PROGRAM AND PROCEDURAL MANUAL

5.01 - Position Descriptions

For position descriptions of Appointed Personnel see Appendix A .
5.02 - Academic Professionals

For definitions, policy, and procedures related to the category of Academic Professional within the University, see University Handbook for Appointed Personnel (UHAP).

Nearly all CALS appointed personnel in this category are Cooperative Extension agents, specialists or research scientists. Where there are exceptions to these appointments, consult UHAP for guidance. Most specialists have split appointments of Extension and research. A number of agents have resonsibility for two or more programs. The type of professional personnel appointment shall be indicated on the Notice of Appointment by use of one of the following designations: "continuing eligible", "continuing."
5.03 - Mentor Progam
Mentoring new agents is important to Extension because of the complexity of our organization. There are faculty on and off campus, chairs for state-wide initiatives and for working groups, county staff, program staff, and administrators. Administrative, budget, and academic authority flow through different channels. Leadership, decision making, communication, motivation and control are dispersed, as are our county Extension offices across the state. The Arizona Cooperative Extension Mentor Program is designed to assist new extension agents be successful and navigate the Cooperative Extension system. Mentors are selected jointly by Extension Administration and the county director. Mentors are assigned within the first month of hire. The program term is for twelve months. Travel expenses for both parties are paid by Extension Administration. The following are some expectations Extension has for new agents and their mentors. The mentor will: Represent the University of Arizona Help the new agent understand the role of an extension faculty member Encourage the new agent to work within the system Assist with understanding the extension education process and program development Provide advice on/critique of program plans of work Make referrals to appropriate faculty and staff within the Arizona system, or elsewhere as needed Be a good listener and provide counsel Serve as a sounding board, advisor, and coach Provide a confidential point of view in a safe environment The new agent will: Make initial contact with the mentor Receive orientation from his/her county director Meet on site, in either or both counties, and by phone, with mentor at least twice during the year

5.04 - Professional Development
Professional development and improvement opportunities are central to the Cooperative Extension educational organization. Each Extension faculty member needs a professional development plan to upgrade skills resulting in enhanced educational program development and delivery. Funds are available to support educational experiences and professional development opportunities both in- and out-of-state. These funds are limited and will not be granted in an amount to fully cover costs of the educational program. Such funding support can be viewed as seed money to be supplemented by the personal funds of the individual.


5.05 - Promotion and Continuing Appointment Evaluations
The Vice Provost provides promotion and continuing appointment information for the University of Arizona as a part of their Provost guidelines.

As a "land grant" The University of Arizona is dedicated to serving the people of Arizona and responding to the critical needs of the day. While all universities engage in research and teaching, the nation's more than 100 land-grant colleges and universities have a third critical mission -- extension (outreach or engagement). Faculty guidelines can help document one's involvement as part of the engaged university and can identify ways to measure excellence.The College of Agriculture and Life Sciences by virtue of its mission as a founding component of this land grant institution, the University of Arizona, faces issues related to faculty evaluation that differ from other UA colleges. See "A Common Sense Guide for New Faculty."

5.05.01 - Notification of FacultyThe University Advisory Committee on Continuing Status annually considers recommendations for continuing status and promotion. It is essential to provide adequate time for the Advisory Committee to conduct its review and to ensure timely notice of action taken in approving or denying recommendations can be given to the Dean's Office and to the candidate.The College will notify annually in the spring all candidates for 3- or 6-year reviews. Prior to this notification the College will confirm records with the Provost's Office and the unit involved. Associate faculty with continuing status will be notified in the fifth year to determine if they would like to be considered for promotion to full rank; a faculty member can request this review at any time.Unit heads must provide each candidate with a copy of the current instructions from the Provost's Office related to the process and preparation of dossiers for continuing status and promotion. See College or Provost guidelines for more information. The guidelines may vary slightly from year to year.

5.05.02 - Special Circumstances
Clock delays may be approved by the Provost if there is a valid reason such as parental leave, illness or other serious circumstances which had a major impact on the candidate's work. Candidates should not hesitate to request a delay whenever there are appropriate circumstances. Requests must be approved by the unit head and are then submitted through the Dean to the Provost for final approval.

An individual, while holding a continuing-eligible appointment at the University of Arizona, may request a one-year "parental delay" of the continuing status decision such that each of the remaining third-year and sixth-year or continuing 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 continuing-eligible appointment period, if the appointee becomes a parent by the birth or adoption of a child while holding such a continuing-eligible appointment, and if certain eligibility requirements are met. An individual granted a parental delay shall not be subject to additional scholarship or service requirements above and beyond those normally required to qualify for retention or continuing status. If both spouses hold continuing-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 unit 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. To be eligible for a delay of the third-year or a continuing-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 unit head or director, dean, and the Provost.

Always check the current guidelines.

5.05.03 - Department/School/County Extension Unit Continuing Appointment Committees

Purpose and Composition

The departmental committee will specifically review candidates for promotion or continuing status. Members must have continuing appointment, but do not have to be full rank; however, a member cannot evaluate for promotion someone requesting higher rank. Departmental committees should use annual evaluations of candidates as part of this review. Committee membership may involve non-departmental members where the department is small or has strong ties to another discipline. When it is necessary to have faculty from other departments participating, it is recommended those faculty should have served on their departmental promotion and continuing committee (with service within the last three years). The departmental promotion continuing committees are the correct vehicle for 3-, and 6-year reviews. In addition, the departmental committee can be used for review of candidates who are recommended for continuing appointment upon hiring.Each department, school, and the combined County Extension unit with at least three continuing appointments shall have a standing committee on continuing status (UHAP, Section 4.10.01). With approval of the unit's members and the Dean, they may wish to combine the tenure and continuing committees, in which case at least one member must hold continuing appointment. If the number of continuing appointment members is less than three and they do not wish to combine tenure and continuing committees, a committee can be established that has members out of the department/school in related fields.

The unit's entire P&C committee membership will vote on each review. Members may abstain if a conflict of interest occurs.

Promotion and Continuing Dossier Requirements

The College of Agriculture and Life Sciences has prepared several documents to assist in developing either the 3-, and 6-year reviews or documents for promotion or awarding of continuing appointments.This "special instructions" document addresses activities that are unique to the College of Agriculture and Life Sciences and specifies any recommended formats. The basis for these procedures is the University Handbook of Appointed Personnel and the annual instruction packets from the Provost regarding tenure and continuing appointment. Related documents to read from the College are:

Appointed Personnel - Events Calendar - scroll down about half way Common Sense Guide for New Faculty Guidelines & Criteria for Promotion and Continuing Status for Cooperative Extension Personnel

CALS Information Concerning the Preparation of Promotion and Tenure/Continuing Status Dossiers and Reviews

Special Instructions for College candidates:Cooperative Extension's Educational Outreach. The greater part of program efforts accomplished by Cooperative Extension professionals will be reported in Section VIB Evaluation of Educational Outreach of the curriculum vitae.

Statement of College of Agriculture and Life Sciences method for FTE assignments. CALS assigns FTE by instruction, research, extension, and/or academic support. Faculty usually either have one or two types of appointments. The rest of the campus does not use this designation and therefore review committees are not accustomed to this approach. It helps to identify the College structure better if your FTE split is indicated. This should be done in the position description.

Each individual to be reviewed is responsible for preparing and submitting to the Department/School/County Extension unit committee a P&C dossier. The candidate's dossier should contain such information as outlined by the annual guidelines published by the University Provost's office. See Provost's guidelines. This information changes to some degree each year, so current guidelines must be acquired (normally available in late spring for the following year reviews). It is extremely important to follow the procedures in these guidelines. In addition, the College has specific guidelines on designing a strong dossier.

Responsibility of Unit Head/Director/County Extension Director

Letters from the units' P&C Committee and the Head/Director/CED must be included in the P&C dossier when forwarded to the Dean. The Department/School/County Extension P&C Committee's report should address the candidate's position of stature in the discipline area and represent peer evaluation of scholarly work, extension efforts, and other relevant academic achievements.The letter from the Head/Director/CED should corroborate, refute, and/or supplement information provided by the units' P&C Committee, and should include an independent evaluation of the candidate's value and contributions as a faculty member of the unit. Furthermore, the letter from the Head/Director/CED should specifically identify expected outcomes of a person in the candidate's area related to professional expectations.The Head/Director/CED will have responsibility to monitor the mandatory review requirements of the University and to notify the individuals to be reviewed sufficiently in advance of the actual review time. The notification will include guidelines for organization of materials, appropriate criteria for evaluation, the projected time schedule for completion of the review, and a copy of P&C guidelines for the unit and the College. Until the current year's guidelines are approved and made available, the previous sets of guidelines can be used. The Head/Director/CED must use letterhead with his/her signature on all documents in the dossier prepared by the Head/Director/CED.The Unit Head has the responsibility to select outside evaluators, solicit letters of evaluation from outside evaluators, and document the selection process and the independence of outside evaluators. See the current year Provost guidelines for further details.Unit heads are asked to summarize the method used to select referees and must list the names of all reviewers contacted, whether or not they agree to serve as referees. It is essential that assessments of the candidate's work and professional standing be evaluated by no less than three outside referees independent from the candidate. It is recommended that 3-8 independent letters be sought. Additional letters from collaborators, faculty colleagues or graduate students may be added to the dossier.It is the responsibility of the Head/Director/CED to confirm the dossier follows University and College guidelines.

All P&C materials will be sent to the Office of the Dean by November 1. The Dean's office will then review the contents for completeness and return any dossiers that are incomplete or improperly compiled. The Dean's office will coordinate the reviews with the College P&C committee, provide for Executive Council review, final review by the Dean, and final transmittal to the Provost.

5.05.04 - College of Agriculture and Life Sciences Promotion and Continuing Appointment Committee

The College promotion and continuing committee will function only for this purpose. Members are not to review dossiers of new hires and are not members of the department promotion and continuing appointment committee. In the event a unit submits a negative 3rd year recommendation, this committee will review the case.

The College shall have a promotion and continuing committee composed of members appointed by the Dean; the Dean will designate the Chair and Vice Chair. Each member shall hold the rank of associate (three or fewer) or full rank and shall have been awarded continuing status. The members shall serve staggered terms of three years and the membership should reflect the ethnic and gender composition of the College.

The College committee will develop a set of operating rules prior to reviewing any dossiers.

Procedures followed in the College of Agriculture and Life Sciences are:

The College Committee shall consider P&C dossiers after they have been evaluated by the combined Department/School/County Extension unit committees. The administrative unit in which the P&C candidate is employed must provide the College P&C Committee with the criteria upon which faculty in their academic area are to be evaluated. These criteria along with the College criteria shall form the basis of evaluation by the College P&C Committee. The P&C dossiers are sent to the Dean's Office. Upon completion of their work, the College Committee, through the chairperson, submits recommendations to the Dean. The College P&C Committee's report to the Dean should include an assessment of the candidate's scholarly and academic achievements in comparison with other faculty members in the College of similar rank, research/teaching time allocations, and appointment status. Substantial departures from accepted norms must be justified by the committee. After receiving the College Committee's recommendations, the Dean may solicit the recommendations of the Associate Deans. The Associate Deans' evaluations should be in the form of a memorandum to the Dean. The purpose of such evaluations is to provide the Dean with additional insight and information, and will not become a part of the formal record. The Dean forwards the P&C dossiers to the Provost. Each P&C dossier contains the materials received from the department, school, County Extension unit and the College Committee's recommendation, and the Dean's recommendation. Time requirements for submission of materials to the Provost shall be consistent with University guidelines. The Dean's letter to the Provost should reflect the significance which the College administration places on the candidate's performance and future potential as a faculty member and any additional information not previously presented by the College or unit reviews.

The Dean notifies candidates of his/her recommendation to the Provost (UHAP, Section 4.17).

5.05.05 - Frequency of Evaluation

Unit Heads/Directors/CEDs shall review continuing-eligible individuals as required/authorized by University P&CA policies and procedures.

College of Agriculture and Life Sciences continuing-eligible statement provides information on college-level guidelines for annual and three-year review for continuing eligible faculty.

Three Year Reviews (or as adjusted due to special circumstances - see 5.03.02 above and UHAP, Section 4.10.03)

Purpose of Review
In general, the 3-year review is to provide guidance to the candidate for a successful 6-year review and to provide a means of instructing the candidate in the successful preparation of materials for the subsequent continuing review or as a terminal review if it determines the candidate is not likely to get continuing status at the next review. At the 3-year review, a decision will be made to advise the person in writing: 1) of any problem areas which may preclude the granting of continuing by the 6th year, 2) to confirm that everything is progressing as expected, 3) to recommend non-retention of a person not likely to gain continuing status in the 6th year. Candidates will also receive appropriate feedback at their annual review.

General Procedure
The UHAP, Chapter 4, states that reappointment of continuing-eligible personnel at the end of three years may be made without college or University review, but that the decision for reappointment must be preceded by a formal evaluation (review) by the Head/Director/CED and unit committee on Promotion and Continuing. The reviews should build on the annual performance evaluations required under Board of Regents' policy. The UHAP states that these evaluations shall be expressed in writing, identifying any problem areas which may preclude the granting of continuing status and a copy shall be given to the continuing-eligible professional. It is important that a professional employee receive notice of inadequate performance at the earliest possible point in his/her career (UHAP, Section 4.10.03).

While the UHAP indicates these reviews only require University-level actions or College committee action if the unit head recommends termination, 3-year review will be examined by the Dean.

The 3-year departmental review committee must be the same as for P&C because these types of issues are most relevant for this committee. It should not be done by an administrative peer committee developed for annual evaluations.

These reviews should follow the P&C guidelines where appropriate, except no external evaluations should be sought. The results of annual evaluations should be used in this review. These reviews also follow the time schedule for the promotion and continuing process and are due in the State Extension office by September 7 (and they will forward by November 1 to the Dean's Office). Any recommendations for non-renewal must be forwarded on a timely basis so the results can be reviewed on the same time cycle for promotion and continuing reviews. This minimizes efforts of the departmental committees and in the case of a negative review, allows other committees to review the material in their normal cycle.

Actions for Positive Review
When the administrative unit Head/Director/County Extension unit has completed the 3- or 6-year review, he/she will notify the Dean of his/her recommendation. The dean should be notified in advance of the Head/Director/CED notification to the candidate of the review results. The Dean will notify the Head/Director/CED of concurrence or disagreement with the review. The final letter will be sent to the candidate by the Head/Director with a copy to the Dean. This letter to the candidate must include present title, type of review, reappointment requested (e.g., 4/5/6 year retention or non-retention), and fiscal year in which the next review will occur. It is possible to make a one year reappointment if conditions warrant an earlier than normal next review.

While it is possible for a person to be promoted at the 3-year review, it is rare and should not be considered except in special situations and with prior discussion with the Dean. Similarly, promotion in the 5th year, while less rare, also requires substantial evidence of relevant performance activities.

Non-retention Recommendation

When a unit head/director decides that he or she will recommend non-retention of a professional following the three-year review, a series of steps are to be initiated resulting in the preparation of a packet containing the following elements:

1) an updated curriculum vitae of the professional; 2) annual performance evaluations for all years the candidate has been associated with the University of Arizona as a continuing-eligible professional; 3) detailed critiques, prepared independently by the departmental standing committee and the unit head/director, evaluating the quality of the candidate's contributions in teaching, research and service; and 4) statements prepared by both the departmental standing committee and the unit head/director, describing the likelihood that the candidate would be recommended for continuing status and promotion during the six-year review, given progress to date. These materials combined with all other materials assembled, are to be forwarded by the unit head/director to the dean, and are to serve as the basis for evaluation by the college committee, the dean, the University Advisory Committee, and the Provost. Outside letters are not required.

Appeal Procedure

Candidates for continuing status or promotion and candidates recommended for non-retention following a three-year review may appeal negative decisions to the President upon official notification of such decisions from the Office of the Provost. Such appeals must be filed in writing with the Office of the President within 30 days after notice of the Provost's decision (see UHAP, Section 4.16).

Reasons for Denial of Continuing Status or Promotion

Upon written request, the Provost will provide a written statement of the reasons for denial of continuing status or promotion.

Sixth Year Review

The 6-year (or seven if a parental delay has been utilized) review is the latest a person at the assistant or associate level can be given continuing appointment. This 6-year review may occur in an earlier year (if the candidate has significant credentials); it is only identified as a 6-year review because that is the last year possible for gaining continuing appointment. Candidates may choose to go up earlier if they feel their record merits early consideration. If they are turned down at that time, they may resubmit a dossier in their sixth year.

Continuing-Eligible Associate and Full Rank Faculty

A candidate who comes in at associate rank with a full six years allowed in their letter of offer could go up for continuing status in any year they feel they are ready, not just at the third OR sixth year.

A continuing-eligible full rank person may be recommended for continuing status or for nonrenewal at any time during the first through third year of service. If continuing status is not granted effective the first, second, or third year, the faculty member shall be informed before the end of the third year that he/she is being recommended for: (1) continuing status effective the fourth year; or (2) an appointment as a full rank without continuing for a fourth and terminal year.

Reviews of Continuing Status Associate Ranks

Individuals holding continuing appointment at the associate rank must be asked in writing each six years if they want to submit a request for promotion. If they decide not to be reviewed for promotion, a letter must be sent through the unit head to the Dean. This notification is to be during the 5th year after continuing status is granted.

Candidate Refusal to Submit Material for a Required Review

There may be cases where a candidate decides not to submit an application for a required review. This is especially critical if it occurs in the 6-year review. If a candidate refuses to prepare required review material, the Head/Director/CED should contact the Dean immediately; these reviews are required unless they are changed due to extenuating circumstances. In such an event, the Head/Director/CED must send the candidate a registered letter stating the requirement, and indicating that in absence of materials submitted by the candidate, the head will submit available materials for review; a copy of this letter should be sent to the Dean. In the event a candidate submits a letter of resignation, the above submittals are not required.

5.05.06 - Specific Procedures for Specific Types of Continuing Candidates

Extension Specialists

The Head/Director/CED of the administrative unit appoints the administrative P&CA committee and has responsibility for the process. When specialists are located at an agricultural center, the center's director will provide comment on candidate readiness in a separate letter of evaluation. The administrative unit Head/Director will also write a separate letter of evaluation (paying particular attention to the relationship of the specialist to agents). If the specialist is appointed in two administrative units, each administrative unit will review the candidate, but the lead administrative unit will be the one with greatest budgeted appointment.

Extension Agents

The Associate Director appoints the program P&CA committee consisting of agents. The CED will provide comment on candidate's readiness as well as contribute a separate letter of evaluation for the P&CA dossier.

Area Agents

Area agents are involved in more than one county and, accordingly, have more administrators involved in their evaluation. However, to maintain administrative efficiency, area agents will be evaluated as Extension Agents, except the CED of major budget assignment will become the lead person for the CED role. Other CED's involved with the Area Agent will consult with the lead CED and provide input for letters to be written.

Research ScientistsThe discipline administrative unit Head/Director appoints the P&CA committee and has responsibility for process. Where there is a joint appointment as extension specialist, the CED will be consulted, and if the candidate is located at an agricultural center, the agricultural center's director will be consulted.

All P&CA materials will be sent to the Office of the Dean by November 1. That office will then review the contents for completeness and return any dossiers that are incomplete or improperly compiled. The Dean's office will coordinate the reviews with the College P&CA committee, and provide for Executive Council review, final review by the Dean, and finally transmit reviews to the Provost. At the time of transmittal to the Provost, the Dean will notify the responsible administrative unit Head/Director/CED of decisions to recommend or deny P&CA. Two copies of the draft dossier should be submitted at least 30 days early for format checking and recommended changes by the Dean's office.

5.05.07 - College of Agriculture and Life Sciences Criteria for Promotion and Continuing Status

See CALS Guidelines and Criteria for Promotion and Continuing Status for Cooperative Extension Personnel and Expanded Guidelines & Criteria for Evaluation, Promotion & Continuing Status, Cooperative Extension Agent.

5.05.08 - College of Agriculture and Life Sciences Information Concerning the Preparation of Promotion and Continuing Dossiers

The guidelines provided annually by the Provost should be used for structuring the dossier. In addition, there are suggestions developed over the years that enhance the dossier.

Where appointments are made jointly with other colleges, the promotion and continuing committees for those colleges will review the candidates as well. The checklist for Shared Appointments must be completed and submitted. The lead college will be the one with the greatest budget allocation for the individual.

5.05.09 - Position Descriptions

In some cases, units may not have up-to-date position descriptions for faculty positions. A listing of generic position descriptions for continuing status personnel is in Appendix A . There are many activities that may be used in conjunction with the position descriptions in evaluating CALS faculty for promotion or tenure/continuing status.

5.05.10 - Rank Equivalencies of Continuing Status to Tenure Track

The ranks of professional personnel are as follows:

ExtensionResearch Instruction

Assistant Agent/SpecialistAcademic Associate Lecturer

Associate Agent/SpecialistResearch Associate Lecturer

Agent/SpecialistAssistant Research Scientist Assistant Professor

Associate Research Scientist Associate Professor

Research Scientist Professor

5.06 - Annual Performance Reports, Evaluations, Merit, and Market Changes

5.06.01 - Annual Performance Reports

All appointed personnel must submit an Annual Performance Report. This report provides background material for personnel evaluations and summarizes program involvement and accomplishments for administrative use throughout the year. For example, this report and the accompanying evaluation is used for annual performance feedback and personnel development recommendations, background information for considering promotion and continuing appointments and documentation of faculty efforts. The APR for all Extension personnel can be filled out throughout the year via APROL.

The Annual Performance Report (APROL) for all Extension personnel:

must be completed online,
is available throughout the year, and

is due on or before February 1 each year.

Included in the report is information needed for required Federal statistical reporting. This is a separate sheet with a form listing face-to-face contacts by ethnicity and gender. A total number of volunteers by gender and total number of hours of service must also be reported.

Agents submit a completed APR online to their County Director; the County Director will then submit all APR's for their unit to the Extension Director. Specialists submit a completed APR online to their Unit Head; the Unit Head will then submit all APR's for their unit to the Dean.

5.06.02 - Annual Performance Evaluations

Annual evaluations are required by the UHAP for all appointed personnel and require supporting data such as the Annual Performance Report described previously. These evaluations have several purposes including providing guidance for professional development choices (e.g., sabbaticals, professional activities), accessing progress and performance, recognizing special talents and achievements, and identifying weaknesses that should be addressed during the next evaluation period. While they can be used for merit salary increases and associated review purposes, they are intended to be multipurpose (UHAP, Sections 3.10 and 4.08).

APROL is prescribed by the College to be used by all appointed personnel (teaching, research, specialists, agents, and administrators). A confidential database of APRs is maintained by the State Office.

Annual evaluations also include a component of peer review. This can be done in several ways: use a subcommittee or the unit as a whole for the reviews, use the data submitted in the Annual Performance Report for the basis of comments, and either use the evaluation form provided by the College (or a departmental modification) or make up an entirely new form that addresses relevant activities to be evaluated by peers.

The following documents will assist you in preparing for your evaluation:

Cooperative Extension uses the Annual Performance Report Evaluation Criteria Annual Performance Peer Review Committee Summary

Appointed Personnel Evaluation Form

Results of annual performance evaluations are to be shared with the appointed personnel by May 15 of the year following the evaluation period. The performance period is the calendar year, January 1 to December 30.

5.06.03 - Administrator Reviews

There are specific policies of the University related to administrators. These include the need for annual performance evaluations and 5-year reviews for deans and unit heads. The annual performance report and evaluation form for administrators is the same as for all other appointed personnel in the College. See UHAP, Chapter 5, for specific policies and procedures related to administrator reviews and those which cannot be modified by colleges or departments.

5.06.04 - Merit Salary Increases

Merit salary increases may only be given when the Arizona State Legislature has appropriate funds for such a purpose. The merit salary increase process is frequently confused with annual performance evaluation process. While the annual performance evaluation can provide data for determining any salary increases based on performance (i.e., merit), the annual performance evaluation serves additional important functions (see Annual Performance Evaluation). In addition, there may be additional criteria specific for merit salary increases.

Merit salary increases must be based on written criteria developed by the administrative unit members (UHAP, Sections 3.10.02 and 4.08.02). Annual evaluation results can be used for merit criteria if the administrative unit chooses and a translation of the evaluation method to merit is made. Merit evaluations are made at the closest administrative level. It is only in the case of a grievance that a higher administrative level will review the evaluation. For counties, the recommendation for merit salary increases are made by the CED with final approval by the Extension Director. Extension specialists will have merit criteria developed by Cooperative Extension Administration and the administrative unit with due consideration for the roles they play in the counties as well as in the discipline. Agents will have merit criteria developed by County Extension units. The development of merit criteria must have input by the specialists and agents.

Merit Criteria for research professional personnel will be developed by the department/school, with input from the professional personnel.

5.06.05 - Market Salary Increases

Market adjustments are based on competitive needs of the discipline rather than actual job performance, and they are not automatic.

5.06.06 - Equity Salary Adjustments

Occasionally equity salary adjustments are necessary to bring education, experience and academic achievement levels in line with similary situated peers. Cooperative Extension Administration conducts an equity study and makes recommendations to the Dean and Executive Council. The Dean forwards the recommendations to the Provost for the final decision.

5.07 - Retirement and Resignation

For information related to retirement, see UHAP, Section 2.14. Resignation information is covered in UHAP, Section 4.19. In addition to this rather general information, specifics related to Cooperative Extension personnel may be found below.

5.07.01 - Cooperative Extension Appointed Personnel

A vacancy in an Extension position occurs (a) when a letter stating the final date of employment for the purpose of retirement or resignation has been received and approved by the Dean of the College, or (b) when a letter of termination stating the final date of employment has been received by the employee from the Dean of the College.

Compensation for all or part of unused annual leave depends upon the availability of funds and justification of the critical nature of completion of the employee's activities before the final date of employment.

University of Arizona Cooperative Extension personnel on federal appointment who leave to accept employment at another institution and retain a federal appointment usually are not eligible to transfer unused annual and sick leave. Each institution has its own policy.

5.07.02 - Content of Required Letter

The letter of retirement or resignation should reach the Dean of the College as soon as possible and preferably six months prior to the final date of employment.

The retirement letter should be addressed to the immediate supervisor and should include the effective date of termination and official title. The statement within the letter should indicate the last day at work and whether earned annual leave is to be used or payment accepted for the unused, earned annual leave. No more than twenty-two (22) days of annual leave may be paid. Some examples are:

Example 1. "I resign from my position as County Extension Director, "X" county, effective at the close of business December 31. At that time I will have used all accumulated annual leave."Example 2. "I resign from my position as Extension Specialist, "X", at the end of my current contract, June 30. At that time I expect to have 100 hours of unused annual leave for which I expect payment."Example 3. "I will retire from my position as Extension Agent, Agriculture and Natural Resources, "X" County effective at the end of my current contract, June 30. I request payment for 22 days of unused annual leave at that time."

5.07.03 - Routing of Letter

To accomplish an orderly release, the letters must be routed as shown in the following illustration:

Each supervisor must sign and date the letter of resignation before forwarding to the next administrator. The immediate supervisor will add necessary lines to the original letter for supervisor/administrator approval. If adequate space is lacking on the original letter a separate signature sheet may be added.

5.07.04 - Emeritus Status

The title of "Emeritus" for retiring or continuing faculty, regardless of the years of service at the University of Arizona, must be requested in writing to the Provost. The request must be routed through CALS Administrative Services who will secure the approval of the Dean prior to forwarding the request to the Provost.

5.08 - Termination

5.08.01 - Release of Professional Personnel

Notification of Release of Professional Personnel is sent to the employee in a letter from either the Dean of the College or the Director of Cooperative Extension. This letter will indicate the final date of employment and include procedures to be followed by the employee to effect the termination. In cases where grievances may apply the process and procedures described in UHAP, Chapter 6, will be followed.

5.08.02 - Termination Checklist and Report

The payroll representative of the employee in an involuntary or voluntary termination must complete a University of Arizona Termination Report (on line). This completed report must be submitted to Systems Control through CALS Administrative Services. If available, the employee and unit head should sign the termination report.

For more information, refer to Dismissal or Suspension-Faculty (UHAP, Section 3.13 and following), Dismissal or Suspension-Professional (UHAP, Section 4.13 and following) or Removal, Dismissal and Suspension - Administrative (UHAP, Section 5.10 and following).

5.09 - Consulting or Other Employment Outside the University of Arizona

5.09.01 - University Policy
The University of Arizona's policy can be viewed at UHAP, Chapter 2, Section 2.06.06. .

The UA Associate Vice-President for Research has responsibility for coordination and staffing an Institutional Review Committee and an Ethics Committee. The charge of these committees is to review perceived and actual conflicts of interest.

5.09.01.01 - Conflict of Commitment

A conflict of commitment happens when an activity interferes with an employee's ability to carry out his/her duties effectively. External employment, or self-employment in an employee's profession or specialty, is permitted where there is not a conflict of interest or commitment. Employees on full-time employment are compensated for full time employment and outside or dual employment or other activity, whether compensated or not, that in any way interferes with the performance of an employee's University duties and responsibilities is a conflict of commitment and as such is not permitted.

All consulting or outside employment must be reported to the University annually and approved by an employee's supervisor. By November 1 each year full-time employees shall provide a written summary of these activities to their supervisor for approval. Employees with no outside employment or consulting must so indicate, in writing, to their supervisors. This information must be updated as the facts change during the year.

For full discussion of this topic see the Conflict of Interest and Commitment Policy.

5.09.01.02 - Conflict of Interest

A conflict of interest exists when an employee is in a position to influence any University business transaction, research activity or other decisions in ways that could lead to any manner or form of personal gain for the employee, other than salary from the University, regardless of source, for his/her family members.

There are stringent University policy and state and federal laws concerning conflict of interest that govern University employees. A description of these and required procedures to be followed are covered in detail in the text of the Conflict of Interest and Commitment Policy.

5.09.02 - College of Agriculture and Life Sciences Policy and Procedure
The College of Agriculture and Life Sciences policy adheres to that of the University. It requires the approval of outside consulting before it is undertaken. Faculty should use the Notice of Intent to Consult form when seeking this approval.

The College makes use of this form in reporting to University administration the information required as noted above in Section 5.09.01.01. In addition, annually and prior to November 1, each employee must indicate in writing to their supervisor whether or not they are involved in outside consulting in any of its forms. Each department or unit head must then file annually by November 1 with the Vice Dean and Director of the Experiment Station a single letter indicating that "the undersigned individuals have no consulting or outside employment." These letters will then be forwarded to the office of the Vice President for Research and Graduate Studies.

The College of Agriculture and Life Sciences policy is as follows:

Consulting by appointed personnel is allowed by UHAP, Section 2.06.06; however, these guidelines are broad and do not specify allowable times or exclusionary consulting activities. The first three entries below are University level issues; the last three are specific to College of Agriculture and Life Sciences extension personnel:

It does not interfere with employee's regular work.

Prior written approval is obtained by the Head/SD/CEAD and Dean.

Written records must be kept and reported annually to the Dean, who will report to the Provost, for all consulting activity paid or unpaid for the calendar year.

Consulting in the same specialty areas as the employee's assigned duties for a fee could constitute favored treatment to some clientele for outside pay or benefit while denying similar treatment to other clientele. Therefore, any situations where this could be an issue should be discussed with the Director of Cooperative Extension.

Consulting for a fee might create a perception that extension employees are not supporting the clientele needs they would normally serve, thereby limiting the employee's performance.

Consulting should be performed outside Arizona and be approved as consulting time or vacation.

5.09.03 - Cooperative Extension Policy on Outside Consulting
Outside work by faculty is permitted by university and college policy when it does not conflict with university employment. In-state consulting for Cooperative Extension faculty is considered a conflict of commitment and interest.

Within Cooperative Extension, consulting for a fee in the same specialty areas as the employee's assigned duties could constitute favored treatment to some clientele for outside pay or benefit while denying similar treatment to other clientele. Consulting for a fee also might create a perception that Cooperative Extension employees are not supporting the clientele needs they would normally serve, thereby limiting the employee's performance.

Any consulting done should be performed outside the State of Arizona and be pre-approved as consulting time or annual leave.

CALS Notice of Intent to Consult information and required form are available, as is additional information from the CSREES-USDA Conflict of Interest Policy Guidelines and the UHAP section 2.06.06.

5.09.04 - CSREES-USDA Conflict of Interest Policy Guidelines
The 1990 Farm Bill amended the Smith-Lever Act by inserting after the second sentence of section 4 the following:

"The Secretary shall ensure that each college seeking to receive funds under this Act has in place appropriate guidelines, as determined by the Secretary, to minimize actual or potential conflicts of interest among employees of such college whose salaries are funded in whole or in part with such funds."

The nature of Cooperative Extension work requires considerable public contact. The Cooperative Extension System is proud of the contributions it is making. The impression of the Cooperative Extension System is in the hands of each Cooperative Extension employee. Courteous, efficient and effective interaction with the public is important in gaining trust and support. It is also important that Cooperative Extension employees represent the best of their abilities and tap other valuable resources as appropriate. It is hoped that Cooperative Extension employees will take pride in their contributions as well as in the contributions of other extension employees to the system and that they will share their knowledge, skills and enthusiasm with the clientele it serves.

The public views Cooperative Extension staff and volunteers as educators who represent the outreach component of their land-grant college/university. Cooperative Extension systems should avoid situations which question its public trust and those that create a conflict of interest.

USDA Federal Handbook outlines the Federal policies affecting Cooperative Extension organizations covering areas such as confidential information, code of conduct, and political activity.

5.09.05 - Conflict of Interest Disclaimer Statement
Each publication prepared by Cooperative Extension and distributed to the public must contain the following disclaimer:

"ANY PRODUCTS, SERVICES, OR ORGANIZATIONS THAT ARE MENTIONED, SHOWN, OR INDIRECTLY IMPLIED IN THIS PUBLICATION* DO NOT IMPLY ENDORSEMENT BY THE UNIVERSITY OF ARIZONA"* Replace the word PUBLICATION with other appropriate terms, such as video program, computer program, or other college products.

5.10 - Policy on Commercial IdentificationTo insure that Extension faculty are viewed as educators who do not represent any particular group or endorse any particular commercial product or brand name, faculty members should not wear or use items bearing a company logo.

This policy extends to the use of shirts, hats, briefcases, and other such items that might be obtained as gifts from chemical companies, water companies or other businesses. Their use and the use of materials supplied by advocates of a particular ideological orientation may convey to the public that the faculty member, personally, or Cooperative Extension, corporately, endorses the product or position.

5.11 - Membership on Graduate Examination CommitteesThe University of Arizona Graduate College issued a 1989 policy for the participation of academic professionals holding continuing or continuing-eligible positions on graduate committees. It states:

"Academic professionals, continuing or continuing-eligible, can direct graduate student research and serve on thesis and dissertation committees if the following conditions are met.

That they have active and productive research programs. That they are recommended for approval as graduate advisors by their departmental Promotion and Tenure Committee with concurrence of the Unit Head. That they are approved by their college Promotion and Tenure Committee with concurrence of the Dean, with the Graduate College having final approval.

Those academic professionals approved for directing graduate research will have their approval reviewed every five years by the Graduate College."

All relevant paperwork must be forwarded to the Graduate College. The names of the individuals approved will be kept on file in the Graduate College and no additional paperwork will be required when they are assigned to thesis and dissertation committees.

5.12 - Religious Observance and PracticePer the Arizona Board of Regents:No employee, agent, or institution under the jurisdiction of the Arizona Board of Regents shall discriminate against any student, employee, or other individual, because of such individual's religious belief or practice or any absence thereof.Administrators and faculty members are expected to reasonably accommodate individual religious practices. A refusal to accommodate is justified only when undue hardship would result from each available alternative of reasonable accommodation.No administrator or faculty member shall retaliate or otherwise discriminate against any student, employee or prospective employee because that individual has sought a religious accommodation pursuant to this policy.

It is the responsibility of the president of each university, and the executive director of the Board as to the central staff, to take such actions as are necessary to insure that the intent of this policy is implemented. In implementing this policy, the president of each university shall insure that the policy is included in the university catalog and in such other publications as will assure that all members of the university community are advised of its existence, and the manner in which information regarding its implementation may be obtained.

5.13 - Permanent Employment RecordsPersonnel files for appointed faculty are maintained in the College of Agriculture and Life Sciences by the Agricultural Administrative Services Office. Official employment files for such faculty are held at the University of Arizona Faculty Services office.Information specific to those appointed faculty having a federal appointment and relating to the factors influencing federal benefits and federal retirement is maintained in the Agriculture Administrative Services Office.

Faculty members may review these employment records to verify completeness by making an appointment to do so.

5.14 - Effective Documentation by Supervisory Personnel"Documentation" refers to a written record, often in memo form, of important information in a person's employment history (e.g., personnel status changes, important incidents which reflect on an employee's job performance, and disciplinary actions). It is equally as valuable in a volunteer's job related history.Documentation may consist of a supervisor's informal, hand-written notes, which will be retained in the supervisor's working file. Or, it may consist of a more formal, type-written memo which is to become a permanent part of the employee's personnel file. Either way, documentation is discoverable. In the event of legal action, it will in all likelihood be subpoenaed. Therefore, it must be appropriately drafted and maintained.Follow these guidelines when preparing documentation (especially disciplinary actions):

Document promptly, while memories are fresh. Focus on job-related standards and stick with facts. Seek to be accurate and specific. Write descriptive examples of behaviors; include dates, times, numbers or other information which supports your evaluation. Comments should directly apply to the employee's job responsibilities. Evaluations of personal traits may be viewed as unfair and lead to legal problems. Describe behaviors, not conclusions. For example, don't write: "John seemed hostile to the customer" (a conclusion). Instead, write: "John raised his voice and refused to listen to the customer's objections" (a series of behaviors). Behaviors should be directly observed. Hearsay is rarely appropriate in a performance document. An exception might occur if enough evidence from key people is collected. For example, "8 out of 9 participants reported that Mary would not take their questions."

Record the employee's side of the story in the documentation. This will demonstrate that the document is a neutral rendition of the facts and may show your concern for fairness.

5.15 - Cooperative Extension Policy on Lateral Moves for Appointed PersonnelAppointed personnel currently employed by Cooperative Extension may be considered for lateral position moves within Arizona when four conditions are met: 1) the move is rational in a programmatic sense, 2) the prospective host county indicates a desire for the individual to join the county faculty, 3) the individual desires the move, and 4) there will be no salary adjustment made as a result of the move, though consideration may be given to an allowance for moving expenses.

Personnel desirous of consideration for lateral moves should contact the Director of Extension.

5.16 - Restrictions Related to Federally Funded Extension AppointmentsThe Federal Administrative Handbook for Cooperative Extension Work stipulates in its Chapter III - Financial Operations the restrictions on the use of federal dollars as relate to salaries of Extension personnel.It states: Federal funds may not be used to pay salaries or wages for activities other than those specified in the acts authorizing Extension programs. When a person is employed jointly by the State Extension Service and a division of the University, Federal funds will be charged only for Extension's fair share of the salary cost.The percentage used to compute the actual payroll charge to Federal funds for each individual should be reviewed prior to the end of each fiscal year to assure that it coincides with the percentage of time actually spent by the employee on Extension programs and adjustments made accordingly.

In addition, Federal and offset funds may not be used for salaries or expenses relating to the offering or conducting of college courses of instruction for credit. Such funds may be used for non-formal (not for credit) education offerings conducted by Extension personnel for their clientele.

Cooperative Extension is the outreach arm of The University of Arizona - College of Agriculture and Life Sciences, in Tucson, Arizona.
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