of such policies.
Assignment by the President
Duties and responsibilities of a service professional shall consist of those assigned by the president. All duties and responsibilities shall be carried out under the direction of the president. Duties and responsibilities shall be related to the expertise and competence of the service professional.
Evaluation by the President
Performance of assigned duties by service professionals shall be subject to evaluation by an appropriate administrator and performance shall be considered in decisions relating to compensation, retention, advancement/promotion, termination, or a decision not to reappoint.
Decisions relating to promotional opportunities shall be made in accordance with university rules and procedures approved by the president (SPP 402– 05, “Promotion (Competitive or Non-Competitive)”). Decisions of the president are final.
Authority of the President
Decisions relating to reappointment shall be made in accordance with university rules and procedures developed by the president. The decision of the president not to reappoint is final.
Continued Employment
A service professional has no expectation of continued employment and shall not be entitled to a hearing following or prior to a decision of nonreappointment. A service professional whose appointment is not renewed shall not be entitled to a statement of reasons for that action. It is strongly recommended that reasons be given orally. If requested by a service professional, reasons may be given in writing with the approval of the appropriate vice president and after review by university general counsel.
Notification of Nonrenewal
Service professionals shall be given at least a 90-day written notification of nonrenewal within the period of the appointment. If notice of nonrenewal is given within the appointment period but less than 90 days prior to the end of a service professional’s appointment period, the employee shall be entitled to continuation of salary for 90 days from the date of notification.
Failure to provide a service professional with notice of nonrenewal within the period of appointment will result in automatic renewal of appointment.
During the period between notifying a service professional of nonrenewal and the end of the appointment period, the service professional may:
or
The vice president is to notify the president of the university or designee of the action orally before the effective date of leave with pay. If action must be taken before notification, the vice president should orally notify the president or designee as soon as possible thereafter.
In addition, outplacement services may be made available through Human Resources to assist the service professional with finding alternative employment. Funding for outplacement is the responsibility of the respective vice president.
Reasons for Termination
Service professionals may be removed by the president from their assignment any time, but may be terminated during an appointment period only after a finding of a just cause or as set forth in “Release due to Financial Emergency” or “Release due to Reorganization” below.
Causes for termination may include, but are not limited to, demonstrated incompetence or dishonesty in professional activities related to the fulfillment of assigned duties and responsibilities associated with the position; any false statements, misrepresentation, or omission of requested information for employment; substantial neglect of properly assigned duties; or personal conduct that substantially impairs the individual’s fulfillment of properly assigned duties and responsibilities.
Substantial incapacity (physical or mental) to perform properly assigned duties shall also be considered as just cause with due consideration given to the nature and duration of the incapacity. Service professional employees who are terminated for cause (or resign in lieu of termination) will not be considered eligible for rehire, absent an administrative determination made by Human Resources in consultation with the terminating department.
Suspension with Pay
A service professional may be suspended with pay pending a hearing, if the president determines that the continued presence of the service professional on the campus may constitute a substantial interference with the orderly functioning of the university or of a substantial area, unit, college, or department of the university.
When a service professional is recommended for suspension or dismissal, the employee shall be subject to the procedures set forth herein except in:
and
The procedures are not judicial. Formal rules of evidence are not applicable. Deviation from these procedures shall not invalidate a decision or proceeding unless they cause significant prejudice to the respondent or the university.
These procedures shall be initiated through a written referral signed by the complainant and filed with the campus director of Human Resources or designee.
Informal Procedures
Upon receipt of a referral, the president will assign an administrator or appoint an ad hoc committee comprised of at least three members, one of whom will be a service professional, to investigate the complaint. The designated administrator or ad hoc committee shall:
and
The findings, decisions, and sanctions, if any, to be recommended shall be written on a form prepared by the designated administrator or ad hoc committee and submitted to the president, who may approve, disapprove, modify or otherwise render a determination.
If the respondent is willing to accept the determination, the respondent shall acknowledge acceptance by signing the form in an appropriately designated place, and all action on the referral shall be closed.
If the respondent refuses or fails to accept the determination, the service professional may submit a formal written grievance through the campus director of Human Resources or designee within the time limits specified in SPP 901, “Grievance Process.”
Formal Hearing Procedures
The service professional shall be entitled to a hearing in accordance with SPP 901, “Grievance Process.”
A finding of just cause must be based on a preponderance of the evidence.
Release due to Financial Emergency
Release of a service professional during the appointment period may occur when deemed necessary by the president due to a financial emergency as declared by the board. Upon occurrence of the release, the individual’s personnel file shall designate that the release was due to financial emergency. A service professional released due to financial emergency shall be accorded the following rights and privileges:
Release of service professionals may occur when a reorganization is deemed necessary due to a budget or program decision requiring program discontinuance, curtailment, modification, or redirection and when such a reorganization plan is approved by the Board of Regents. Such a release shall be designated in the employee’s personnel records as a “release for reorganization.”
If the reorganization plan under consideration requires the release of service professionals, the following procedures shall be followed:
A service professional employee released for reorganization shall be accorded the following rights and privileges:
Whenever an aggrieved service professional claims that a decision on advancement, reappointment, or release was based on unlawful discrimination, the employee shall have a right to have his or her claim reviewed in accordance with the Academic Affairs Policies and Procedures Manual—ACD 403, “Procedures for Resolving Complaints of Unlawful Discrimination.”
The president shall establish such additional policies and procedures consistent with this policy as may be needed to carry out the Conditions of Service Professional Service.
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.
The president of the university is responsible for the assignment of persons to service professional positions. Assignments to service professional positions shall not be made for a period longer than one year nor extend beyond June 30, and assignments may be terminated by the president at any time without cause or explanation.
All policies contained in the Staff Personnel Policies and Procedures Manual (SPP) that are applicable to administrative staff positions are also applicable to service professionals unless stated otherwise in these Conditions of Service Professional Service.
If a service professional position is reclassified to a classified position, or a service professional employee transfers to a classified position, all terms and conditions of classified regular employment will be accepted including probation and participation in the Arizona State Retirement System.
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