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08/09/12ph
REGENTS’ POLICY
PART I – MISSION AND GENERAL PROVISIONS
Chapter 01.02 – General Provisions
P01.02.050. Restructuring.
A.
Actions of the board concerning restructuring of the university and university regulations
to implement restructuring shall control over any policy or regulation inconsistent with
the restructuring action or regulation.
B.
Policies and university regulations identified by the president as inconsistent with such
actions shall be brought to the attention of the board at its next regular meeting.
(06-04-87)
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REGENTS’ POLICY
PART II - ADMINISTRATION
Chapter 02.01 – University President
P02.01.050. Collective Bargaining Agreements.
The president is authorized to represent the board in collective negotiations with certified
collective bargaining units; however, no agreement resulting from such negotiations will be
binding on the board or the university until approved by the board.
(06-08-90)
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REGENTS’ POLICY
PART II - ADMINISTRATION
Chapter 02.02 - Officers of the University
P02.02.010. Academic Administration.
The president will be responsible for the efficient and effective operation and management of the
university’s educational programs. The president will recommend the structure of the academic
administration to be established by the board. The president will approve the appointment of the
academic officers and faculty of the university unless such responsibility is delegated elsewhere
in regents’ policy or university regulation.
(06-06-07)
P02.02.015. Chancellors. There are created the positions of Chancellor of the University of
Alaska Anchorage, Chancellor of the University of Alaska Fairbanks, and Chancellor of the
University of Alaska Southeast, who will be appointed by and report to the president.
Chancellors will be the chief academic and administrative officers of the unit for which the
chancellor is appointed and will perform such duties as may be assigned by the president.
(06-08-90)
P02.02.017. Chief Academic Officers.
A.
There is created the position of chief academic officer, who will be appointed by and
report to the president. The position will oversee the university’s educational programs,
and be assisted by the MAU chief academic officers. The chief academic officer shall
assist the president in:
1.
2.
3.
4.
5.
6.
7.
8.
B.
articulating the overall academic mission;
assigning the scope and responsibility for implementation of the mission;
the administration and supervision of overall planning for instructional, research
and creative activity, and public service programs;
academic development and program review;
advising the board on the status of current programs and the need for the addition
or deletion of programs;
facilitating student access to courses, programs, and academic support services;
the review, revision, and administration of faculty human resources policies and
procedures; and
consulting with systemwide governance on matters of academic policy.
As chief executive officer of an MAU, the chancellor will appoint a chief academic
officer for the MAU, following consultation with the president and the board in
accordance with the board bylaws on university personnel. This officer will be
responsible for supervision and implementation of the academic programs of the MAU.
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C.
The MAU chief academic officers will also be responsible for advising the chancellors
and the chief academic officer on the needs and condition of the academic programs of
the MAUs as well as the need for the addition or deletion of programs in an MAU service
area.
(06-06-07)
P02.02.020. Chief Finance Officer.
There is created the position of chief finance officer who will be appointed by and report to the
president of the university. The chief finance officer shall:
A.
advise the president, other university officers, and the board in matters related to finance
and business affairs;
B.
cause the business affairs of the university to be managed in an orderly, efficient, and
prudent manner, in accordance with federal and state statutes and regulations, regents’
policy and appropriate other regulations, procedures, and responsible business practices;
C.
cause to be maintained a system of procedures and accounting that provides for a
perpetual inventory of all permanent real and personal property, effective controls over
all funds received or receivable and other assets, and a complete record of all receipts,
disbursements and all other business transactions in conformity with generally accepted
accounting principles and practices;
D.
cause to be maintained all records that may be required by law, contract, or other
agreement;
E.
cause to be developed adequate financial statements and reports prepared in accordance
with pronouncements issued by the Governmental Accounting Standards Board, the
Financial Accounting Standards Board, and other applicable standards or regulations;
F.
provide for the completion of timely external and internal audits of the university’s
financial statements, records, receipts, and disbursements;
G.
cause to be developed such operating and capital budgets required by the state of Alaska
and sound institutional practices;
H.
cause to be developed a long-term financial plan that provides for financial stability and
is responsive to future university needs;
I.
cause to be maintained a comprehensive development program for all investment lands,
including endowment and trust properties;
J.
cause to be maintained investment policies and strategies for all university and
foundation liquid assets and oversee and report on the performance of the investment
decisions;
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K.
cause to be maintained an effective risk management program including insurance,
general safety, environmental health and safety, loss prevention, and claims management;
L.
cause procurement and asset disposal activities to be conducted in accordance with
applicable statutes, regulatory procedures and governmental practices for purposes of
obtaining the best available value on a competitive basis; provide for the development of
draft regents’ policy and university regulation and authorize the issuance of authoritative
procedures, directives, and manuals required to meet the responsibilities of the position;
M.
cause to be maintained debt financing strategies and oversee and manage all university
debt in accordance with federal and state statutes and regulations and regents’ policy;
N.
direct the withholding or limiting of procurement, hiring, disbursement or receipt
authority for purposes of maintaining fiscal control;
O.
authorize the establishment of auxiliary service enterprises and monitor and report on the
financial performance of these operations;
P.
serve as comptroller for the purposes of AS14.40.300; and
Q.
perform such other duties as may be prescribed by the president.
(09-27-96)
P02.02.030. General Counsel.
There is created the position of general counsel who will be appointed by and report to the
president and will serve as the chief legal officer of the board and the university. The general
counsel shall:
A.
supervise and administer the legal affairs of the board and university, which will include
the provision of legal services to the board and university, direction of administrative
agency and judicial matters involving the board and the university, and the retention of
all legal counsel on behalf of the board and the university; and
B.
perform such other duties as may be prescribed by the board or president.
(09-27-96)
P02.02.040. Chief Human Resources Officer.
There is created the position of chief human resources officer who will be appointed by and
report to the president and will serve as the chief human resources officer of the university. The
chief human resources officer shall:
A.
administer the university human resource program including, compensation planning,
faculty and staff benefits, training, and development;
B.
coordinate the development and implementation of regents’ policy and university
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regulation regarding human resources; administer and interpret human resources policy
and university regulation;
C.
be responsible for the issuance of authoritative procedures, directives, and manuals
required to meet the responsibilities of the position;
D.
coordinate workforce planning;
E.
assist the board and the president in the recruitment and selection of university officers;
and
F.
perform such other duties as may be prescribed by the president.
(09-27-96)
P02.02.045 Executive Director of Labor and Employee Relations Officer
There is created the position of executive director of labor and employee relations officer
who will be appointed by and report to the president and will serve as the executive director of
labor and employee relations for the university. The executive director of labor and employee
relations officer shall:
A.
administer the university labor and employee relations program including, collective
bargaining agreements with recognized groups, grievance administration, discipline and
discharge, faculty and staff relations, negotiations, and performance management;
B.
coordinate the development and implementation of regents’ policy and university
regulation regarding labor and employee relations; administer and interpret university
labor and employee relations policy and regulation;
C.
be responsible for the issuance of authoritative procedures, directives, and manuals
required to meet the responsibilities of the position;
D.
coordinate negotiations with recognized groups;
E.
perform such other duties as may be prescribed by the president.
P02.02.050. Chief University Relations Officer.
There is created the position of chief university relations officer who will be appointed by and
report to the president and will serve as the chief officer of the university for internal
communications and external relations. Responsibilities, duties and powers of the chief
university relations officer are to:
A.
be responsible for university public affairs, government relations, and development;
B.
represent the board, the president and the university with external constituencies,
including local, state and federal government, news media, community and business
groups and national educational public relations, government relations and development
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organizations;
C.
coordinate the development and implementation of systemwide policies and guidelines
for the solicitation of private funds;
D.
direct systemwide fundraising activities in coordination with the campus staff and the
University of Alaska Foundation; and
E.
perform such other duties as may be prescribed by the president.
(09-27-96)
P02.02.070. Chief Information Technology Officer.
A.
B.
There is created the position of chief information technology officer, who will be
appointed by and report to the president. Responsibilities, duties, and powers of the
CITO are to:
1.
advise the president, other university officers, and the board in matters related to
information technology systems and services; be responsible for the university
core information systems and services infrastructure including the integrity of
data and the security of systems and services;
2.
be responsible for and coordinate the development and implementation of
systemwide information technology standards subject to regents’ policy and
university regulation;
3.
oversee budget development, allocation coordination, and implementation of
information technology capacities;
4.
represent the university with external
telecommunications agencies and companies;
5.
administer and guide interpretation of regents’ policy and university regulation
concerning information technology;
6.
ensure effective procedures and controls for telecommunications, hardware and
software purchases, and software license compliance;
7.
develop and maintain consistent measures for delivery of information technology
services across the system;
8.
coordinate with the campuses for planning and adopting best practices in the
management of information technologies and services; and
9.
perform such other duties as may be prescribed by the president.
information
technology
and
The CITO shall make sure procedures are in place at the appropriate level for suitable
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review and approval of investments in information systems and contracts for information
and telecommunications services to ensure that investments are aligned with boardapproved strategic plans. The CITO shall ensure review and approval is balanced with
reasonable latitude for information technology acquisitions to meet unique research and
academic needs.
C.
In this section, “CITO” means the chief information technology officer created in A. of
this section.
(02-17-05)
P02.02.080. Chief Planning and Budget Officer.
There is created the position of chief planning and budget officer, who will be appointed by and
report to the president. The chief planning and budget officer shall:
A.
provide leadership for and advise the president, university officers, and the board on
matters relating to the university’s budget, strategic planning, and accountability
processes;
B.
develop the operating and capital budgets required by the state and sound institutional
practices;
C.
develop a long-term strategic and corresponding financial plan which provides for
financial stability and is responsive to future university needs;
D.
maintain a system of planning, performance assessment, and accountability processes to
demonstrate effective alignment of institutional resources and activities with board
strategic direction;
E.
maintain system-wide management information in support of ongoing accountability
expectations, strategic planning, and decision making processes; and
F.
perform other duties that may be prescribed by the president.
(06-06-07)
P02.02.090. Chief Administrative Officer.
There is created the position of chief administrative officer, who will be appointed by and report
to the president. The chief administrative officer shall advise the president, university officers,
and the board and oversee systemwide operations in the areas of finance, human resources,
facilities, risk management, land management, procurement, investment, and internal audit. This
authority may be delegated to appropriate MAU officers.
REGENTS’ POLICY
PART II - ADMINISTRATION
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Chapter 02.07 - Information Resources
P02.07.050. Standards for User Conduct.
Users:
A.
by virtue of their use of information resources agree to comply with this chapter and
university regulation;
B.
shall obtain proper authorization to use information resources;
C.
shall use information resources in a responsible manner, which includes respecting the
rights of other users, the integrity of the controls and physical facilities, and compliance
with license or contractual agreements, regents’ policy, university regulation, and local,
state, and federal law; and,
D.
shall avoid disruption or threat to the viability of information resources and similar
resources to which they are connected.
(02-18-00)
P02.07.060. Protection and Enforcement.
A.
The university shall establish procedures designed to protect information resources from
inappropriate disclosure, misrepresentation, unauthorized access, alteration, or
destruction, whether deliberate or unintentional. The university does not, however,
undertake responsibility for protecting individuals against the existence or receipt of
material that may be offensive to them or harmful to equipment, software or data. The
university shall establish procedures for securing its information resources against
unauthorized access or abuse to a reasonable and economically feasible degree.
B.
Violations of the standards for user conduct:
1.
may subject employees to disciplinary action including termination;
2.
may subject students to disciplinary action including expulsion according to the
Student Code of Conduct procedures; and
3.
may also subject violators to criminal prosecution.
C.
All users should be aware that violations of copyright laws may also subject them and the
university to substantial legal liabilities. Information Resources Personnel may
implement measures, including temporary revocation of access and other protective
action, to protect against disruption or damage to the university's information resources or
alleged or perceived violations of copyright laws or other liabilities.
D.
Only to the extent that there is a need to know in order to protect the privacy of data and
communications, address a malfunction, maintain the secure and efficient operation of
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the system or avoid potential legal liability relating to the operation of the Information
Resources system, Information Resources Personnel at the university may access the
content of electronic communications and copy and examine any files or other
information resident on or processed through Information Resources.
E.
Information resources personnel shall, to the extent practicable, maintain confidentiality
of files and information, other than evidence of conduct threatening the security of
information resources, that are accessed pursuant to subsection D of this section. If,
however, the director of information resources or the person fulfilling that function, in
consultation with university general counsel, concludes that files or information resident
on or processed through university systems suggest the reasonable possibility of a
violation of state or federal statute or regulation, regents’ policy , or university regulation,
such files and information may, subject to subsection G. of this section, be disclosed to
university personnel or law enforcement authorities without a search warrant.
F.
Information Resources Personnel shall comply with all federal and state statutes and
regulations that limit access to, or establish prerequisites to accessing or disclosing, files
and information, including that pertaining to confidential or proprietary research, resident
on or processed through Information Resources.
G.
Subject to the qualifications set out in E. of this section, users may have a reasonable
expectation of privacy in personal information unrelated to employment contained on
information resources or in files devoted primarily to the user. University personnel,
other than Information Resources Personnel, may not access or monitor information for
which a user has a reasonable expectation of privacy that is residing on or transiting
through the Information Resources system without a reasonable basis for suspecting that
evidence of misconduct will be found.
H.
Information resources personnel may not access the content of electronic
communications or copy or examine any files or other information resident on or
processed through Information Resources except as authorized by subsection D. of this
section or upon a valid request made in accordance with regents’ policy or university
regulation, or as required by state or federal law.
(02-18-00)
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UNIVERSITY REGULATION
PART II – ADMINISTRATION
Chapter VII – Information Resources
R02.07.050. Standards for User Conduct.
Users are responsible for obtaining authorization for access to information resources. Use must
be responsible and in accordance with state and federal law, regents' policy, university
regulation, obligations of written agreements entered into by the university, MAU rules and
procedures, relevant acceptable use policies and any written agreements entered into by the user.
(01-31-01)
R02.07.051. Use Guidelines.
Failure to act in accordance with the following general guidelines applied to the networked
computing environment constitutes misconduct and may constitute a crime. Users are expected
to:
A.
recognize that the laws, regents' policy, and university regulation governing conduct
generally, also govern activities conducted on information resources and not assume that
because something is technologically possible that it is legal, ethical or authorized;
B.
respect others' privacy and the right to freedom from harassment and intimidation and
know that using of information resources to harass or disrupt the work of others is
prohibited;
C.
respect copyright and other intellectual property rights; copying files or passwords
belonging to others or to the university may violate copyright law or constitute plagiarism
or theft; software licensed by the university or otherwise resident on university equipment
must be used in accordance with any applicable license agreement; violations of the
terms of software license agreements are not within the scope of university employment
and constitute misconduct; the university may require violators to reimburse and pay
fines or damages and impose disciplinary action up to and including dismissal from
employment or expulsion from the university;
D.
know that any modification of information resources without authorization, including
altering data, introducing viruses, or damaging files is prohibited;
E.
clearly and accurately identify the author in all communications; concealment or
misrepresentation of an author's name or affiliation to mask irresponsible or offensive
behavior is a serious abuse; appropriating the identifiers of other individuals to
misrepresent authorship or ownership constitutes fraud;
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F.
obtain authorization to access information resources as established in MAU rules and
procedures or by the information resource personnel with authority to manage the
information resource;
G.
maintain the integrity of passwords and other security technologies; users must not evade,
disable, or crack password or other security provisions; or circumvent, alter, or disable
access permissions, records of them, or technologies implementing access restrictions;
users must not share individual account passwords unless willing to accept responsibility
for actions of those with whom the passwords are shared;
H.
use resources efficiently and adhere to limitations or restrictions on computing resources,
such as storage space, time limits, or amount of resources consumed, when asked to do so
by the managers of information resources; objections to such restrictions may
appropriately be brought to the proper authority, but this does not remove the user’s
obligation to adhere to restrictions in force;
I.
recognize the limitations on privacy inherent within the electronic environment and know
that
J.
1.
intended security of electronic files may be compromised;
2.
network communications and the actions of users on many shared information
systems are routinely logged and archived;
3.
information “deleted” by users may nevertheless be preserved in routine backup
files, archives, or audit trails;
4.
information resources personnel may view the contents of files as part of their
responsibilities;
5.
in some circumstances, law enforcement officials may receive access to users’
files and records;
to the extent possible, take steps in advance to assure that university information in
encrypted format or otherwise protected from access can be accessed by university
personnel who are authorized to do so pursuant to regents' policy and university
regulation; to the extent possible, provide encryption keys and passwords to appropriate
university personnel in response to legitimate requests or direction.
(01-31-01)
R02.07.052. External Systems.
Users' responsibilities extend to cover systems outside the university when accessed via
university information resources; for example, electronic mail or remote logins using the
university’s internet connections. Network or computing providers outside the university may
additionally impose their own conditions of appropriate use, for which users are responsible.
(01-31-01)
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R02.07.053 Personal Use of University Information Resources.
A.
Employees, including student employees, do not have an inherent right to use information
resources for personal purposes. Campuses or departments may prohibit or restrict use of
information resources for personal purposes. Any such prohibition or restriction must, as
a legal matter, not be motivated by any illegal reason. Any such prohibition or restriction
should, as an internal management matter, be reasonable in light of specific needs or
mission and shall be in writing.
B.
To the extent not otherwise restricted or prohibited, employees, including student
employees, are authorized to use information resources for personal noncommercial
purposes, so long as the use is consistent with regents' policy, university regulation,
MAU rules and procedures, state and federal law and management directives.
C.
The Alaska Executive Branch Ethics Act (Alaska Statute 39.52) applies to all university
employees. The Act prohibits the use of state or university information for the personal or
financial benefit of an employee, family member or cohabitant of the employee, unless
the information has been "publicly disseminated" as that term is defined by state
regulation. Employees are expected to comply with the Alaska Executive Branch Ethics
Act and associated regulations. Extreme care should be exercised to make sure that
university information has been publicly disseminated before it is used for such personal
or financial benefit.
D.
The Alaska Executive Branch Ethics Act also prohibits employees from using university
resources, which would include information resources, for any commercial purpose. The
General Counsel has concluded that this restriction prohibits employees from gaining any
commercial advantage from use of information resources that would not otherwise be
available to the employee without the employee incurring additional cost and from
making any use of information resources for a commercial purpose that would cause the
university to incur any additional cost.
E.
The Alaska Executive Branch Ethics Act does not apply to students in their capacity as
students.
(01-31-01)
R02.07.054. Content Restrictions.
Managers of information resources may impose on shared information resources under their
management constraints and measures designed to maintain system functionality and to assure
data integrity and security. Such constraints and measures may lead to limits or restrictions on
some types of activities. Restrictions based solely on the content of information must not conflict
with the academic mission of the university and right to individual freedom of expression.
Content restrictions are thus appropriate only in specific limited circumstances, such as the
following:
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A.
Limited-Public Forums
Limited-public forums, as distinguished from private communication or public forums,
may have content restrictions so long as they are based on topic rather than viewpoint. A
discussion forum, for example, maintained specifically for the discussion of mineral
resource distribution might, to keep discussions on the intended subject, reasonably
prohibit discussion of the politics of states containing the resources or financial data on
companies mining resources.
B.
Sending Messages to Large Mailing Lists
Information resources personnel may adopt guidelines for the use of large mailing lists
for unsolicited messaging which take into account the likely demand on resources,
including resources required to respond to problems or complaints, relation of the sender
to recipients, and appropriateness for the intended use of the system.
C.
Harassing Messages
Harassing messages or public displays may be restricted and removed from University
information systems.
D.
Disproportionate or Debilitating Amount of Resources
Forms of activity in a networked environment that utilize a disproportionate or
debilitating amount of resources.
E.
Commercial Sites
Company logos or hypertext links to commercial sites on university publications,
including institutional web sites, may appear to be commercial endorsements of products
or services. Information resources personnel may direct that such references be clarified
or removed.
F.
Illegal Content
Illegal content, including obscene material, child pornography, efforts to incite violence,
or communications in furtherance of conspiracy to commit a crime, is prohibited.
(01-31-01)
R02.07.061. Protection.
Each MAU shall establish rules and procedures, and shall follow practices designed to protect, to
a reasonable and economically feasible degree, information resources from deliberate or
unintentional inappropriate disclosure, misrepresentation, unauthorized access, alteration, or
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destruction. The university does not, however, undertake responsibility for protecting
individuals against the existence of or receipt of material that may be offensive to them or
harmful to equipment, software or data.
(01-31-01)
R02.07.062. Enforcement.
A.
B.
Violations of the standards for user, university personnel, and information resources
personnel conduct that are set out in this chapter, other regulations, regents’ policy, MAU
rules and procedures, and other laws, may:
1.
subject employees to disciplinary action including termination;
2.
subject students to disciplinary action including expulsion according to the
Student Code of Conduct procedures;
3.
result in temporary or permanent denial of access to information resources; and
4.
subject violators to criminal prosecution.
Violations of copyright laws may also subject a user and the university to substantial
legal liabilities.
(01-31-01)
REGENTS’ POLICY
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PART IV – HUMAN RESOURCES
Chapter 04.01 - Uniform Personnel System
P04.01.010. Human Resources Mission Statement.
The statewide office of human resources and the regional human resources offices contribute to
the university's missions of teaching, research and public service by providing benefits and
services that help to attract, motivate and retain a talented, committed, and diverse workforce. To
encourage excellence, the statewide office promotes fair treatment, provides for continuing
opportunities for training and development, values and recognizes productivity and achievement,
and respects the worth and dignity of all individuals who comprise the university’s workforce.
The statewide office is established to provide services that enhance productivity through human
resource management within the university by developing and implementing programs and
services to meet institutional needs; and will propose and maintain university regulation and
procedures governing employee relations consistent with the university's goals.
(06-20-97)
P04.01.020. Nondiscrimination Statement.
Discrimination in employment against any individual because of race, color, religion, national
origin, age, sex, sexual orientation, veteran status, physical or mental disability, marital status or
changes in marital status, pregnancy or parenthood is prohibited. Decisions affecting an
individual's employment will be based on the individual's qualifications, abilities and
performance, as appropriate.
(02-18-11)
P04.01.030. System Establishment and Maintenance.
Criteria for the establishment and maintenance of the university uniform personnel system will
be established by university regulation.
(08-19-94)
P04.01.050. Types of Employment.
A.
Officers of the University and Senior Administrators. The president will designate by
university regulation those positions to be placed in the Officers of the University and
Senior Administrators category.
B.
Faculty. Faculty positions are defined in P04.04.030.
C.
Staff. Staff positions are designated exempt or nonexempt in accordance with the Fair
Labor Standards Act.
D.
Casual Labor. Casual labor is nonexempt temporary employment on an emergency basis.
E.
Student Employment. Student employment is nonexempt, temporary employment.
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(06-06-07)
P04.01.055. Termination.
A.
At-will employment is an employment relationship that either the employee or the
university may terminate at any time for any reason or no reason with such notice as may
be required by regents’ policy and university regulation. The processes contained in
R04.01.050 are the exclusive review procedures available for all terminations of at-will
employees.
B.
Temporary, extended temporary, adjunct, student, casual labor, regular new hire
probationary employees and those positions designated by the president as officers and
senior administrators of the university are employed at-will. A new employee in a
regular position, including an individual with a break in university service greater than 10
business days, is also considered at-will for the duration of the probationary status.
C.
Employment not established as at-will entitles the employee to such notice and appeal
processes as specified by regents’ policy and university regulation.
(06-06-07)
P04.01.060. Contents of Personnel Files.
The information to be contained in the official personnel records of the university will be
established by university regulation. These records will be maintained at the employee's MAU
human resources office, or at such place or places as specified at the employee's MAU human
resources office.
(08-19-94)
P04.01.061. Access to Personnel Files.
An employee will have the right to examine the employee’s official personnel file at any time
during normal business hours upon submission of advance written request to the MAU human
resources office. An employee will have the right to a copy of the employee’s own file upon
submission of advance written request to the regional human resources office.
(06-20-97)
P04.01.062. Confidentiality of Personnel Records.
A.
Dates of present and past employment with the university, position title, type of
employment, campus, and salary are public information. The university adopts the policy
of AS 39.25.080 so that all other personnel records, including but not limited to
applications, leave records, home address and telephone number, performance
evaluations and disciplinary matters, relating to any past or present employee of the
university are not public records and are not accessible by the public. Personnel records
will be released only under the following circumstances:
1.
upon receipt of written authorization from the employee, former employee, or
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applicant, as directed in the authorization;
2.
to the employee’s supervisors and to university supervisors to whom the
employee or former employee has applied for promotion, transfer or rehire;
3.
to a state agency authorized by statute to review such university documents upon
receipt of a subpoena issued by a competent authority and upon execution of an
agreement that confidential information will not be made public;
4.
upon receipt of an order of a court of competent jurisdiction;
5.
for internal university operations, to persons having a need to know as determined
by the regional human resources officer or the custodian of the record.
B.
A request not covered by A.1-5 of this section will be addressed to the MAU human
resources director. The MAU human resources director or designee shall review the
request and may approve the release if that release is in the best interest of the university
and can be accomplished without violation of the employee’s, former employee’s, or
applicant’s right to privacy.
C.
Notwithstanding the provisions of this section, a supervisor or human resources office
may disclose information about the job performance of an employee or former employee
to a prospective employer upon request. Any information provided must be given in
good faith and must be factual.
(06-20-97)
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UNIVERSITY REGULATION
PART IV – HUMAN RESOURCES
Chapter 04.01 - Uniform Personnel System
R04.01.030. System Establishment and Maintenance
The Statewide Office of Human Resources will have overall responsibility for coordination and
maintenance of a uniform personnel system, and is empowered to review actions taken and to
enforce compliance with policy or regulation.
(08-19-94)
R04.01.050. Types of Employment
A.
At-Will Employment
At-will employment is employment that is designated as at-will in Regents’ Policy,
University Regulation, or in a written employment contract.
Employment designated as at-will employment may be terminated for any reason not
prohibited by law or for no reason. In the event of a decision to terminate at-will
employment, the supervisor will provide the employee with a written notice of
termination. The notice need not state any reasons for the termination.
The university may elect to give pay in lieu of all or any portion of any notice period that
may be required. If such an election is made at the time notice is given, the notice should
state such election. Directives and/or instructions related to the termination or the
university’s expectations of the employee during any remaining term of employment may
be included in the notice or stated orally or in a separate writing.
Complaints or disputes related to dismissal of probationary or other at-will employees are
not subject to any grievance procedure and will be addressed as set forth below:
1. The employee will submit a statement of all reasons for questioning the validity of or
motivation for the at-will termination, and such supporting evidence as the employee
deems appropriate, to the director of the human resources office at the major
administrative unit.
2. The director, designee, or in appropriate cases a substitute (hereafter referred to as
director) may decide the issues raised on the basis of the materials submitted. The director is
never obligated to provide for a different procedure, but may elect to do so with respect to
some or all of the issues raised, by creating a new procedure, or by adopting or by modifying
an existing procedure.
3. In the event that the matter is not decided on the basis of the materials submitted, the
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director or designee will inform the employee in writing of the procedure to be followed.
4. At the conclusion or expiration of all available steps in the process that is followed, the
employee will be advised in writing of the final decision of the University. In most cases it
will be sufficient that the final decision state:
“This decision is the final decision of the University. Any appeal
of this decision must be filed with the Superior Court for the State
of Alaska within 30 calendar days of the date of this decision
pursuant to Alaska Rule of Appellate Procedure 602.”
B.
For Cause Employment
The University designates employment not established as at-will to be for cause. For
cause employment entitles the employee to notice and appeal processes as follows:
1. In the event the University decides to pursue a for cause termination of employment, the
supervisor will provide the employee with a written statement of the reason(s) for the
planned action and a statement of the evidence supporting the reason(s) for the planned
action. The procedure set forth in University Regulation 04.08.080 shall be followed, and
notice of the employee’s right to request a hearing in accordance with that procedure will
be given at the time the employee is notified of the University’s intention to initiate a
termination for cause.
2. In the event of layoff, non-retention, or financial exigency the supervisor shall provide
notice of termination as set forth in the applicable Regents’ Policy and/or University
Regulation. Review shall be set forth in the Regent’s Policy or University Regulation
applicable to the particular type of termination.
Where the applicable Regents’ Policy or University Regulation does not specify a
review process, e.g., Regulation 04.07.100 – Nonretention, the grievance process
set forth in University Regulation 04.08.070 shall apply.
A decision relating to termination of employment that is designed in writing as the “final
decision” of the University may be appealed to the Superior Court for the State of Alaska
within 30 calendar days of the final decision pursuant to Alaska Rule of Appellate
Procedure 602.
C.
Officers of the University and Senior Administrators
The official list of Officers of the University and Senior Administrators
(Executive Management), as designated by the president of the university, is
maintained and available upon request from the Statewide Office of Human
Resources.
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D.
Faculty
See Regents’ Policy 04.01.050.B.
E.
Adjunct Faculty
See Regents’ Policy 04.01.050.B.
F.
Exempt Jobs
See Regents’ Policy 04.01.050.C.
G.
Nonexempt Jobs
See Regents’ Policy 04.01.050.C.
H.
Casual Labor
See Regents’ Policy 04.01.050.D.
(02-22-01)
R04.01.060. Contents of Personnel Files
A.
The selection of records to be maintained in the official personnel file will be consistent
with federal and state law. Included material should document employment history and
directly reflect employment-related events.
B.
The contents of the official personnel file will be considered in making personnel
management decisions relevant to the employee. Information such as medical records,
disability accommodations, immigration forms, government or court ordered payroll
actions, will be maintained separate from the official personnel file.
C.
Anonymous material will not be placed in an official personnel file. If anonymous
material is found in a personnel file, it will be removed immediately.
D.
An employee may request that a written response to information contained in his/her file
be placed in his/her official personnel file.
E.
The official personnel file consists of the following:
1.
Information relating to the employee’s original hire, such as application material
(excluding voluntary self-identification information), curriculum vitae,
transcripts, and hire documents including benefit enrollment forms and
appointment letters.
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2.
Revisions relating to the individual’s employment status.
3.
Performance evaluations, letters of recognition, official reprimands, including
notices of unsatisfactory performance; disciplinary action, and any other
appropriate material relating to the employee’s job performance. A copy of this
material must be given to the employee prior to inclusion in the file.
4.
Employee responses to the above.
5.
Training records and certifications and unemployment documentation.
6.
Written documentation of faculty workload and evaluations relating to promotion,
retention, tenure, and contractual obligations will be maintained by the
appropriate academic office and are considered to be part of the faculty member’s
official personnel file.
7.
The Medical Records File contains all confidential medical information related to
employment. Access to and use of information contained in the file will only be
as provided by applicable law. Authorized university personnel may examine or
copy this file for routine administrative purposes without notification to the
employee.
If a representative of an appropriate government agency requests access to the
Medical Record File, the university will make every effort to notify the
employee(s) of the request in a timely manner. Other persons may have access to
the Medical Record File only as provided by law, with notification to the
employee.
8.
Records required or allowed by a collective bargaining agreement.
F.
Unauthorized or anonymous material will be removed from the official personnel file.
G.
A unit or department may maintain files containing information needed for efficient and
convenient operation; however, these files are not official personnel files.(11-19-99)
R04.01.062. Confidentiality of Personnel Records
If a request for disclosure of public information contained in the personnel records is received
from persons other than those determined by the custodian of the record to have a need to know,
a reasonable effort will be made to advise the affected employee of the request prior to the
disclosure.
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REGENTS’ POLICY
PART IV – HUMAN RESOURCES
Chapter 04.02 - General Personnel Policies
P04.02.010. Equal Employment Opportunity and Affirmative Action: Statement of Intent.
The board recognizes that discrimination in employment practices has in the past foreclosed
economic opportunity to a substantial number of persons in the United States. The board is
committed to oppose illegal employment discrimination and to prohibit it within the university.
In addition to prohibiting illegal employment discrimination, as a part of its commitment to equal
employment opportunity, the board is committed through an affirmative action program, to
recruit, employ and promote qualified “protected class” persons who have been historically
under-represented in the workforce.
(06-06-07)
P04.02.012. Equal Employment Opportunity Program.
The program of equal employment opportunity consists of two parts: nondiscrimination and a
program of affirmative action.
A.
Nondiscrimination
1.
In accordance with federal and state laws and regulations, the university will not
engage in impermissible discrimination. In accordance with federal and state law
and regulation, the university makes its programs and activities available without
discrimination on the basis of race, religion, color, national origin, citizenship,
age, sex, disability, veteran status, marital status, changes in marital status,
pregnancy, or parenthood. Among the federal and state laws and regulations
prohibiting discrimination in employment that pertain to the university as of
August 2012 are:
Equal Pay Act of 1963
Title VI and Title VII of the Civil Rights Act of 1964
Executive Order 11246
Age Discrimination in Employment Act of 1967
Title IX of the Education Amendments of 1972
Section 504 of the Rehabilitation Act of 1973
Vietnam Era Veterans' Readjustment Assistance Act of 1974
Pregnancy Discrimination Act of 1978
Immigration Reform & Control Act of 1986
Civil Rights Restoration Act of 1987
Americans with Disabilities Act of 1990
ADA Amendments Act of 2008
Age Discrimination Act of 1975
Alaska Statute 14.40.050 and 18.80.220.
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Genetic Information Nondiscrimination Act of 2008
Lilly Ledbetter Fair Pay Act of 2009
Uniformed Services Employment and Reemployment Rights Act
2.
B.
Individual merit will be considered by the university. University hiring decisions
will be based on the individual's qualifications, demonstrated abilities, and
performance, as appropriate.
Affirmative Action
The university seeks to hire, train and promote individuals based on qualifications and
demonstrated ability to perform the job. In its commitment to affirmative action, the
university is committed to recruit and retain women and minorities in positions of
employment where they have been traditionally under-represented. The concept of
affirmative action requires that practices that adversely impact protected classes should
be eliminated unless the university can demonstrate a legally permissible basis. To
accomplish the goals of its affirmative action program, the university encourages
employment applications from and makes special efforts to recruit protected classes.
(06-06-07)
P04.02.014. Implementation.
The president and the chancellors are responsible for planning, implementing, and monitoring an
effective program of equal employment opportunity. The president and each chancellor will
provide an annual report to the board with regard to the effectiveness of their respective equal
employment opportunity program.
(06-20-97)
P04.02.020. Discrimination.
A.
The university will not permit or tolerate discrimination that creates an intimidating,
hostile, or offensive working or learning environment, or that interferes with an
individual’s performance. The university recognizes that conduct which constitutes
discrimination in employment or educational programs and activities is prohibited and
will be subject to corrective and/or disciplinary action.
B.
Discrimination refers to being adversely treated or affected, either intentionally or
unintentionally, in a manner that unlawfully differentiates or makes distinctions on the
basis of the individual’s legally protected status or on some basis other than an
individual’s qualifications, abilities and performance, as appropriate. The university will
vigorously exercise its authority to protect employees and students from discrimination
by agents or employees of the university, students, visitors and guests.
C.
Nothing contained in this policy will be construed or applied to limit or abridge any
person's constitutional right to freedom of expression or to infringe upon the legitimate
academic freedom or right of due process of any member of the university community.
Principles of academic freedom and freedom of expression require tolerance of the
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expression of ideas and opinions even though they may be offensive to some. However,
ideas and opinions must be expressed in a manner that does not create an intimidating,
hostile, or offensive working or learning environment or unreasonably interferes with an
individual’s performance. The university upholds and adheres to principles of academic
freedom and the laws prohibiting discrimination in employment and education.
D.
Individuals who believe they have been subjected to discrimination are encouraged to
bring this behavior or action to the attention of an employee or faculty member who is in
a position to assist in addressing the concern. The affirmative action officer, human
resources or student affairs officer, or designee, as appropriate, will mediate disputes,
receive complaints, obtain process information, or discuss resolution options regarding
discrimination complaints.
E.
The university cannot guarantee confidentiality in connection with complaints alleging
discrimination; however, all university employees and students are expected to make a
reasonable effort to protect the legitimate privacy interests of involved persons consistent
with their obligation to inform the accused.
F.
Nothing in this policy will be construed or applied to create a right to an award of
damages or other monetary compensation against the university or university employees
beyond any existing under state or federal law.
(06-06-07)
P04.02.022. Sexual Harassment.
A.
The university will not tolerate inappropriate sexual or sexually harassing behavior and
seeks to prevent such conduct toward its students, employees and applicants for
employment. Violation of this policy may lead to discipline of the offending party.
B.
Since some members of the university community hold positions of authority that may
involve the legitimate exercise of power over others, it is their responsibility to be
sensitive to that power. Faculty and supervisors in particular, in their relationships with
students and subordinates, need to be aware of potential conflicts of interest and the
possible compromise of their evaluative capacity. Because there is an inherent power
difference in these relationships, the potential exists for the less powerful person to
perceive a coercive element in suggestions regarding activities outside those inherent in
the professional relationship.
C.
It is the responsibility of faculty and staff to behave in such a manner that their words or
actions cannot reasonably be perceived as sexually coercive, abusive, or exploitative.
Sexual harassment also can occur in relationships among equals as when repeated
unwelcome advances, demeaning verbal behavior, or offensive physical or visual conduct
of a sexual nature interfere with an individual's ability to work or study productively.
Consensual sexual conduct that unreasonably interferes with other employees’ work or
creates a hostile, intimidating or offensive working or learning environment constitutes
sexual harassment for purposes of this policy.
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D.
The university is committed to providing an environment of study and work free from
sexual harassment and to ensuring the accessibility of appropriate procedures for
addressing all complaints regarding sexual harassment. Nothing contained in this sexual
harassment policy will be construed or applied to limit or abridge any person’s
constitutional right to freedom of expression or to infringe upon the legitimate academic
freedom or right of due process of any member of the university community.
(06-06-07)P04.02.024. Consensual Sexual Relations.
A.
Faculty members or staff who engage in sexual relations with students enrolled in their
classes or subject to their supervision, even when both parties have consented to the
relationship, will be engaging in unprofessional behavior.
B.
Supervisors who have authority or control over employees and engage in sexual relations
with those employees, abuse their power, even when both parties have consented to the
relationship.
(06-06-07)
P04.02.026.. Limitation of Liability.
Nothing in P04.02.020 - 04.02.026 will be construed or applied to create a right to an award of
damages or other monetary compensation against the university or university employees beyond
any existing under state or federal law.
(08-15-97)
P04.02.030. Reasonable Accommodation for People with Disabilities: Prohibition Against
Discrimination on the Basis of Disability.
All members of the university community have a right to a working and learning environment
free of all forms of illegal discrimination including discrimination against people with
disabilities. It is the university's intent that no employee, or user of university facilities, be
subjected to unlawful discrimination based on disability.
(06-06-07)
P04.02.032. Definitions.
In P04.02.030 - 04.02.038, unless the context requires otherwise:
A.
"ADA" means the federal law known as the Americans with Disabilities Act of 1990, as
amended;
B.
"ADA coordinator" means the individual designated by the president or designee;
to administer the university's disability discrimination compliance program C.
"affirmative
action officer," or “AAO” means the regional affirmative action officer, director, or
designee, whichever reference is applicable;
D.
"complainant" means the person or persons asserting a complaint;
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E.
F.
"person with a disability" means an individual who:
1.
has a physical or mental impairment that substantially limits one or more major
life activities;
2.
has a record of a physical or mental impairment that substantially limits one or
more major life activities; or
3.
is regarded as having a physical or mental impairment that substantially limits
one or more major life activities;
"reasonable accommodation" is any change or adjustment to a job or work environment
that permits a qualified applicant or employee with a disability to participate in the job
application process, to perform the essential functions of a job, or to enjoy benefits and
privileges of employment equal to those enjoyed by employees without disabilities.
;
G.
“reasonable accommodation resolution" means the process whereby the ADA coordinator
or AAO facilitates the development of an appropriate reasonable accommodation; and
H.
"respondent" means the university employee, officer, agent, or representative whose act
or failure to act is being disputed.
(06-06-07)
P04.02.033. Request for Accommodation.
A.
The purpose of this process is to educate the person or persons involved about the
applicable provisions of the law, to provide a non-retaliatory environment to determine
accommodations, and to initiate change in behavior, practice, or treatment that will lead
to a positive work environment.
B.
A university employee who believes that the employee requires accommodation must
present medical documentation to the employee’s immediate supervisor, with copies to
the AAO or designee, when the disability or need for accommodation is not known or
obvious to the supervisor.
C.
An informal complaint to the AAO must state the employee's name, and provide a
detailed description of the practice or action that allegedly requires accommodation or
constitutes discrimination on the basis of disability.
D.
No person who acts in good faith will be subject to restraint, interference, coercion,
reprisal, or retaliation for initiating a request or complaint or participating as a witness or
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in another capacity in any proceeding designed to foster compliance with this policy and
university regulation.
E.
In attempting to informally determine an appropriate accommodation or resolve a
complaint, the AAO will obtain and clarify relevant information from the employee, the
supervisor, the regional human resources officer, and other involved persons. The
outcome of a reasonable accommodation generally will not include documentation copied
to the personnel file or widespread distribution of decisions regarding any
accommodations made. However, any documentation relating to a disability, reasonable
accommodation, or complaint will be kept in a separate file apart from the employee's
personnel file.
(06-06-07)
P04.02.034. Formal Complaint.
An employee who claims to have been subjected to discrimination based upon a disability and
who has exhausted the reasonable accommodation process may initiate a written formal
complaint. Formal complaints must be presented to the ADA coordinator and must include, at a
minimum, the following information:
A.
the name of the complainant and the respondent;
B.
a clear and concise description of the event and the alleged discriminatory action or
conduct;
C.
date(s) of harm;
D.
E.
an explanation of the impact upon the complainant of the alleged discriminatory action or
conduct;
why the complainant believes the action taken against him/her was discriminatory;
F.
names of individuals who were treated more favorably (if applicable)
G.
a summary of attempts taken to resolve the complaint informally; and
H.
the remedy requested.
(06-06-07)
P04.02.035. Determination of Formal Complaint.
A.
The AAO and ADA coordinator are responsible for ensuring compliance with the
provisions in the Americans with Disabilities Act and other applicable laws in their
efforts to coordinate disputes involving people with disabilities within the university.
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B.
The ADA coordinator will determine whether there is reasonable basis to justify relief in
the form of a reasonable accommodation. If so, the ADA coordinator will identify
appropriate solutions, including recommendations for reasonable accommodation, and
report those recommendations to the respondent's immediate supervisor, regional human
resources office, and other appropriate administrative officers.
(06-06-07)
P04.02.036. Remedies.
A.
Unjustified delay or refusal to implement the solutions or the reasonable accommodations
recommended by the ADA coordinator may lead to referral to an appropriate
administrative officer to obtain proper and timely action. An employee who delays or
refuses unjustifiably to implement the recommendations is subject to disciplinary action.
B.
If the ADA coordinator determines that there is not cause to support a disability
discrimination complaint, the coordinator will notify the complainant in writing of that
determination and the reason therefore. The complainant may appeal the ADA
coordinator's determination or the respondent’s alleged improper action by submitting a
grievance to the grievance council at Step 3 of the grievance resolution process contained
in P04.08 and R04.08. The grievance must be filed within 45 working days of the date
on which the complainant received the ADA coordinator's written determination.
(06-06-07)P04.02.037. Confidentiality.
The university cannot guarantee confidentiality. However, all university employees are expected
to make a reasonable effort to protect the legitimate privacy interests of involved persons.
(06-06-07)
P04.02.038. Records Retention.
The affirmative action officer and ADA coordinator will maintain appropriate records
concerning complaints brought under the provisions of the informal and formal complaint
processes. These dispute resolution records are considered confidential under federal law and
will be maintained accordingly.
(05-04-99)
P04.02.039. Employee Financial Obligations to University
Payment of the employee's financial obligations to the university within a reasonable period as
may be determined by the regional human resources officer shall be a condition of employment
with the university.
P04.02.040. Drug-Free Workplace.
A.
The unlawful manufacture, distribution, dispensing, possession, or use by an employee of
a controlled substance as defined in Schedules I through V of Section 202 of the
Controlled Substances Act (21 USC 812), and as further defined by regulation at 21
C.F.R. 1308.11 - 1308.15 is prohibited in any workplace of the university.
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B.
All employees will abide by the terms of this policy as a condition of their employment
and will notify the university of any criminal drug statute conviction for a violation
occurring in the workplace no later than 5 working days after the conviction. Within 30
days of receiving the notice of conviction, the university will take appropriate personnel
action against the employee as prescribed by university regulation, up to and including
termination, or require the employee to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a federal, state, or
local health, law enforcement, or other appropriate agency.
C.
The university regulation implementing this section must provide for publishing a
statement to notify employees of this policy and to establish a drug-free awareness
program to inform employees about: the dangers of drug abuse in the workplace; the
university's policy of maintaining a drug-free workplace; any available drug counseling,
rehabilitation, and employee assistance programs and the penalties that may be imposed
upon employees for drug abuse violations occurring in the workplace.
D.
Each employee will be provided a copy of this policy and accompanying university
regulation.
(06-20-97)
P04.02.050. Employee Alcohol and Controlled Substances Testing.
A.
The university regulation implementing P04.02.040 and this section will at a minimum
provide for the establishment of alcohol and controlled substances testing programs as
required by law; the imposition of penalties on employees when tests exceed allowable
levels; compliance with reporting and record keeping requirements; dissemination to
affected employees of educational materials explaining the legal requirements, this policy
and university regulation; and provide for appropriate staff and supervisor training and
employee assistance programs. Collective bargaining units representing affected
university employees will be given written notice concerning the availability of this
information.
B.
All employees subject to laws mandating alcohol and controlled substances testing will
comply with such laws, this regents’ policy and university regulation as a condition of
their employment.
(06-06-07)
P04.02.070 Employee Work Activity Outside of Alaska
Employees who perform work outside the State of Alaska for a total of more than 30 work days
in any calendar year shall have the prior approval of the regional human resources officer or
delegee.
P04.02.080 Telework
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Work outside of the primary university-provided workplace during scheduled work hours for one
or more days a week on a regular basis requires prior approval of the regional human resources
officer or delegee.
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R04.02.032 Definitions
Reasonable accommodation may include:
1. providing or modifying equipment or devices,
2. job restructuring,
3. part-time or modified work schedules,
4. reassignment to a vacant position,
5. adjusting or modifying examinations, training materials, or policies,
6. providing readers and interpreters, and
7. making the workplace readily accessible to and usable by people with disabilities.
R04.02.037. Confidentiality
Exceptions to confidentiality:
1. supervisors and managers may be told about necessary restrictions on the work or duties of
the employee and about necessary accommodations;
2. first aid and safety personnel may be told if the disability might require emergency treatment;
and;
3. government officials investigating compliance with the ADA must be given relevant
information on request;
4. in accordance with state workers' compensation laws, state second injury funds, or workers'
compensation insurance carriers; and;
5. medical information for insurance purposes.
R04.02.039. Employee Financial Obligations to University.
A.
The university shall notify the employee in writing of the amount of the obligation
claimed, and request the employee to make acceptable arrangements for payment within
sixty (60) calendar days. The employee may file a grievance disputing the correctness of
the amount of the obligation claimed by the university.
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B.
Failure to make acceptable arrangements for paying the obligations within sixty (60)
calendar days of the written notification, or subsequent failure to live up to such
arrangements, shall constitute just cause for termination of employment.
C.
By accepting employment or continuing employment with the university, all employees
are deemed to have authorized the deduction, from their final checks for salary and
benefits, of any amount owed to the university by the employee.
R04.02.040. Drug-Free Workplace
Regents Policy 04.02.040 prohibits the unlawful manufacture, distribution, dispensing,
possession, or use by an employee of a controlled substance in any workplace of the university.
The following steps will be taken to provide a drug-free workplace.
A.
Each major administrative unit (MAU) will publish a statement notifying employees that
the violation of such prohibition will subject them to appropriate disciplinary action.
B.
Each MAU will establish a drug-free awareness program to inform employees about:
1. The dangers of drug abuse in the workplace;
2. The university's policy of maintaining a drug-free work-place;
3. The availability of drug counseling, rehabilitation and employee assistance programs;
4. The penalties that the university may impose for drug abuse violations occurring in the
workplace.
C.
D.
As a condition of employment, each employee shall abide by the terms of P04.02.040
and this regulation.
The university will take one or more of the following personnel actions against an
employee who violates P04.02.040 or this regulation:
1.
Require the employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved by the university.
2.
Impose a sanction up to and including termination for cause. 3.
.
Violations of policy or regulation which are also violations of federal or state law may be
referred to the appropriate agencies. In such situations, cases may proceed concurrently
at the university and in the criminal justice system.
E.
As a condition of employment, each employee shall notify the regional human resources
office in writing of any conviction for a violation of a criminal drug statute the workplace
no later than five calendar days after such conviction.
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1.
Within ten calendar days after the university learns of a conviction of an employee
who is engaged in the performance of an award of federal financial assistance, the
university shall give written notice to every federal agency on whose award the
convicted employee was working.
2. Within 30 calendar days after the university learns of a conviction, the university
shall take personnel action as prescribed in Paragraph D. above.
(06-20-97)
R04.02.050. Employee Alcohol and Controlled Substances Testing
A.
Definitions
For purposes of this regulation, the following definitions apply:
1.
"Alcohol" means the intoxicating agent in beverage alcohol, ethyl alcohol, or
other low molecular weight alcohols including methyl and isopropyl alcohol.
2.
"Alcohol use (or use alcohol)" means the drinking or swallowing of any beverage,
liquid mixture, or preparation, including any medication, containing alcohol.
3.
"Alcohol concentration" (or content) is the alcohol in a volume of breath
expressed in terms of grams of alcohol per 210 liters of breath as indicated by an
evidential breath test.
4.
"Commerce" means:
(1) any trade, traffic or transportation within the jurisdiction of the United States
between a place in a state and a place outside of such state, including a place
outside of the United States and
(2) trade, traffic, and transportation in the United States which affects any trade,
traffic, and transportation described in paragraph (1) of this definition.
5.
"Commercial motor vehicle" or "CMV" means a motor vehicle or combination of
motor vehicles used in commerce to transport passengers or property if the
vehicle
a.
has a gross combination weight rating of 26,001 or more pounds inclusive
of a towed unit with a gross vehicle weight rating of more than 10,000
pounds; or
b.
has a gross vehicle weight rating of 26,001 or more pounds; or
c.
is designed to transport 16 or more passengers, including the driver; or
d.
is of any size and is used in the transportation of materials found to be
hazardous for the purposes of the Hazardous Materials Transportation Act
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(49 U.S.C. 5103(b)) and which require the motor vehicle to be placarded
under Hazardous Materials Regulations.(49 CFR part 172, subpart F)
6.
"Confirmation (or confirmatory) drug testmeans a second analytical procedure
performed on a urine specimen to identify and quantify the presence of a specific
drug or metabolite..
7.
Confirmation (or confirmatory) validity test means a second test performed on a
urine specimen to further support a validity test result.
8.
Confirmed drug test means a confirmation test result received by an MRO from a
laboratory.
9.
Consortium/Third party administrator (C/TPA) means a service agent that provides
or coordinates one or more drug and/or alcohol testing services to DOT-regulated
employers. C/TPAs typically provide or coordinate the provision of a number of
such services and perform administrative tasks concerning the operation of the
employers' drug and alcohol testing programs. This term includes, but is not
limited to, groups of employers who join together to administer, as a single entity,
the DOT drug and alcohol testing programs of its members (e.g., having a
combined random testing pool). C/TPAs are not “employers” for purposes of this
part.
10.
"Controlled Substance" means marijuana, cocaine, opiates, amphetamines and
phencyclidine.
11.
Designated employer representative (DER) is an individual identified by the
employer as able to receive communications and test results from service agents
and who is authorized to take immediate actions to remove employees from
safety-sensitive duties and to make required decisions in the testing and
evaluation processes.
12.
Disabling damage means damage which precludes departure of a motor vehicle
from the scene of the accident in its usual manner in daylight after simple repairs.
(1) Inclusions. Damage to motor vehicles that could have been driven, but would
have been further damaged if so driven.
(2) Exclusions. (i) Damage which can be remedied temporarily at the scene of the
accident without special tools or parts.
(ii) Tire disablement without other damage even if no spare tire is
available.
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(iii) Headlight or taillight damage.
(iv) Damage to turn signals, horn, or windshield wipers which make them
inoperative.
13.
DOT Agency means an agency (or “operating administration”) of the United
States Department of Transportation administering regulations requiring alcohol
and/or drug testing. 49 CFR part 382 in accordance with part 40 is applicable to
the university.
14.
"Driver" means any person who operates a commercial motor vehicle. This
includes, but is not limited to: full-time, regularly employed drivers, casual,
intermittent or occasional drivers temporary, part-time, or leased drivers and
independent owner-operator contractors.
15
"
16.
“Licensed medical practitioner” means a person who is licensed, certified, and/or
registered, in accordance with applicable Federal, State, local, or foreign laws and
regulations, to prescribe controlled substances and other drugs.
17..
"Medical Review Officer" is a person who is a licensed physician and who is
responsible for receiving and reviewing laboratory results generated by the
university's drug testing program and evaluating medical explanations for certain
drug test results.
18.
"
"Performing (a safety-sensitive function) means a driver is considered to be
performing a safety-sensitive function during any period in which he or she is
actually performing, ready to perform, or immediately available to perform any
safety-sensitive functions.
19.
“Positive rate for random drug testing” means the number of verified positive
results for random drug tests conducted under this part plus the number of refusals
of random drug tests required by this part, divided by the total number of random
drug tests results (i.e., positives, negatives, and refusals).
20.
“Refuse to submit (to an alcohol or controlled substances test)” means that a driver:
(1) Fails to appear for any test (except a pre-employment test) within a reasonable
time, as determined by the university consistent with applicable DOT agency
regulations, after being directed to do so by the university. This includes the
failure of an employee to appear for a test when called by a C/TPA ;
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(2) Fails to remain at the testing site until the testing process is complete.
Provided, that an employee who leaves the testing site before the testing process
commences a pre-employment test is not deemed to have refused to test;
(3) Fails to provide a urine specimen for any drug test required by this regulation
or DOT agency regulations. Provided, that an employee who does not provide a
urine specimen because he or she has left the testing site before the testing process
commences for a pre-employment test is not deemed to have refused to test;
(4) In the case of a directly observed or monitored collection in a drug test, fails to
permit the observation or monitoring of the driver's provision of a specimen;
(5) Fail to provide a sufficient amount of urine when directed, and it has been
determined, through a required medical evaluation, that there was no adequate
medical explanation for the failure;
(6) Fail or declines to take a second test the employer or collector has directed the
driver to take;
(7) Fail to undergo a medical examination or evaluation, as directed by the MRO
as part of the verification process, or as directed by the DER. In the case of a preemployment drug test, the employee is deemed to have refused to test on this
basis only if the pre-employment test is conducted following a contingent offer of
employment;
(8) Fail to cooperate with any part of the testing process (e.g., refuse to empty
pockets when so directed by the collector, behave in a confrontational way that
disrupts the collection process); or
(9) Is reported by the MRO as having a verified adulterated or substituted test
result.
21..
"Safety-Sensitive Function" means all time from the time a driver begins to work
or is required to be in readiness to work until the time he/she is relieved from
work and all responsibility for performing work. Safety-sensitive functions shall
include:
a.
All time at an employer or shipper plant, terminal, facility, or other
property, or on any public property, waiting to be dispatched, unless the
driver has been relieved from duty by the employer.
b.
All time inspecting equipment as required by DOT regulations or
otherwise inspecting, servicing, or conditioning any commercial motor
vehicle at any time.
c.
All time spent at the driving controls of a commercial motor vehicle in
operation;d.
All time, other than driving time, in
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e.
.
f.
22.
or upon any commercial motor vehicle except time spent resting in a
sleeper berth as sleeper berth is defined by DOT regulations.
All time loading or unloading a vehicle, supervising, or assisting in the
loading or unloading, attending a vehicle being loaded or unloaded,
remaining in readiness to operate the vehicle, or in giving or receiving
receipts for shipments loaded or unloaded.
All time repairing, obtaining assistance, or remaining in attendance upon a
disabled CMV.
"Screening test (or initial test)" means;
a. In drug testing, a test to eliminate “negative” urine specimens from further
analysis or to identify a specimen that requires additional testing for the presence
of drugs..
b. In alcohol testing, an analytical procedure to determine whether an employee
may have a prohibited concentration of alcohol in a breath or saliva specimen.
23.
Stand-down means the practice of temporarily removing an employee from the
performance of safety-sensitive functions based only on a report from a laboratory
to the MRO of a confirmed positive test for a drug or drug metabolite, an
adulterated test, or a substituted test, before the MRO has completed verification
of the test results.
24.
"Substance Abuse Professional" means a licensed physician or a licensed or
certified psychologist, social worker, employee assistance professional, a statelicensed or certified marriage and family therapist or drug and alcohol counselor
(certified by the National Association of Alcoholism and Drug Abuse Counselors
Certification Commission (NAADAC)) or by the International Certification
Reciprocity Consortium/Alcohol and Other Drug Abuse (ICRC); or by the
National Board for Certified Counselors, Inc., and Affiliates/Master Addictions
Counselor (NBCC) with knowledge of and clinical experience in the diagnosis
and treatment of alcohol and controlled substances-related disorders.
25.
Violation rate for random alcohol testing means the number of 0.04 and above random
alcohol confirmation test results conducted under this part plus the number of refusals of random
alcohol tests required by this part, divided by the total number of random alcohol screening tests
(including refusals).B.
Applicability
This regulation applies to all university employees who are required to hold a commercial
driver’s license as a function of their university employment.
C.
Prohibitions
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1. No driver shall report for duty or remain on duty requiring the performance of safetysensitive functions while having an alcohol concentration of 0.04 or greater. No
employer having actual knowledge that a driver has an alcohol concentration of 0.04
or greater shall permit the driver to perform or continue to perform safety-sensitive
functions.
2.
On-duty use: No driver shall use alcohol while performing safety-sensitive functions.
No employer having actual knowledge that a driver is using alcohol while performing
safety-sensitive functions shall permit the driver to perform or continue to perform
safety-sensitive functions.
3. Pre-duty use: No driver shall perform safety-sensitive functions within four hours
after using alcohol. The university, having actual knowledge that a driver has used
alcohol within four hours shall not permit a driver to perform or continue to perform
safety-sensitive functions.
4.
5.
6.
No driver shall possess alcohol on the job, including during breaks or meals;
No driver required to take a post-accident alcohol test under this regulation shall
use alcohol for eight hours following the accident, or until the driver undergoes a
post-accident alcohol test, whichever occurs first.
7.
No driver shall refuse to submit to a preemployment controlled substance test
required under DOT, post-accident alcohol or controlled substances test required
under DOT, a random alcohol or controlled substances test required under DOT, a
reasonable suspicion alcohol or controlled substances test required under DOT, or
a follow-up alcohol or controlled substances test required under DOT. The
university shall not permit a driver who refuses to submit to such tests to perform
or continue to perform safety-sensitive functions.
8.
No driver shall report for duty or remain on duty requiring the performance of
safety-sensitive functions when the driver uses any drug or substance, identified
in 21 CFR 1308.11 Schedule I.
10.
No driver shall report for duty or remain on duty requiring the performance of
safety-sensitive functions when the driver uses any non-Schedule I drug or
substance that is identified in the other Schedules in 21 CFR 1308 except when
the use is a licensed medical practitioner, as defined in this regulation, who is
familiar with the driver’s medical history and has advised the driver that the
substance will not adversely affect the driver's ability to safely operate a
commercial motor vehicle .
10.
No supervisor or university official having actual knowledge that a driver has
used a controlled substance shall permit the driver to perform or continue to
perform a safety-sensitive function.
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11.
The university may require a driver to inform the employer of any therapeutic
drug use.
12.
No driver shall report for duty, remain on duty or perform a safety-sensitive
function, if the driver tests positive or has adulterated or substituted a test
specimen for controlled substances. No employer having knowledge that a driver
has tested positive or has adulterated or substituted a test specimen for controlled
substances shall permit the driver to perform or continue to perform safetysensitive functions.
.
If an employee engages in the conduct described above, the employee is considered to
have engaged in prohibited conduct, is immediately disqualified from performing a
safety-sensitive function, including operating a commercial motor vehicle, and is subject
to disciplinary action as set forth in this regulation.
D.
Requirement for Notice
Before performing each alcohol or controlled substances test under this regulation, the
university shall notify a driver that the alcohol or controlled substances test is required by
DOT. The university shall not falsely represent that a test is administered under DOT.
Required Tests
1.
Pre-Employment Testing
For the purposes of pre-employment testing only, an employee includes
applicants and current employees selected for employment in such a position or
an employee who has been out of the random pool for a period of 90 days or
longer Prior to the first time a driver performs safety-sensitive functions for the
university, the driver shall undergo testing for controlled substances as a condition
prior to being used. No driver will be allowed to perform safety-sensitive
functions unless the employee has received a controlled substances test result
from the MRO or C/TPA indicating a verified negative test result for that driver.
The applicable DER will obtain, pursuant to a driver’s consent, information on the
employee's alcohol tests with a concentration result of 0.04 or greater, positive
controlled substances test results, and refusals to be tested, within the preceding
two years, which are maintained by the employee's previous employers. This
information must be obtained and reviewed by the applicable DER no later than
14 calendar days after the first time a driver performs safety-sensitive functions
for the university, if it is not feasible to obtain the information prior to the driver
performing safety-sensitive functions. A driver will not be allowed to perform
safety-sensitive functions more than 14 days without obtaining the information.
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A driver will not be allowed to perform safety-sensitive functions if the university
obtains information showing an alcohol test with a concentration of 0.04 or
greater, or a verified positive controlled substances test result, or refusal to be
tested, unless the applicable DER obtains information on the driver's subsequent
Substance Abuse Professional evaluation and associated successful return to duty
testing.
2.
Reasonable Suspicion Testing
The university shall require a driver to submit to an alcohol test when the
university believes the driver has violated the prohibitions of this regulation
concerning alcohol. The university's determination that reasonable suspicion
exists to require the driver to undergo an alcohol test must be based on specific,
contemporaneous, articulable observations concerning the appearance, behavior,
speech or body odors of the driver.
The university shall require a driver to submit to a controlled substances test when
the university has reasonable suspicion to believe that the driver has violated the
prohibitions of this regulation concerning controlled substances. The university’s
determination that reasonable suspicion exists must be based on specific,
contemporaneous, articulable observations concerning the appearance, behavior,
speech or body odors of the driver. The observations may include indications of
the chronic and withdrawal effects of controlled substances.
The required observations for alcohol and/or controlled substances reasonable
suspicion testing shall be made by a supervisor or university official who is
trained in accordance with this regulation. The person who makes the
determination that reasonable suspicion exists to conduct an alcohol test shall not
conduct the alcohol test of the driver.
Alcohol testing is authorized by this section only if the observations required by
this regulation are made during, just preceding, or just after the period of the work
day that the driver is required to be in compliance. A driver may be directed by
the employer to only undergo reasonable suspicion testing while the driver is
performing safety-sensitive functions, just before the driver is to perform safetysensitive functions, or just after the driver has ceased performing such functions.
If an alcohol test required by this regulation is not administered within two hours
following the reasonable suspicion determination, the university shall prepare
and maintain on file a record stating the reasons the alcohol test was not promptly
administered. If the alcohol test required by this regulation is not administered
within eight hours following the reasonable suspicion determination, the
university shall cease attempts to administer an alcohol test and shall state in the
record the reasons for not administering the test. The report(s) shall be forwarded
to the applicable DER.
Notwithstanding the absence of a reasonable suspicion alcohol test under this
regulation, no driver shall report for duty or remain on duty requiring the
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performance of safety-sensitive functions while the driver is under the influence
of or impaired by alcohol, as shown by the behavioral, speech, and performance
indicators of alcohol misuse, nor shall the university permit the driver to perform
or continue to perform safety-sensitive functions, until:
i)
An alcohol test is administered and the driver's alcohol
concentration measures less than 0.02; or
ii)
Twenty four hours have elapsed following the determination that
there is reasonable suspicion to believe that the driver has violated
the prohibitions concerning the use of alcohol or the alcohol level
is between .021 - .039.
Except as provided in this regulation, the university shall not take any action
against a driver based solely on the driver's behavior and appearance, with respect
to alcohol use, in the absence of an alcohol test.
A written record shall be made of the observations leading to an alcohol or
controlled substance reasonable suspicion test, and signed by the supervisor or
university official who made the observation, within 24 hours of the observed
behavior or before the results of the controlled substance tests are released,
whichever is earlier.
3.
Post-Accident Testing
A. As soon as practicable following an occurrence involving a commercial motor
vehicle operating on a public road in commerce, the university shall test , for
alcohol for each surviving driver:
(1) Who was performing safety-sensitive functions with respect to the vehicle, if
the accident involved the loss of human life; or
(2) Who receives a citation within 8 hours of the occurrence under state or local
law for a moving traffic violation arising from the accident, if the accident
involved:
(i) Bodily injury to any person who, as a result of the injury, immediately
receives medical treatment away from the scene of the accident; or
(ii) One or more motor vehicles incurring disabling damage as a result of the
accident, requiring the motor vehicle to be transported away from the scene by a
tow truck or other motor vehicle.
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B. As soon as practicable following an occurrence involving a commercial motor
vehicle operating on a public road in commerce, the university shall test for
controlled substances for each of its surviving drivers:
(1) Who was performing safety-sensitive functions with respect to the vehicle, if
the accident involved the loss of human life; or
(2) Who receives a citation within thirty-two hours of the occurrence under state
or local law for a moving traffic violation arising from the accident, if the
accident involved:
(i) Bodily injury to any person who, as a result of the injury, immediately
receives medical treatment away from the scene of the accident; or
(ii) One or more motor vehicles incurring disabling damage as a result of the
accident, requiring the motor vehicle to be transported away from the scene by a
tow truck or other motor vehicle.
C. The following table notes when a post-accident test is required to be conducted by
paragraphs (a)(1), (a)(2), (b)(1), and (b)(2) of this section:
Table
Type of accident involved
i. Human fatality
ii. Bodily injury with immediate medical
treatment away from the scene
iii. Disabling damage to any motor vehicle
requiring tow away
D.
E.
Citation issued to the CMV
driver
YES NO
Test must be performed by
employer
YES YES
YES
NO
YES
NO
YES
NO
YES
NO
If an alcohol test is not administered within two hours following the accident, the
university shall prepare and maintain on file a record stating the reasons the test
was not promptly administered. If an alcohol test is not administered within eight
hours following the accident, the university shall cease attempts to administer an
alcohol test and shall prepare and maintain on file a record stating the reasons the
test was not promptly administered. Records shall be submitted to FMCSA upon
request.
If a controlled substance test is not administered within 32 hours following the
accident, the university shall cease attempts to administer a controlled substance
test and
prepare and maintain on file a record stating the reasons the test was not promptly
administered. Records shall be submitted to the FMCSA upon request..
A driver who is subject to post-accident testing shall remain readily available for
such testing, or may be deemed by the university to have refused to submit to
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F.
testing. Nothing in this section shall be construed to require the delay of necessary
medical attention for injured people following an accident or to prohibit a driver
from leaving the scene of an accident for the period necessary to obtain assistance
in responding to the accident, or to obtain necessary emergency medical care.
The university shall provide drivers with necessary post-accident information,
procedures and instructions, prior to the driver operating a commercial motor
vehicle, so that drivers will be able to comply with the requirements of this
section.
1. The results of a breath or blood test for the use of alcohol, conducted by
Federal, State, or local officials having independent authority for the test, shall
be considered to meet the requirements of this section, provided such tests
conform to the applicable federal, state or local alcohol testing requirements,
and that the results of the tests are obtained by the university.
2. The results of a urine test for the use of controlled substances, conducted by
Federal, State, or local officials having independent authority for the test, shall
be considered to meet the requirements of this section, provided such tests
conform to the applicable Federal, State or local controlled substances testing
requirements, and that the results of the tests are obtained by the university.
G.
Exception. This section does not apply to:
1. An occurrence involving only boarding or alighting from a stationary motor
vehicle; or
2. An occurrence involving only the loading or unloading of cargo; or
3. An occurrence in the course of the operation of a passenger car or a
multipurpose passenger vehicle by the university unless the motor vehicle is
transporting passengers for hire or hazardous materials of a type and quantity that
require the motor vehicle to be marked.
4.
Random Testing
A. Every driver shall submit to random alcohol and controlled
as required in this section. The random testing of drivers will
spread reasonably throughout the year, and will be conducted
drivers have an equal chance of being tested. The drivers to
randomly selected using a scientifically valid method.
substance testing
be unannounced,
to assure that all
be tested will be
The minimum annual percentage rate for random alcohol testing shall be 10
percent of the average number of driver positions. The minimum annual
percentage rate for random controlled substances testing shall be 50 percent of the
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average number of driver positions or such other rate as may be set annually by
the Federal Motor Carrier Safety Administration.
1.The selection of drivers for random alcohol and controlled substances testing
shall be made by a scientifically valid method, such as a random number table or
a computer-based random number generator that is matched with drivers' Social
Security numbers, payroll identification numbers, or other comparable identifying
numbers.
2. Each driver selected for random alcohol and controlled substances testing under
the selection process used, shall have an equal chance of being tested each time
selections are made.
3. Each driver selected for testing shall be tested during the selection period.
4. The university shall ensure that random alcohol and controlled substances tests
conducted under this part are unannounced.
5. The university shall ensure that the dates for administering random alcohol and
controlled substances tests conducted under this part are spread reasonably
throughout the calendar year.
6. The university shall require that each driver who is notified of selection for
random alcohol and/or controlled substances testing proceeds to the test site
immediately; provided, however, that if the driver is performing a safety-sensitive
function, other than driving a commercial motor vehicle, at the time of
notification, the employer shall instead ensure that the driver ceases to perform
the safety-sensitive function and proceeds to the testing site as soon as possible.
7.A driver shall only be tested for alcohol while the driver is performing a safetysensitive function, just before the driver is to perform a safety-sensitive functions,
or just after the driver has ceased performing such function.
5.
Return-To-Duty Testing
When a driver has engaged in prohibited conduct, the employee will be dismissed
for cause or provided a last chance agreement at the sole discretion of the
university.
a.
b.
The university will provide to each employee including an applicant or
new employee who violates a DOT drug and alcohol regulation a listing of
Substance Abuse Professional’s (SAP) readily available to the employee
with names, addresses, and phone numbers.
The university is not required to provide a SAP evaluation or any
subsequent recommended education or treatment for an employee who has
violated a DOT drug and/or alcohol regulation.
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If the university enters into a last chance agreement with the employee and
offers the employee an opportunity to return to a DOT safety-sensitive
duty following a violation, the university must, before the employee again
performs that duty, ensure that the employee receives an evaluation by a
SAP meeting the requirements of §40.281 and that the employee
successfully complies with the SAP's evaluation recommendations.
Payment for SAP evaluations are the responsibility of the employee.
The employee must undergo a return-to-duty alcohol test with a result indicating
an alcohol concentration of less than 0.02 or, if the prohibited conduct
involved a controlled substance, a return-to-duty controlled substance test
with a result indicating a verified negative result for controlled substance
use.
6.
Follow-Up Testing
For each employee who has committed a DOT drug or alcohol regulation
violation and who seeks to resume employment with safety sensitive functions,
the university must establish a written follow-up testing plan. The plan is
established once the university has determined that the employee has successfully
complied with a SAP’s recommendation for education and/or treatment. The SAP
must provide a copy of the written plan to the DER.
Following a determination by a Substance Abuse Professional that an employee is
in need of assistance in resolving problems associated with alcohol misuse and/or
use of controlled substances, the employee is subject to unannounced follow-up
alcohol and/or controlled substance testing. The number and frequency of the
tests will be determined by the Substance Abuse Professional, but will at a
minimum consist of at least six unannounced follow-up tests in the first twelve
months of safety-sensitive duty following the employee's return to safety-sensitive
functions. The employer shall establish the specific dates for testing. The
unannounced follow-up testing may continue for up to five years.
E.
University Notification Obligations
1.
The applicable DER will:
a.
notify a driver of the results of a pre-employment controlled substance test
conducted under this part, if the driver requests such results within 60
calendar days of being notified of the disposition of the employment
application;
b.
notify an driver of the results of random, reasonable suspicion and postaccident tests for controlled substances conducted under this regulation if
the test results are verified positive;
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c.
d.
the designated employer representative shall make reasonable efforts to
contact and request each driver who submitted a specimen under the
university's program, regardless of the driver's employment status, to
contact and discuss the results of the controlled substances test with a
Medical Review Officer when the Medical Review Officer has been
unable to contact the driver and shall immediately notify the Medical
Review Officer that the driver has been notified to contact the Medical
Review Officer within seventy-two (72) hours;
e.
shall request alcohol and controlled substances information from previous
employers;
f.
shall ensure that each driver receives educational materials that explain the
requirements of this regulation and the university’s policies and
procedures with respect to meeting these requirements. Drivers will
acknowledge in writing receipt of such information.
g.
shall include detailed discussion of the following in the materials to be
made available to drivers:
i. The identity of the person designated by the university to answer
driver questions about the materials;
ii. The categories of drivers who are subject to these regulations;
iii. Sufficient information about the safety-sensitive functions performed
by those drivers to make clear what period of the work day the driver
is required to be in compliance with this regulation;
iv. Specific information concerning driver conduct that is prohibited by
this regulation
h.
i.
j.
k.
l.
shall provide written notice to representatives of employee organizations
of the availability of this information.
The circumstances under which a driver will be tested for alcohol and/or
controlled substances under this part, including post-accident testing under
these regulations;
The procedures that will be used to test for the presence of alcohol and
controlled substances, protect the driver and the integrity of the testing
processes, safeguard the validity of the test results, and ensure that those
results are attributed to the correct driver, including post-accident
information, procedures and instructions required by this regulation;
The requirement that a driver submit to alcohol and controlled substances
tests administered in accordance with this regulation;
An explanation of what constitutes a refusal to submit to an alcohol or
controlled substances test and the consequences;
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m.
n.
o.
p.
The consequences for drivers found to have violated regulation, including
the requirement that the driver be removed immediately from safetysensitive functions, and the procedures under this regulation
The consequences for drivers found to have an alcohol concentration of
0.02 or greater but less than 0.04;
Information concerning the effects of alcohol and controlled substances
use on an individual's health, work, and personal life; signs and symptoms
of an alcohol or a controlled substances problem (the driver's or a coworker's); and available methods of intervening when an alcohol or a
controlled substances problem is suspected, including confrontation,
referral to any employee assistance program and or referral to
management.
Each regional human resources office shall ensure that each driver signs a
statement certifying that he or she has received a copy of these materials
described in this section. Each regional human resources office shall
forward the original signed certificate to the DER who will maintain the
original of the signed certificate and provide a copy of the certificate to the
driver.
2.
F.
Testing Procedures
The university shall ensure that all alcohol or controlled substances testing
conducted under these regulations complies with the procedures set forth in DOT
regulations 49 CFR Part 40.
1.
Alcohol
Tests will be conducted under the guidance of a Breath Alcohol Technician
selected by the university and in accordance with DOT regulations at one or more
designated testing sites.
The site(s) will afford privacy to the individual being tested. If the result of an
initial test is an alcohol concentration of less than 0.02, no further testing is
required and the results are transmitted to the DER in a confidential manner.
If the result of an initial test is an alcohol concentration of 0.02 or greater, a
confirmation test will be performed within twenty minutes. The results of an
initial test and the confirmation test are printed on the breath alcohol test forms,
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signed by both the Breath Alcohol Technician and the driver, and transmitted to
the applicable DER in a confidential manner.
A driver tested who is found to have an alcohol concentration of 0.02 or greater
but less than 0.04 shall not perform or continue to perform safety-sensitive
function, including driving a commercial motor vehicle, nor shall the driver
perform or continue to perform safety-sensitive functions, until the start of the
driver's next regularly scheduled duty period, but not less than 24 hours following
administration of the test.
2.
Controlled Substances
DOT regulations require testing for marijuana, cocaine, opiates, amphetamines
and phencyclidine. Tests for these substances will be conducted under the
guidance of the Medical Review Officer selected by the university and in
accordance with DOT regulations at one or more designated collection sites.
Collection of urine samples will allow individual privacy unless there is a reason
to believe that a particular individual may alter or substitute the specimen. It is a
violation of federal law and these Regulations to adulterate or dilute a specimen
during the collection procedure.
Test results are given to the Medical Review Officer for analyzing and reporting
to the applicable DER.
G.
Employee Refusal to Submit to a required alcohol or controlled substance test
No driver shall refuse to submit to a preemployment controlled substance test, a postaccident required alcohol or controlled substance test, a random alcohol or controlled
substance test, a reasonable suspicion alcohol or controlled substance test, a return to
duty alcohol or controlled substance test, follow-up alcohol or controlled substance test.
The university shall not permit a driver who refuses to submit to such tests to perform or
continue to perform safety-sensitive functions. The driver will be immediately removed
from duty and such refusal will be treated as a positive test. Failure to provide adequate
breath for testing when required without a valid medical explanation, failure to remain
available for post-accident testing, failure to provide adequate urine for testing without a
valid medical explanation, engaging in conduct that obstructs the testing process, or
failure to sign the alcohol testing form constitutes a refusal to submit to testing.
H.
If an Employee Tests Positive
When a driver has engaged in prohibited conduct, the employee will be dismissed for cause or
provided a last chance agreement at the sole discretion of the university.
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I.
Access to Test Results
A driver is entitled, upon written request, to obtain copies of records pertaining to the
employee's alcohol or controlled substances test results.
K.
Records Retention
The applicable DER shall maintain records of alcohol misuse and controlled substances
use prevention programs. The records shall be maintained in a secure location with
controlled access:
1.
Five Year Record Retention
a) Records of driver alcohol test results indicating an alcohol concentration
of 0.02 or greater;
b) Records of driver verified positive controlled substance test results;
c) Documentation of refusals to take required alcohol and/or controlled
substance tests;
d) Driver evaluations and referrals;
e) Calibration documentation;
f) Records related to the administration of the alcohol and controlled
substances testing programs, and
g) A copy of each annual calendar year summary required by DOT
regulations.
2.
Two Year Record Retention
Records related to the alcohol and controlled substances collection process. and
training.
3.
One Year Record Retention
Records of any negative and canceled controlled substance test results and alcohol
tests results with a concentration of less than 0.02.
4..
Indefinite Record Retention
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Records related to the education and training of breath alcohol technicians, screening test
technicians, supervisors, and drivers shall be maintained by the university while the
individual performs the functions which require the training and for two years after
ceasing to perform those functions.
4.
Types of Records
The following specific types of records shall be maintained. “Documents
generated” are documents that may have to be prepared under a requirement of
DOT regulations. If the record is required to be prepared, it must be maintained.
1. Records related to the collection process:
a. Collection logbooks, if used;
b. Documents relating to the random selection process;
c. Calibration documentation for evidential breath testing devices;
d. Documentation of breath alcohol technician training;
e. Documents generated in connection with decisions to administer
reasonable suspicion alcohol or controlled substances tests;
f. Documents generated in connection with decisions on post-accident
tests;
g. Documents verifying existence of a medical explanation of the
inability of a driver to provide adequate breath or to provide a urine
specimen for testing; and
h. A copy of each annual calendar year summary as required by DOT
regulations.
2. Records related to a driver's test results:
a. The university's copy of the alcohol test form, including the results of
the test;
b. The university's copy of the controlled substances test chain of
custody and control form;
c. Documents sent by the MRO to the university, including those
required by DOT regulations;
d. Documents related to the refusal of any driver to submit to an alcohol
or controlled substances test required by this part;
e. Documents presented by a driver to dispute the result of an alcohol or
controlled substances test administered; and
f. Documents generated in connection with verifications of prior
employers' alcohol or controlled substances test results that the
employer must obtain in connection with the exception contained in
regulation and must obtain as required by regulation.
g. Records related to other violations.
h. Records related to evaluations:
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(i)
(ii)
Records pertaining to a determination by a
substance abuse professional concerning a driver's
need for assistance; and
Records concerning a driver's compliance with
recommendations of the substance abuse
professional.
3.Records related to education and training:
a. Materials on alcohol misuse and controlled substance use awareness,
including a copy of the university's policy on alcohol misuse and
controlled substance use;
b. Documentation of compliance with the requirements of DOT
regulations, including the driver's signed receipt of education
materials;
c. Documentation of training provided to supervisors for the purpose of
qualifying the supervisors to make a determination concerning the
need for alcohol and/or controlled substances testing based on
reasonable suspicion;
(iv) Documentation of training for breath alcohol
technicians as required; and
(v) Certification that any training conducted complies with
the DOT requirements for such training.
4. Administrative records related to alcohol and controlled substances
testing:
a. Agreements with collection site facilities, laboratories, breath
alcohol technicians, screening test technicians, medical review
officers, consortia, and third party service providers;
b. Names and positions of officials and their role in the university's
alcohol and controlled substances testing program(s);
c. Semi-annual laboratory statistical summaries of urinalysis
required by DOT and
d. The university's alcohol and controlled substances testing
policy and procedures.
5. Location of Records:
a. All records required shall be maintained as required with DOT
regulation and shall be made available for inspection at the university's
principal place of business within two business days after a request has
been made by an authorized representative of the Federal Motor Carrier
Safety Administration.
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b. The Designated Employer Representative will provide the regional
human resources offices with a summary of additional records required
to be maintained by DOT regulations. The regional human resources
offices will be responsible for maintaining the additional records.
L.
Training for Supervisors
The university shall ensure that all persons designated to supervise drivers and
designated by the applicable chancellor will receive at least 60 minutes of training on
alcohol misuse and an additional 60 minutes of training on controlled substances use.
This training will be used by the supervisors to determine whether reasonable suspicion
exists to require employee driver to undergo testing. The training shall include the
physical, behavioral, speech and performance indicators of probable alcohol misuse and
use of controlled substancesrecurrent training is not required.
M.
Employee admission of alcohol and controlled substances use
1. Employees who admit to alcohol misuse or controlled substances use are not subject to
the referral, evaluation and treatment requirements of this policy, provided that:
a. The admission is in writing and in compliance with the university voluntary
self-identification program;
b. The driver does not self-identify in order to avoid testing under the
requirements of the program;
c. The driver makes the admission of alcohol misuse or controlled substances use
prior to performing a safety sensitive function (i.e., prior to reporting for duty);
and
d. The driver does not perform a safety sensitive function until the university is
satisfied that the employee has been evaluated and has successfully completed
education and/or treatment requirements in accordance with the self-identification
program guidelines.
2. Self-identification Program:
a. The university will not take adverse action against an employee making a
voluntary admission of alcohol misuse or controlled substances use within the
parameters of this program and paragraph(1.a) of this section;
b. The university will allow the employee ten (10) working days to seek
evaluation, education or treatment to establish control over the employee's drug or
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alcohol problem and provide proof to the DER and supervisor of having
undergone assessment screening. The proof must contain the treatment
recommendations of the Substance Abuse Professional.
c. The university will permit the employee to return to safety sensitive duties
only upon successful completion of an educational or treatment program, as
determined by a drug and alcohol abuse evaluation expert, i.e., employee
assistance professional, substance abuse professional, or qualified drug and
alcohol counselor;
d. The university will ensure that:
i. Prior to the employee participating in a safety sensitive function, the
employee shall undergo a return to duty test with a result indicating an
alcohol concentration of less than 0.02; and/or
(ii) Prior to the employee participating in a safety sensitive function, the
employee shall undergo a return to duty controlled substance test with a
verified negative test result for controlled substances use; and
5. At least monthly, the employee will furnish the DER and supervisor with proof
of their continuing participation in the recommended treatment program until
completed.
6.
Reoccurences of alcohol misuse or controlled substance use will be subject
to disciplinary action up to and including the termination of employment.
(06-20-97)
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UNIVERSITY REGULATION
PART IV - HUMAN RESOURCES
Chapter 04.02 – General Personnel Regulations
R04.02.010. Equal Employment Opportunity and Affirmative Action: Statement of Intent
Persons have equal employment opportunities at the University of Alaska based solely upon their
qualifications and demonstrated ability or demonstrated potential ability.
The University of Alaska affirms its commitment to principles of nondiscrimination in the hiring
and employment of all persons of legal employment status regardless of race, color, religion, sex,
sexual orientation, national origin, citizenship, pregnancy, childbirth or related medical
conditions, marital status, changes in marital status, disability, age, status as a disabled veteran or
Vietnam era veteran.
Each major administrative unit will have a written Affirmative Action Plan which sets forth
specific affirmative action responsibilities. Hiring authorities will make affirmative efforts to
recruit and employ qualified people who are members of “protected classes” presently underrepresented.
Methods of recruiting, screening and selection will be documented and be approved by the AAO
or the regional human resources office, as determined by the president or chancellor as
appropriate, prior to recruitment.
Employment at the university will be governed as follows:
A.
Definition of Terms
1.
“Affirmative Action Officer” (AAO) refers to the unit, regional Affirmative
Action office, director or designated person, whichever reference is applicable.
2.
"Affirmative Action Plan" (AAP) refers to a written document developed and
maintained by each major administrative unit AAO which identifies those groups
presently under-represented in the University of Alaska workforce. The AAP
establishes recruitment strategies for each job group in order to increase the
number of currently under-represented members of “protected classes” in the
university labor force.
3.
"Applicant" refers to an individual who applies for a specific position vacancy
during a specified recruitment period.
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4.
"Applicant Pool" refers to applicants who meet the minimum qualifications of the
position being recruited for based on application materials submitted and
approved by the regional human resources office or affirmative action office.
5.
“Candidate” refers to an applicant selected for final stage screening.
6.
"Hiring Authority" refers to the individual who is accountable for following
recruiting and staffing policy and regulation and applicant selection decisions.
7.
“A Qualified individual with a disability” - as defined by the Americans with
Disabilities Amendments Act of 2008, those persons who have a physical or
mental impairment which substantially limits one or more major life activities,
a record of such impairment, or are being regarded as having such impairment.
8.
“Protected class” refers to members of any one or more of the following groups:
9.
a.
Black (not of Hispanic origin) - a person having origins in any of the
Black racial groups of Africa.
b.
Hispanic - a person of Mexican, Puerto Rican, Cuban, South American, or
other Spanish culture origin, regardless of race.
c.
Asian or Pacific Islander - a person with ancestry in the Indian
subcontinent, the region referred to as the Far East, Southeast Asia, or the
Pacific Islands, e.g., India, Pakistan, Thailand, China, Japan, Philippines
(not the Middle East).
d.
American Indian or Alaska Native - a person having origins in any of the
original peoples of North America and who maintains cultural
identification through tribal affiliation or community recognition.
e.
Women of all races and national origins who are applicants for positions
that are not clerical in nature.
f.
"Vietnam era veterans" - any veteran of the Vietnam era (August 15, 1964
- May 7, 1975).
g.
"Disabled veterans" - persons entitled to disability compensation under
laws administered by the Veterans Administration for disability rated at 30
percent or more or a person whose discharge from active duty was for a
disability incurred or aggravated in the line of duty.
"Regional human resources office" refers to the MAU human resources office or
statewide human resource office, whichever reference is applicable.
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10.
"Target recruitment" refers to recruitment efforts specifically made to recruit
members of “protected classes” (target groups) which are presently underrepresented in a particular EEO-6 job category in the university's work force.
11.
“Working environment” means any place where the business of the university is
conducted in the name of the university or any unit thereof.
(04-21-95)
R04.02.020. Discrimination
A.
B.
Prohibition Against Discrimination
1.
Discrimination is a form of misconduct which undermines the integrity of the
working and learning environment and will not be tolerated on or at University of
Alaska premises or functions.
2.
Subject to the constraints of Regents’ Policy, the broadest range of legally
permissible speech and expression will be tolerated in the learning environment,
student and scholarly publications, and at public forums open to public debate and
the exchange of ideas.
Definitions
1.
"Discrimination" refers to being adversely treated or affected, either intentionally
or unintentionally, in a manner that unlawfully differentiates or makes distinctions
on the basis of an individual's legally protected status or on some basis other than
an individual's qualifications, abilities, and performance, as appropriate.
2.
"Learning Environment" is defined as the premises of the University of Alaska
system or any site where educational programs and activities are conducted in the
name of the University of Alaska or any unit thereof.
3.
"Affirmative Action Officer" refers to the regional affirmative action director or
designee.
4.
"Regional Human Resources Officer" refers to the MAU Human Resources
Director or , manager or designee.
5.
"Working Environment" is defined as any place where the business of the
university is conducted in the name of the University of Alaska or any unit
thereof.
6.
"Investigator(s)" are defined as the person or persons who have the responsibility
and authority to conduct an investigation of formal discrimination complaints.
7.
"Advisors" are defined as individuals appointed from each MAU to advise
individuals regarding discrimination, provide information on whom to contact to
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file a formal complaint, and outline alternatives for complaint resolution. The
president and the chancellors or their designees will appoint and make available a
list of university personnel to serve as discrimination prevention advisors for
individuals with questions or complaints involving discrimination. Advisors must
have knowledge of applicable law and Regents' Policy and University Regulation.
C.
D.
Roles and Responsibilities
1.
The university administration is responsible for promoting a positive working and
learning environment where all persons are free to discuss any problems or
questions they may have concerning discrimination at the university, without fear
of intimidation or reprisal.
2.
All university employees are responsible for maintaining a positive working and
learning environment. Supervisors and faculty will promptly respond to
complaints of discrimination to determine what, if any, remedial action may be
warranted. In resolving these complaints, supervisors and faculty will seek advice
and guidance from the affirmative action officer or advisors. University
employees and students must cooperate fully with efforts to resolve complaints
brought to their attention.
Informal Resolution Process
The purpose of informal resolution is to educate and inform individuals of their offensive
behavior and to allow individuals the opportunity to voluntarily correct inappropriate
behavior without disciplinary action. Informal resolution will not generally have as an
outcome written reports or sanctions.
1.
A complainant generally should try to inform the person directly that his or her
behavior is unwelcome, harmful or offensive. The complainant is also
encouraged to request assistance from other university employees, regional
human resources officers, advisors or affirmative action officers in the informal
resolution of a complaint. These assistants will promptly attempt to resolve the
complaint through consultation and guidance of the complainant or, as
appropriate, mediation between all concerned parties. Successful resolution
efforts will be greatly facilitated by the timely reporting and handling of
complaints.
2.
Informal resolution may include informing the person about the behavior and/or
writing a letter concerning the behavior and requesting that the behavior be
stopped.
3.
If informal resolution efforts fail to achieve satisfactory results, or if informal
resolution is inappropriate in consideration of the circumstances or the egregious
nature of the alleged behavior, the complainant may file a formal complaint with
the affirmative action officer or the regional human resources officer as the initial
action.
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E.
Formal Resolution Process
The formal resolution process is an administrative remedy which requires an
investigation and written findings. One or two investigators will be designated to
conduct a timely investigation to ensure an objective review of the allegations. The
statements of the complainant, respondent and witnesses become part of a written record
which will be used for administrative review and action as necessary.
1.
Formal complaints alleging discrimination must include the following
information:
a.
b.
c.
2.
The names of the respondent and complainant.
Their affiliation to the university.
A description of the offensive behavior and circumstances with dates, if
known.
A formal complaint should also include the following information:
a.
b.
c.
A description of any attempts to resolve the problem informally.
An explanation of the impact on the complainant.
Specific remedies requested.
3.
The investigator(s), in determining whether the alleged conduct constitutes
discrimination, must give consideration, to the record as a whole, to the totality of
the circumstances, and where applicable to regulatory guidelines.
4.
A copy of the written findings will be distributed to the complainant, the
respondent, the respondent's supervisor, the regional human resources officer, the
office of General Counsel and the Statewide Office of Human Resources.
5.
Any person who:
a.
b.
c.
commits discrimination; or
fails to perform his or her investigatory or supervisory responsibilities; or
makes false claims or provides false testimony against another
will be subject to appropriate disciplinary action including, but not limited to,
verbal and written reprimands, probation, suspension or termination.
6.
When a preponderance of the evidence is found to substantiate a complaint,
disciplinary action may be taken. In determining what disciplinary action may be
appropriate, the extent to which the respondent knew or reasonably should have
known that his or her conduct was harmful or offensive will be considered.
Sanctions for conduct will be based upon all facts and circumstances of each case.
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7.
A complainant or respondent who disputes the written findings of the
investigation report may request a formal review of the findings within 5 working
days of the release of the findings.
Such formal review will be conducted by one or more trained individuals
appointed by the chancellor or, in the case of statewide employees, the president.
The purpose of this review is to provide an opportunity for the chancellor or
president to obtain an objective review of the investigation findings when those
findings are disputed by one of the involved parties.
The review will be scheduled as soon as practicable and the written
recommendation resulting from the review will be forwarded to the chancellor, or
in the case of a statewide employee, to the president for a decision.
8.
If a party is dissatisfied with a chancellor's decision, that party may request a
discretionary review by the president within 5 working days of the decision. If
the president elects to review a chancellor’s decision, the president's decision will
be the final decision of the university. If the president does not elect to accept a
review within 15 working days, the decision of the chancellor then becomes the
final decision of the university. In the case of Statewide Administration
employees, the decision of the president is the final decision of the university.
In either case, the final decision of the university is not grievable except as set
forth in this regulation and is subject to appeal within 30 days pursuant to Alaska
Appellate Rule 602(a)(2).
F.
Identity of Complainant
The university will not accept complaints when the complainant cannot be identified to
the investigative officer.
Complaints by individuals who refuse to be identified to the respondent will not be
accepted for investigation unless, in the discretion of the university, persistent and
pervasive allegations of discrimination warrant formal investigation. Whenever formal
disciplinary action may be contemplated, alleged offenders will be advised of the identity
of their accusers, the nature of the charges being brought against them, and the
circumstances of the alleged offense(s).
G.
Confidentiality
Investigators will make reasonable efforts to preserve the confidentiality of their
investigation and resolution efforts but cannot guarantee anonymity to complaining
parties or witnesses. University employees and students will make a reasonable effort to
protect the legitimate privacy interests of all concerned parties.
H.
Retaliation
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I.
J.
K.
1.
All persons have the right to complain about any conduct which they reasonably
believe constitutes discrimination. No university official may take disciplinary or
other adverse action against a person who genuinely but mistakenly believes
himself or herself to be discriminated against, even if the practices complained of
do not, in fact, constitute discrimination.
2.
Threats or other forms of intimidation or retaliation against complainants,
respondents, witnesses or investigators will constitute a violation of this
regulation and may be subject to separate administrative action, including
termination for cause.
Bargaining Unit Employees
1.
If disciplinary action may result from an investigation of a bargaining unit
employee alleged to have engaged in discrimination, the employee has a right to
union representation during an investigatory interview with the employee.
2.
Bargaining unit employees who have been disciplined pursuant to this regulation
must resolve their disputes through the dispute resolution processes provided in
their collective bargaining agreement.
Training programs on discrimination will be designed to:
1.
provide employees with current information on federal and state law, Regents'
Policy, University Regulation, and administrative procedures; and
2.
demonstrate appropriate techniques for the resolution of discrimination
allegations.
Dissemination
The university administration will make reasonable efforts to inform members of the
university community regarding the prohibition against discriminating conduct. In
particular, this information will be communicated to new employees as an integral part of
their orientation experience.
(11-29-10)
R04.02.022. Sexual Harassment.
A.
University Prohibition Against Sexual Harassment
1.
Sexual harassment is a form of employee or student misconduct which
undermines the integrity of the working and learning environment and will not be
tolerated on or at University of Alaska premises or functions.
2.
Subject to the constraints of Regents’ Policy, the broadest range of legally
permissible speech and expression will be tolerated in the learning environment,
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student and scholarly publications, and at public forums open to public debate and
the exchange of ideas.
B.
Definitions
1.
“Sexual Harassment” includes, but is not limited to, unwelcome sexual advances,
requests for sexual favors, or other verbal or physical or visual conduct of a
sexual nature where:
a.
submission to such conduct is made, either explicitly or implicitly, a term
or condition of an individual’s employment or education; or
b.
submission to or rejection of such conduct by an individual is used as the
basis for employment or academic decisions affecting that individual; or
c.
such conduct has the purpose or necessary effect of unreasonably
interfering with an individual’s work or creating a hostile, intimidating or
offensive working or learning environment; and
(1)
(2)
such conduct is known by the offender to be unwelcome, harmful
or offensive; or
an average person would clearly understand the behavior or
conduct is unwelcome, harmful or offensive.
2.
“Learning Environment” is defined as the premises of the University of Alaska
system or any site where educational programs and activities are conducted in the
name of the University of Alaska or any unit thereof.
3.
“Affirmative Action Officer” refers to the regional affirmative action director or
designee.
4.
5.
“Regional Human Resource Office” refers to the MAU human resource office.
“Working Environment” is defined as any place where the business of the
university is conducted in the name of the University of Alaska or any unit
thereof.
6.
“Investigator(s)” are defined as the person or persons who have the responsibility
and authority to conduct an investigation of formal sexual harassment complaints.
7.
“Advisors” are defined as individuals appointed from each MAU to advise
individuals regarding sexual harassment, provide information on whom to contact
to file a formal complaint, and outline alternatives for complaint resolution.
The president and the chancellors or their designees will appoint and make
available a list of university personnel to serve as harassment prevention advisors
for individuals with questions or complaints involving sexual harassment.
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Advisors must have knowledge of sexual harassment law and Regents’ Policy and
University Regulation.
C.
D.
Roles and Responsibilities
1.
The university administration is responsible for promoting a positive working and
learning environment where all persons are free to discuss any problems or
questions they may have concerning sexual harassment at the university, without
fear of intimidation or reprisal.
2.
All university employees are responsible for maintaining a positive working and
learning environment. Supervisors and faculty will promptly respond to
complaints of sexual harassment to determine what, if any, remedial action may
be warranted. In resolving sexual harassment complaints, supervisors and faculty
will seek advice and guidance from the affirmative action officer or harassment
prevention advisors. University employees and students must cooperate fully
with efforts to resolve complaints brought to their attention.
Informal Resolution Process
The purpose of informal resolution is to educate and inform individuals of their offensive
behavior and to allow individuals the opportunity to voluntarily correct inappropriate
behavior without disciplinary action. Informal resolution will not generally have as an
outcome written reports or sanctions.
1.
A complainant generally should try to inform the person directly that his or her
behavior is unwelcome, harmful or offensive. The complainant is also
encouraged to request assistance from other university employees, regional
human resources officers, advisors or affirmative action officers in the informal
resolution of a complaint.
These assistants will promptly attempt to resolve the complaint through
consultation and guidance of the complainant or, as appropriate, mediation
between all concerned parties. Successful resolution efforts will be greatly
facilitated by the timely reporting and handling of complaints.
E.
2.
Informal resolution may include informing the person about the behavior and/or
writing a letter concerning the behavior and requesting that the behavior be
stopped.
3.
If informal resolution efforts fail to achieve satisfactory results, or if informal
resolution is inappropriate in consideration of the circumstances or the egregious
nature of the alleged behavior, the complainant may file a formal complaint with
the affirmative action officer or the regional human resources officer as the initial
action.
Formal Resolution Process
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The formal resolution is an administrative remedy which requires an investigation and
written findings. One or two investigators will be designated to conduct a timely
investigation to insure an objective review of the allegations. The statements of the
complainant, respondent and witnesses become part of a written record which will be
used for administrative review and action as necessary.
1.
Formal complaints alleging sexual harassment must include the following
information:
a.
b.
c.
2.
The names of the respondent and complainant.
Their affiliation to the university.
A description of the offensive behavior and circumstances.
A formal complaint should also include the following information:
a.
b.
c.
A description of any attempts to resolve the problem informally.
An explanation of the impact on the complainant.
Specific remedies requested.
3.
The investigator(s), in determining whether the alleged conduct constitutes sexual
harassment, must give consideration to the record as a whole, to the totality of the
circumstances, and to regulatory guidelines where applicable.
4.
A copy of the written findings will be distributed to the complainant, the
respondent, the respondent’s supervisor, the regional human resources officer, the
office of General Counsel and the Statewide Office of Human Resources.
5.
Any person who:
a.
b.
c.
commits sexual harassment; or
fails to perform his or her investigatory or supervisory responsibilities; or
makes false claims or provides false testimony against another
will be subject to appropriate disciplinary action including, but not limited to,
verbal and written reprimands, probation, suspension or termination.
6.
When a preponderance of the evidence is found to substantiate a complaint of
sexual harassment, disciplinary action may be taken. In determining what
disciplinary action may be appropriate, the extent to which the respondent knew
or reasonably should have known that his or her conduct was harmful or offensive
will be considered. Sanctions for conduct will be based upon all facts and
circumstances of each case. Coercive behavior, such as threats or promises that
academic or employment reprisals or rewards will follow the refusal or granting
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of sexual favors, constitutes gross misconduct and provides just cause for
immediate termination.
7.
A complainant or respondent who disputes the written findings of the
investigation report may request a formal review of the findings within 5 working
days of the release of the findings. Such formal review will be conducted by one
or more trained individuals appointed by the chancellor or, in the case of
statewide employees, the president. The purpose of this review is to provide an
opportunity for the chancellor or president to obtain an objective review of the
investigation findings when those findings are disputed by one of the involved
parties.
The review will be scheduled as soon as practicable and the written
recommendation resulting from the review will be forwarded to the chancellor or
president for a decision.
8.
If a party is dissatisfied with a chancellor’s decision, that party may request a
discretionary review by the president within 5 working days of the decision. If
the president elects to review a chancellor’s decision, the president’s decision will
be the final decision of the university. If the president does not elect to accept a
review within 15 working days, the decision of the chancellor then becomes the
final decision of the university. In the case of Statewide Administration
employees, the decision of the president is the final decision of the university.
In either case, the final decision of the university is not grievable except as set
forth in this regulation and is subject to appeal within 30 days pursuant to Alaska
Appellate Rule 602(a)(2).
F.
Identity of Complainant
The university will not accept complaints when the complainant cannot be identified to
the investigative officer. Complaints by individuals who refuse to be identified to the
respondent will not be accepted for investigation unless, in the discretion of the
university, persistent and pervasive allegations of sexual harassment warrant formal
investigation. Whenever formal disciplinary action may be contemplated, alleged
offenders will be advised of the identity of their accusers, the nature of the charges being
brought against them, and the circumstances of the alleged offense(s).
G.
Confidentiality
Investigators will make reasonable efforts to preserve the confidentiality of their
investigation and resolution efforts but cannot guarantee anonymity to complaining
parties or witnesses. University employees and students will make a reasonable effort to
protect the legitimate privacy interests of all concerned parties consistent with their
obligation to inform the accused.
H.
Retaliation
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I.
J.
K.
1.
All persons have the right to complain about any conduct which they reasonably
believe constitutes sexual harassment.
No university official may take
disciplinary or other adverse action against a person who genuinely but
mistakenly believes himself or herself to be harassed, even if the practices
complained of do not, in fact, constitute sexual harassment.
2.
Threats or other forms of intimidation or retaliation against complainants,
respondents, witnesses or investigators will constitute a violation of this
regulation and may be subject to separate administrative action, including
termination for cause.
Bargaining Unit Employees
1.
If disciplinary action may result from an investigation of a bargaining unit
employee alleged to have engaged in sexual harassment, the employee has a right
to union representation during an investigatory interview with the employee.
2.
Bargaining unit employees who have been disciplined pursuant to this regulation
must resolve their disputes through the dispute resolution processes provided in
their collective bargaining agreement.
Training programs on sexual harassment will be designed to:
1.
provide employees with current information on federal and state law, Regents’
Policy, University Regulation, and administrative procedures; and
2.
demonstrate appropriate techniques for the resolution of sexual harassment
allegations.
Dissemination
The university administration will make reasonable efforts to inform members of the
university community regarding the prohibition against sexually harassing conduct. In
particular, this information will be communicated to new employees as an integral part of
their orientation experience.
(11-29-10)
R04.02.024. Consensual Sexual Relationships.
A.
Faculty-Student Relationships
1.
Within the instructional context:
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It is considered a serious breach of professional ethics for a member of the faculty
to initiate or acquiesce in a sexual relationship with a student who is enrolled in a
course being taught by the faculty member or whose academic work, including
work as a teaching assistant, is being supervised by the faculty member.
2.
Outside the instructional context:
Sexual relationships between faculty members and students occurring outside the
instructional context may lead to difficulties, particularly when the faculty
member and student are in the same academic unit or in units that are
academically allied; relationships that the parties view as consensual may appear
to others to be exploitative. Further, in such situations the faculty member may
face serious conflicts of interest and should distance himself or herself from any
decisions that may reward or penalize the student involved.
B.
Supervisor-Employee Relationships
Consensual sexual relationships between supervisors and employees, including
circumstances where a staff member has authority or control over a student’s living or
learning environment, are prohibited.
It is a violation of the ethical obligation to the employee or student, to other employees or
students, to colleagues, and to the university for a staff member to fail to withdraw from
participation in activities or decisions that may reward or penalize an employee or student
with whom the staff member has or has had a sexual relationship.
C.
Staff-Student Relationship
Sexual relationships between staff members and students may lead to difficulties,
particularly when the staff member is working in the same academic unit or department
with the student; relationships that the parties view as consensual may appear to others to
be exploitative. Further, in such situations the staff member may face serious conflicts of
interest and should distance himself or herself from any decisions that may reward or
penalize the student involved.
D.
Complaint Procedure
Complaints alleging a violation of the Consensual Sexual Relationships regulation will be
handled in accordance with the regulation regarding sexual harassment.
(08-15-97)
R04.02.060. Employer Sponsored Petitions for Foreign Nationals
A.
Nonimmigrant Visa Petitions
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The university may choose to sponsor nonimmigrant visa petitions for persons who are
not United States citizens or permanent residents and are hired in a university position in
the following cases:
1.
Exchange visitors (as defined by the Department of State) in a teaching or
research non-tenure track position at a Department of State authorized MAU.
2.
Foreign nationals in a teaching or research position that requires a Ph.D. or
terminal degree within their profession, including post-docs.
3.
Foreign nationals in an information technology (IT) position.
4.
Foreign nationals from Canada or Mexico in a position listed on the NAFTA
Professional Job Series List produced by the Department of Homeland Security
(DHS).
5.
Other foreign nationals as authorized by the president/chancellors or a designee
after consultation with the MAU or Statewide office with expertise in employer
sponsored nonimmigrant visa.
Sponsorship of an employer sponsored nonimmigrant visa petition includes gathering
required information and documents, working with departments on processes and
procedures, and facilitating the filing of Labor Condition Application if required.
Sponsorship of an employer sponsored nonimmigrant visa petition does not obligate the
university to finance any costs associated with the petition, except as provided by federal
or university regulation. Sponsorship of an employer sponsored nonimmigrant visa
petition by the university may be withdrawn or terminated at any time.
B.
Permanent Resident Petitions
The university may choose to sponsor permanent resident petitions based on employment
upon the recommendation of the director or dean in the following cases:
1.
Foreign nationals who are currently employed at the university in a regular,
benefit-eligible teaching or research position that requires a Ph.D. or terminal
degree within their profession.
2.
Foreign nationals who are currently employed at the university in a regular,
benefit-eligible information technology (IT) position.
3.
A foreign national who has been offered a research position considered
“permanent employment” by the United States Department of Labor and as
authorized by the president, chancellors or a designee after consultation with the
MAU or Statewide office with expertise in employer sponsored permanent
resident petition.
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“Permanent employment” as defined in 8 CFR 204.5(i)(2) for a research position
means either tenured , tenure track, or for a term of indefinite or unlimited
duration, and in which the employee will ordinarily have an expectation of
continued employment unless there is a good cause for termination. Post
doctorate positions do not qualify as permanent employment. Term funded
positions do not qualify as permanent employment unless the department can
demonstrate the intent to continue to seek funding and a reasonable expectation
that funding will continue, such as demonstrated prior r renewals for extended
long-term research projects.
Sponsorship of an employer sponsored permanent resident petition includes gathering
required information and documents, working with departments on processes and
procedures, and facilitating the filing of Labor Certification if required. Sponsorship of
an employer sponsored permanent resident petition does not obligate the university to
finance any costs associated with the petition, except as provided by federal or university
regulation. Sponsorship of an employer sponsored permanent resident petition may be
terminated or withdrawn at any time.
R04.02.070 Employee Work Activity Outside of Alaska
This regulation applies to employees who perform work outside the State of Alaska for a total of
more than thirty (30) work days in any calendar year.
.
A. All assignments outside the State of Alaska require advance written approval of the
appropriate Dean or Director, regional human resources office, and Statewide Office
of Human Resources.
B. Prior to permitting an employee to perform work outside the State of Alaska for more
than thirty (30) work days in a calendar year, the supervisor shall provide SW HR with
the employee’s proposed work location, begin and end dates of the assignment, a
description of the work activities, and the business reasons for the assignment. The
supervisor shall notify SW HR if the dates of the assignment are extended.
C. SW HR will determine whether tax or labor laws of another state or country are
applicable.
D. The department shall be responsible for payment of taxes or other additional
personnel costs related to the assignment.
E. A work assignment outside the State of Alaska is considered telework and the
provisions of R04.02.080 C – K apply.
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R04.02.080 Telework
This regulation applies to work outside of the primary university-provided workplace during
scheduled work hours for one or more days a week on a regular basis.
A.
Telework is an arrangement in which the university permits an employee to work during
scheduled work hours at an alternate location that is remote from the primary universityprovided workplace. Under this arrangement, the employee maintains close contact with
his/her supervisor and coworkers through various forms of computer, Internet, and other
communication technology.
1. Telework arrangements are at the discretion of the university and require approval as
follows.
a. An arrangement for telework requires approval of the supervisor and the
department dean/director, in consultation with appropriate Human Resources
personnel.
b. An arrangement for work to be performed outside the State of Alaska requires
advance written approval of the supervisor, the department dean/director, and the
regional human resources office.
c. A written telework agreement requires approval by the supervisor, the department
dean/director, and the regional human resources office.
2.
Requirements for approval of a telework arrangement include the following:
a. The nature of the work shall be such that face-to-face direction or interaction with
others is minimal or may be scheduled to permit teleworking. Tasks that benefit
from uninterrupted work time are suitable for telework, such as writing, editing,
reading, analysis, design work, and computer programming.
b. Telework must be compatible with the operational and customer service needs of
the department.
c. The overall impact of the employee's total time out of the university-provided
workplace must not adversely affect the department’s mission.
d. Telework must not subject confidential records to unauthorized disclosure.
e. The need for specialized material or equipment must either be minimal or
flexible.
f. Telework must not adversely affect customer service delivery or employee
productivity.
g. Tax, insurance, and administrative costs incurred to maintain employees who are
not legal residents of the state of Alaska must be identified and budgeted by the
department.
h. The employee must have an established record of excellent performance,
productivity, and work habits, including the ability to be self motivated and have
minimal face to face daily supervision, and must maintain the expected quantity
and quality of work while teleworking.
i. The employee must be able and willing to provide an adequate and safe work
space that is free of distractions.
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B.
Telework Requests.
1. An employee who desires to work at a location other than the primary universityprovided workplace shall submit a written request to their supervisor for
consideration.
2. An employee with a disability who desires a telework arrangement as a reasonable
accommodation under the Americans with Disabilities Act shall submit a request to
the affirmative action officer in accordance with Regents Policy 04.02.033.
C.
Work hours and Scheduling
1. The employee shall be reachable by telephone, fax, pager, or e-mail during scheduled
work hours.
2. The employee shall be on-site at their department to attend meetings and training
sessions, and to perform work as requested by the supervisor.
3. Overtime work for a non-exempt employee must be pre-approved in writing by the
supervisor. An employee who works overtime without advance written approval is
subject to discipline.
4. The employee shall obtain supervisory approval before taking leave in accordance
with university policy. The university, as a public agency, has policies and practices
established pursuant to principles of public accountability under which employees
accrue annual leave and sick leave and may be placed on leave without pay for
absences when accrued leave is not used.
D. Telework Location and Safety
1. The employee shall maintain an appropriate alternate work place that is separate from
food preparation areas and sources of water. The university is not responsible for any
costs associated with setup of a home office or the tax, insurance and other legal
implications for the business use of an employee’s home. The responsibility for
understanding and fulfilling all such obligations shall rest solely with the employee.
2. The university may inspect the alternate workplace.
3. The employee shall immediately report to the supervisor any job related injuries.
4. The university is not responsible for injury to any other person or to property arising
out of the use of or activities in the alternate workplace. The employee shall not hold
business visits or meetings at an alternate workplace. The employee shall hold the
university harmless for injuries to others or damage to property at the alternate
workplace.
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5. In case of injury, theft, loss, or tort liability, the employee shall grant the university
unlimited access to investigate and to inspect the alternate workplace.
E. Equipment
1. Unless the university agrees otherwise, employees who are approved for a telework
arrangement will provide their own equipment, including computer system, software,
printer, phone, and furnishings. Employees are responsible for maintenance and
repair of their equipment. The university is not liable for loss, damage, or wear to
employee-owned equipment.
2. Supervisors may approve temporary or occasional use of university equipment on a
case-by-case basis. The employee shall not use, or allow others to use, university
equipment for purposes other than university business.
3. All equipment, records and materials provided by the university remain the property
of the university and shall be immediately returned to the university upon request.
F. Information Security
1. Employees shall comply with all laws, rules and procedures applicable to
University employment, including Regents Policy and University Regulation 02.06,
and shall safeguard all information that has not been disseminated to the public,
including confidential records and proprietary university information that is
accessible from their alternate work location.
2. Employees shall ensure that appropriate security mechanisms are present and
enabled on university owned equipment, as well as on employee-owned equipment
if used for University business, and shall ensure that security updates are
maintained on such equipment.
3. The employee shall return all papers, computer files, and other records to the
university at the end of the assignment or upon request.
4. An employee who engages in telework authorizes the university to take possession
of any work related documents or equipment and to copy the entire contents of any
storage device, media or backup equipment or service that has been used to
generate or store university related records. The University shall follow the
procedures applicable to University-owned equipment in Regents' Policy and
University Regulation 02.07.
G.
Geographic differential will be based on the position’s university-provided workplace.
Geographic differentials will not be paid if the employee’s university-provided workplace
is in a location for which a geographic differential does not apply.
H.
The employee will be responsible for payment of all transportation and subsistence
expenses for travel between the telework location and the university-provided workplace,
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except as otherwise specified in a written telework agreement approved by the
department dean/director and the regional human resources office. Travel at university
expense must comply with R05.02.060.
I.
Employees shall make arrangements for dependent care while teleworking. Telework is
not an alternative means for an employee to fulfill dependent care obligations.
J.
Telework arrangements are granted on a temporary and revocable basis. The university
may suspend or terminate telework arrangements at any time for any reason or no reason
and require the employee to report to the primary work location. The university’s
decision to grant, deny, or terminate a telework arrangement is not subject to university
grievance policies.
If this regulation conflicts with an applicable collective bargaining agreement, the
provisions of the bargaining unit agreement shall take precedence over this regulation.
K.
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REGENTS’ POLICY
PART IV – HUMAN RESOURCES
Chapter 04.03 - Recruitment and Staffing
P04.03.010. Recruitment Procedure.
Standardized procedures for recruitment will be established by university regulation. No
recruitment will occur without available or anticipated budgeted funds.
(06-20-97)
P04.03.020. Screening and Selection Process.
Standardized procedures with appropriate constituent participation for applicant screening and
candidate selection and notification will be established by university regulation.
(06-09-00)
P04.03.030. Special Recruitment Categories.
Categories and standardized procedures for alternative methods of recruitment will be
established by university regulation. The university encourages promotional opportunities for
existing employees.
(04-21-95)
P04.03.040. Public Disclosure.
The university will comply with Alaska law when responding to requests for employment
applications and application materials.
(04-21-95)
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UNIVERSITY REGULATION
PART IV - HUMAN RESOURCES
Chapter 04.03 - Recruitment and Staffing
R04.03.010. Recruitment Procedure.
Each regional human resources office will post the following statement:
"Applications from all persons are welcomed; women, minorities, persons with
disabilities, and veterans are especially encouraged to apply. The University of
Alaska does not discriminate on the basis of race, color, religion, national origin,
citizenship, marital status, changes in marital status, pregnancy, childbirth or
related medical conditions, parenthood, sex, age, disability or status as a veteran
in employment proscribed by:
●
●
●
●
●
●
●
●
●
●
●
●
●
●
●
●
Titles VI and VII of the Civil Rights Act as amended in 1991
Title IX of the Education Amendments of 1972
Executive Order 11246 as amended
Vocational Rehabilitation Act as amended in 1992
Americans with Disabilities Act of 1990
Americans with Disabilities Amendments Act of 2008
Pregnancy Discrimination Act of 1978
Equal Pay Act of 1963
Civil Rights Restoration Act of 1987
Immigration Reform & Control Act of 1986
Vietnam Era Veterans Readjustment Assistance Act of 1974
Age Discrimination in Employment Act of 1967
Alaska Statute 18.80.220 and 14.40.050 of the Alaska Code
Genetic Information Nondiscrimination Act of 2008
Lilly Ledbetter Fair Pay Act of 2009
Uniformed Services Employment and Reemployment Rights Act
Inquiries concerning the application of these regulations to the university may be directed to
the regional or local human resources office and/or affirmative action office, Statewide
Office of Human Resources, Office of Federal Contract Compliance Programs, Department
of Labor, Alaska Human Rights Commission, Department of Justice Office of Civil Rights,
or the Equal Employment Opportunity Commission."
(01-12-07)
R04.03.011. Recruitment Procedure: Affirmative Action Goals and Recruitment.
A.
The affirmative action officer will monitor hiring activities for progress towards
affirmative action goals. The AAO will meet with senior administrators, deans, directors,
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human resources, and hiring officials to discuss affirmative action goals and to
recommend recruitment strategies to meet those goals.
B.
Hiring officials, with the assistance of the affirmative action and regional human
resources offices shall make good faith efforts to recruit minorities, persons with
disabilities, and persons in underrepresented categories, and will offer reasonable
accommodation as appropriate.
(01-12-07)
R04.03.012. Recruitment Procedure: Reasonable Accommodation.
Applicants will be informed of the university policy to provide reasonable accommodation for
applicants and employees with disabilities. They will be informed that they can request
accommodations during any part of the application process, including interviews.
(01-12-07)
R04.03.013. Recruitment Procedure: Approval and Training.
A.
Each MAU will establish a process for approval to recruit to include, at a minimum,
budgetary approval and approval by the regional human resources office.
B.
The regional human resources or affirmative action office will provide training to hiring
authorities and search committees as needed to promote effective selection processes that
comply with policy, regulations, and applicable state and federal law.
(01-12-07)
R04.03.014. Recruitment Procedure: Employment Process.
A.
The hiring official will:
1.
develop the vacancy announcement and advertising copy;
2.
develop screening and evaluation criteria;
3.
select the screening committee/individual screeners;
4.
conduct interviews and reference checks;
5.
select the best qualified candidate based on job-related criteria and available
information;
6.
obtain approval for the recruitment process from the regional human resources
office prior to making the job offer;
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B.
7.
for staff positions, identify appropriate starting salary in conjunction with the
human resources office, and obtain authorization from the human resources office
to offer the position and the approved salary;
8.
for faculty positions, identify appropriate starting salary and obtain authorization
from the Provost, or designee, to offer the position at the approved salary;
9.
offer the position;
10.
notify unsuccessful candidates;
11.
submit required reports and documentation to the regional human resource office;
and
12.
forward recruitment records to the regional human resources office or maintain
the records for the required period of time.
The regional human resources office will:
1.
develop guidelines and processes for conducting and documenting recruitment
and selection processes;
2.
provide training on recruitment and selection processes;
3.
approve vacancy announcements and advertising copy;
4.
approve posted position requirements;
5.
post vacancy announcements;
6.
approve screening and evaluation criteria and processes prior to releasing
applications to the hiring official;
7.
approve screening documentation, including equal employment opportunity and
affirmative action compliance, prior to proceeding to the interview process;
8.
approve the recruitment process prior to authorizing the extension of a job offer;
9.
for staff positions, approve the starting salary and step placement; and
10.
maintain recruitment records and documentation for required period of time.
(01-12-07)
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R04.03.015. Recruitment Procedure: Recruitment Requirements.
A.
Recruitments may be opened with or without specific closing dates. Sufficient time will
be allowed to produce a pool of applicants and to document affirmative action efforts, as
appropriate.
B.
Recruitments may be limited, with the approval of the human resources office, to current
employees system-wide or at the regional, major organizational, or departmental level.
Employees described in this subsection are also known as “internal applicants.”
C.
Recruitment notices must include the following:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
D.
E.
F.
posting period;
position title;
position number;
notice of internal or external posting;
description of duties;
position requirements;
affirmative action statement;
reasonable accommodation statement;
public disclosure statement;
contact information.
The following affirmative action and public disclosure statements must be included in
recruitment notices:
1.
"An Equal Employment
educational institution."
Opportunity/Affirmative
Action
employer
and
2.
"Your application for employment with the University of Alaska is subject to
public disclosure under the Alaska Public Records Act."
Advertisements are condensations of the recruitment notice and must include, at a
minimum, the position title, posting period, contact information and the abbreviated
affirmative action statement “EEO/AA.”
Required education and experience will reflect the knowledge, skills, and abilities needed
to perform the job satisfactorily based on the position description. Equivalencies to
minimum education and experience qualifications may be allowed, except where required
for licensing or accreditation.
(01-12-07)
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R04.03.020. Screening and Selection Process.
A.
Screening is a process of reviewing applicants using uniform and consistent criteria to
identify the most qualified candidates. Screening processes will be consistent with
accepted human resource practice. All phases of the screening process and all evaluation
criteria will be non-discriminatory, content valid, and job related, based on the position’s
duties and responsibilities.
B.
At a minimum, screening for a position will include evaluation of written applications,
interviews, and reference checks. With approval of the regional human resources office,
screening may be expanded or modified. Additional screening steps may include skills
tests, written or practical tests, telephone interviews, writing samples or portfolios, and
oral presentations.
(01-12-07)
R04.03.021. Screening and Selection: Reasonable Accommodation.
A.
If a candidate with a disability, who is otherwise qualified to perform the essential duties
of the position, is recommended for selection and seeks a reasonable accommodation,
appropriate accommodation will be made to allow performance of the essential functions
unless to do so would pose an undue hardship or direct threat that could not be eliminated
or reduced to an acceptable level by reasonable accommodation.
B.
In determining what constitutes a reasonable accommodation, hiring authorities are
required to contact the Americans with Disabilities Act coordinator and the regional
human resources office. The specific accommodations are to be determined through
appropriate consultation with the person with the disability.
(01-12-07)
R04.03.022. Screening and Selection: Records and Reporting.
Selection documentation, including applications, screening and evaluation materials, and
applicant flow data, must be retained for a period of three years. Records and data may be
retained in electronic or hard copy format.
(01-12-07)
R04.03.031. Special Recruitment Categories: Temporary Hire.
A.
Recruitment and hiring procedures for the initial hire of a temporary employee are
generally the same as for a regular recruitment. However, procedural modifications may
be made in consultation with the regional human resources office.
B.
In the event a temporary or extended temporary position is re-authorized as a regular or
term-funded position, the position will be filled according to policy and regulation.
(01-12-07)
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R04.03.032. Special Recruitment Categories: Emergency Hire.
A.
The authority to use the emergency hire process requires prior approval of the regional
human resources office. The affirmative action office or regional human resources office
will review emergency hire patterns to ensure that a good faith effort has been made to
contact members of underutilized classes.
B.
Emergency hires are made in unexpected cases where temporary employment demands
are of a business necessity and emergency nature such as the following:
1.
to cover an employee on emergency or short-term, temporary leave;
2.
to appoint a short-term, temporary employee to assist with an unexpected increase
in workload; or
3.
to temporarily fill a vacancy only for the duration of the normal recruitment and
hiring process.
(01-12-07)
R04.03.033. Special Recruitment Categories: Casual Labor.
Casual labor is employment of an emergency or temporary nature for no more than five
consecutive days for each irregular occurrence. Casual labor employment is not covered by the
recruitment and selection processes described in R04.03.010 – 04.03.022. Each MAU will
establish specific criteria and define a process for casual labor. Hire documentation must be
completed prior to hire and will be maintained by the regional human resources office.
(01-12-07)
R04.03.034. Special Recruitment Categories: Promotion and Transfer.
When a position, excluding faculty, university officers, and senior administrators, is created or
vacated, a potential promotional or transfer opportunity exists for all current university
employees throughout the university system. The hiring official may:
A.
provide the vacancy as an internal opportunity before recruiting externally, in accordance
with R04.03.015; for external postings, university employees will be considered on an
equal basis with external applicants;
B.
directly appoint a qualified employee into the position as part of a training or
development opportunity or an approved Career Development Plan, with the approval of
the regional human resources office.
(01-12-07)
R04.03.035. Special Recruitment Categories: Direct Appointment.
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Direct appointment is a selection made without open recruitment and requires approval of the
regional human resources office. Direct appointments may be granted pursuant to R04.03.033
and in those cases in which open recruitment can be demonstrated to be inappropriate, such as:
A.
a request for a noncompetitive placement in a vacant position in the same or lower salary
grade within the university system; prior approval of such placements must be obtained
from both departments affected and the regional human resources office;
B.
to hire a qualified candidate from an underutilized class for whom an AAP hiring goal
has been identified, provided that no applicant for employment may be directly appointed
to any position solely on the basis of their protected class status;
C.
to hire an author, principal investigator, or staff of a restricted fund or other sole source
project where the position exists only if a particular individual with exceptional
qualifications is interested and available;
D.
to hire a term faculty member to replace a faculty member who unexpectedly fails to
return for the beginning of classes, or is unavailable for other reasons, or when an
unexpected increased enrollment warrants additional faculty.
(01-12-07)
R04.03.036. Special Recruitment Categories: Re-appointment of a Seasonal, Grant or
Contract Worker.
An employee may be re-appointed into a temporary or term-funded seasonal, grant, or contract
position within the same or following calendar year if the employee was originally selected and
employed in accordance with policy and regulation and in consultation with the regional human
resources office.
(01-12-07)
R04.03.040. Public Disclosure.
Information on applicants will not be provided when public disclosure would deter the open
exchange of opinions and recommendations between university officials during an active
search/recruitment.
R04.03.090. Definitions.
In this chapter, unless the context otherwise requires:
A.
“AAO” means affirmative action officer and has the meaning given in R04.02.011;
B.
“AAP” means affirmative action plan and has the meaning given in R04.02.011;
C.
“hiring official” means the department or MAU level administrator, manager or
supervisor who has been delegated the authority to extend a job offer;
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D.
“regional human resources office” or “human resources office” is the appropriate MAU
office responsible for administering human resource functions.
(01-12-07)
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REGENTS’ POLICY
PART IV – HUMAN RESOURCES
Chapter 04.04 - Faculty
P04.04.010. Academic Freedom.
Nothing contained in regents’ policy or university regulation will be construed to limit or abridge
any person's right to free speech or to infringe the academic freedom of any member of the
university community.
(06-20-97)
P04.04.020. Construction.
This chapter and university regulation shall govern the university system and the institutions
therein, regulating the matters contained herein as authorized by law. Nothing contained in this
chapter shall be construed to restrict the power of the board to periodically alter, amend, revise,
or repeal the provisions hereof in whole or in part from time to time.
(07-01-89)
P04.04.022 . Application.
This chapter and the university regulation promulgated under it shall apply to the university
system and are designed and intended for use with appropriate policies and procedures
developed for each university and community college, which the board will also approve. These
policies and procedures may differ from each other in their provisions, but no provision of
regents’ policy and university regulation may supersede the application of the this chapter or
university regulation.
(07-01-89)
P04.04.030. Definitions.
In this chapter, unless otherwise specified or the context requires otherwise,
A.
"academic ranks" means the ranks held by persons having the title of professor, associate
professor, and assistant professor; which titles denote academic rank exclusively; the title
of instructor may also be a title of academic rank at the discretion of the policies and
procedures approved for each university; subject to the provisions of E. of this section;
B.
"faculty" means those persons who have accepted and hold appointment to academic rank
or special academic rank;
C.
"non-tenure track position" means a position that does not provide a faculty member any
rights to consideration for appointment to tenure;
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D.
"policies and procedures approved for each university" means those policies and
procedures designed by each university for its own use and approved by the board;
E.
"special academic ranks" means those ranks held by persons having a title or a
qualification to a title specified in this paragraph; these titles denote special academic
rank exclusively:
1.
“adjunct” means a person employed to teach one or more courses up to 15 credit
hours per year, or other academic assignment at less than 50 percent of a full-time
appointment;
2.
“affiliate” means a person in voluntary faculty service, not employed by the
university;
3.
“clinical” means a person in a special category reserved for practitioners in the
health care delivery professions;
4.
“instructor” means a faculty member employed to teach and perform other faculty
functions as assigned;
5.
“lecturer” is a person employed to teach full- or part-time;
6.
“Research” means a person in a position supported primarily by grant funding;
7.
“visiting” means a person : employed to perform the faculty functions expected of
academic rank for a specific period;
F.
"tenure" means the status of holding a faculty appointment on a continuing basis
following evaluation and award according to the terms of P04.04.040.B;
G.
"tenure track position" means a position that may lead to consideration for appointment
to tenure as described in the policies and procedures approved for each university; a
tenure track position will require the performance of faculty function at least 50% of fulltime; for exceptional cases, and when in the judgment of the chancellor the best interests
of the university will be served, a faculty member may be appointed to a tenure track
position at less than 100% but more than 50% of a full-time appointment;
H.
“university" means any one of the three universities within the University of Alaska.
Cross-reference: For other definitions applicable to this chapter, see P04.04.040.
(07-01-89)
P04.04.040. Appointment Categories.
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The following categories of appointment shall be used to fully specify the type of appointment
and associated rights:
A.
B.
Type of Position
1.
Tenure track position. Faculty appointed to tenure track positions either hold
tenure or may become eligible for consideration for appointment to tenure under
the conditions stated in P04.04.045. Time spent in these positions shall be
counted towards the maximum time by which a tenure track appointee must be
considered for tenure for continuation of employment. Faculty appointed to
tenure track positions shall have titles of academic rank.
2.
Non-tenure track position. Faculty appointed to non-tenure track positions have
no rights to consideration for appointment to tenure, nor does time spent in these
positions count toward tenure. Faculty appointed to these positions shall have
titles of special academic rank.
Tenure Status
A faculty member appointed to a tenure track position may receive tenure only under the
conditions of P04.04.045 and 04.04.050.
C.
D.
Faculty rank and title.
1.
Academic rank. Titles of academic rank shall be the same throughout the
university system with the exception of the use of the title "instructor" as set out
in 3. below. Titles designating academic rank exclusively are: assistant professor,
associate professor, and professor.
2.
Special academic rank. Titles of special academic rank shall be the same
throughout the university system with the exception of the use of the title
"instructor" as set out in 3. below. Titles designating special academic rank
exclusively are: lecturer and titles of academic rank preceded by the terms
adjunct, affiliate, visiting, research, or clinical.
3.
Instructor. The title "instructor" is to be used for those faculty employed to teach
and perform other faculty functions as assigned. A university may, in accordance
with the policies and procedures approved for that university, use the title of
instructor as a title of academic rank or special academic rank, but not both.
Continuing and fixed term appointments
1.
Continuing appointment. A continuing appointment is one that is expected to
continue unless a faculty member is terminated in accordance with P04.04.047.
Continuing appointments shall be given with appointment to academic rank and
tenure track positions, with or without tenure. A continuing appointment may be
appropriate for an appointment to special academic rank.
Continuing
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appointments may be made for up to three years in duration. Appointment may
be renewed subject to limitations imposed by P04.04.045.
E.
2.
Fixed term appointment. A fixed term appointment is one that is expected to
expire at the end of a specified period of up to three years unless renewed or
terminated early in accordance with P04.04.047. Such appointments may not be
made for periods longer than three years, but may be renewed. Fixed term
appointments may be given to a faculty member appointed to special academic
rank.
3.
Terminal appointment. A terminal appointment is a non-tenure track fixed term
appointment used when a decision has been made to terminate a faculty member
at the end of the next appointment.
Appointments of distinction for faculty.
1.
Distinguished Professors. Tenured appointment as distinguished professor may
be made by the president, subject to a process of review and recommendation
established by the chancellor of the MAU in which the faculty member holds
tenure.
2.
Distinguished Visiting Professors.
Appointment as distinguished visiting
professor shall be made by the chancellor, following consideration of
recommendations of the faculty. Such appointment shall be reported to the
president and shall be a non-tenure track appointment for a period of time not to
exceed three years. These appointments are renewable indefinitely.
3.
Professor Emeritus or Emerita. Appointment as professor emeritus or emerita is
an honor conferred by the chancellor, following consideration of
recommendations by the faculty, upon an outstanding retiree of the university as
described in Policy and Regulation 04.04.070 – Emeritus Status.
(04-14-05)
P04.04.041. Appointment Year and Appointment Obligation.
A.
Unless the terms of appointment otherwise provide, the normal appointment year shall be
from July 1 to June 30 or a portion thereof, regardless of payroll mode. The duration of
appointment obligation may be for a full year or less as follows:
1.
Fiscal year obligation. An obligation of service for the full fiscal year, i.e., twelve
months;
2.
Academic year obligation. An obligation of service for the academic year as set
by each university or community college;
3.
Institutional year obligation. An obligation of service for any period less than a
full year, other than the academic year.
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B.
Academic year and institutional year faculty may be required to serve at dates
necessitated by a unit's operating requirements.
(04-15-04)
P04.04.042. Faculty Obligation.
A.
Faculty obligation may include teaching, research or other scholarly and creative activity,
public service, university service and other duties and responsibilities required of a
faculty member during the appointment year, and shall be consistent with academic rank
and professional or disciplinary field.
B.
A faculty member shall not engage in outside activities that interfere with or are
inconsistent with the performance of faculty obligation or are determined to run counter
to the provisions of the AS 39.52 (Alaska Executive Branch Ethics Act) or P04.10.030 or
R04.10.030 governing conflict of interest.
(04-15-04)
P04.04.043. Method of Appointment.
All appointments shall be made by the chancellor or the chancellor’s designee in accordance
with this chapter, university regulation and procedures approved for each university.
(04-15-04)
P04.04.045. Tenure.
A.
Tenure is established to assure the academic community an environment that will nurture
academic freedom by providing employment security.
B.
The responsibilities rights and privileges of tenure are:
C.
1.
Performance: A tenured faculty member has a responsibility to maintain high
standards of professional performance and conduct.
2.
Appointment: An appointment with tenure shall be an appointment to academic
rank which shall not be affected by changes in such rank and shall be continued
until resignation, retirement, or termination. The award of tenure guarantees
continuing appointment for at least nine months per year. Any change in fraction
of full-time appointment as a tenured faculty member must be by mutual consent
of the university and the faculty member. The award of tenure does not exempt a
faculty member from changes in policies and procedures approved for each
university.
3.
Locus of tenure: Faculty are tenured within an academic unit or units of a
university of the University of Alaska system.
Tenure is not received automatically. It is awarded only following careful consideration
of an applicant faculty member in accordance with the methods described in this chapter
and the policies and procedures approved for each university. Following consideration of
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the recommendations of the faculty, the chancellor may grant tenure to faculty who are
qualified.
D.
Eligibility for consideration for award of tenure:
1.
Criteria. Tenure may be awarded to faculty appointed to a tenure track position
and any academic rank. Tenure is not awarded to faculty members holding special
academic rank.
2.
Conditions. A faculty member may request an evaluation for award of tenure
during any year of service. However, a faculty member must be reviewed for
tenure in accordance with the following:
a.
Initial appointment to full or associate professor. An initial appointment to
the rank of professor may be made with or without tenure. However,
faculty receiving such appointments without tenure must be reviewed for
tenure no later than the second consecutive year of service. Appointments
to full professor may continue beyond the third year only with tenure.
Initial appointment to the rank of associate professor also may be made
with or without tenure. Likewise, faculty receiving such appointments
without tenure must be reviewed for tenure no later than the fourth
consecutive year of service. Appointments to associate professor may
continue beyond the fifth year only with tenure.
b.
Promotion to associate professor. Non-tenured faculty undergoing review
for promotion to associate professor must also be reviewed for tenure.
Promotion to associate professor cannot be made without prior or
simultaneous award of tenure.
c.
Review of assistant professor. All non-tenured faculty appointed at the
rank of assistant professor must be reviewed for tenure no later than the
seventh consecutive year of service in this rank. Service in this rank or in a
combination of this rank and a tenure track appointment as instructor may
continue beyond the eighth year only with tenure.
d.
3.
Review of instructor. Faculty with the title of instructor may be reviewed
for tenure only if the title is one of academic rank according to policies
and procedures of an individual university. In this case faculty must be
reviewed for tenure no later than the seventh consecutive year of service in
this rank. Service in this rank may continue beyond the eighth year only
with tenure if the title is one of academic rank.
Years of Service
a.
Toward mandatory review. In computing total consecutive years of service
for determining the time of mandatory tenure review, periods of leave at
full salary and sabbatical leave will be included. Periods of leave of
absence at partial or no salary shall not be included unless requested by
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the faculty member and approved at the time the leave is granted.
However, regardless of inclusion in the computation of total years, leave
of absence shall not be deemed an interruption of otherwise consecutive
service. Years of service preceding a break in consecutive years of
university employment may be counted only upon agreement between the
faculty member and the university at the time of re-employment.
b.
Partial year of service. A partial year of service which includes at least one
semester of full-time faculty service, as in a mid-year appointment, will be
included as a full year of service in computing the time of mandatory
tenure review only if this year has been included in determining eligibility
for any sabbatical leave.
E.
Failure to receive tenure. A faculty member must stand for tenure in the mandatory
review year as defined in D.2 of this section. If tenure is not awarded, the faculty member
shall be offered a terminal appointment for one additional year of service. A faculty
member may stand for tenure prior to the mandatory year of review. In so doing, the
candidate may withdraw at any step in the process prior to review by the chancellor. If
the decision of the chancellor is to deny tenure, the faculty member shall be offered a
terminal appointment.
F.
A faculty member who is offered tenure by a university pursuant to this policy but who
declines to accept it may continue to be employed in a manner to be determined by the
chancellor of each university.
(04-15-04)
P04.04.047. Termination of Faculty Appointment.
A.
Termination is the severance of the employment relationship of a faculty member which
is based on a decision to discontinue an existing employment relationship. Faculty may
be terminated under any of the conditions set out in this section.
B.
Non-retention. Non-retention follows a decision not to continue the employment of a
non-tenured faculty member in a tenure track position or of a faculty member holding
special academic rank and a continuing appointment. The chancellor or the chancellor’s
designee will notify the faculty member of this decision in writing not less than:
1.
three months prior to the end of an appointment expiring at the end of a faculty
member's first year of uninterrupted service within the university system, but not
later than March 1 for appointments ending in May, June, July or August;
2.
six months prior to the end of an appointment expiring after the completion of
one, but not more than two, years of service within the university system, but not
later than December 15 for appointments ending in May, June, July or August;
3.
twelve months prior to the expiration of an appointment after two or more years
of uninterrupted service within the university system.
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C.
Failure to receive tenure. Following a decision not to award tenure in the mandatory year
for tenure review, the faculty member will receive notice at least twelve months prior to
the end of the academic or fiscal year of final service.
D.
Retirement. Retirement eligibility is determined by the Teachers Retirement System, the
Public Employees Retirement System of the State of Alaska, or the University of Alaska
Optional Retirement Plan. Faculty planning to retire shall notify their supervisor as soon
as possible prior to the anticipated retirement date.
E.
Resignation. A faculty member intending to resign from employment with the university
system shall file with the appointing authority a written resignation stating the effective
date. A faculty member is expected to provide notice adequate to allow for his or her
orderly replacement.
F.
Discontinuance of program. When a decision is made to discontinue a program following
program review as specified in R10.06.010, a good faith effort must be made to place
tenured faculty in another program where appropriate. The chancellor or the chancellor's
designee will notify each faculty member of the decision to terminate employment in
writing not less than:
G.
1.
Three months prior to the end of the academic or fiscal year of a faculty member's
first year of uninterrupted service within the university system, but not later than
March 1 for appointments ending in May, June, July or August.
2.
Six months prior to the end of the academic or fiscal year after the completion by
a faculty member of one, but not more than two, years of service within the
university system, but not later than December 15 for appointments ending in
May, June, July or August.
3.
Twelve months prior to the end of the academic or fiscal year after two or more
years of uninterrupted service within the university system.
4.
Should the program be reactivated within two years, a tenured faculty member
shall be invited to return to the program faculty. The faculty member must notify
the university of the decision to decline or accept within 30 days of receipt of this
invitation.
Reduction in program. When a decision is made to reduce a program following program
review under R10.06.010 a good faith effort must be made to retain tenured faculty in
preference to non-tenured faculty, or to place tenured faculty in another program where
appropriate. The chancellor or chancellor's designee will notify each faculty member of
the decision to terminate employment in writing not less than:
1.
Three months prior to the end of the academic or fiscal year of a faculty member's
first year of uninterrupted service within the university system, but not later than
March 1 for appointments ending in May, June, July or August.
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2.
Six months prior to the end of the academic or fiscal year after the completion by
a faculty member of one, but not more than two, years of service within the
university system, but not later than December 15 for appointments ending in
May, June, July or August.
3.
Twelve months prior to the end of the academic or fiscal year after two or more
years of uninterrupted service within the university system.
4.
Should the program be expanded within two years, tenured faculty members shall
be invited to return to the program faculty. The faculty member must notify the
university of the decision to decline or accept within 30 days of receipt of this
invitation.
H.
Financial exigency. Following a declaration of financial exigency under P04.09 and
related university regulation, faculty members are entitled to a minimum of 60 calendar
days notice in advance of the cessation of their employment.
I.
Cause. Faculty may be dismissed immediately for cause. In this section, “cause” means
some substantial shortcoming that renders continuance in employment detrimental to
appropriate discipline and efficiency of service including incompetency, neglect of duty,
unprofessional conduct, or other conduct that interferes substantially with the continued
performance of duties. “Cause” may also include physical or mental incapacity.
(04-15-04)
P04.04.050. Evaluation of Faculty.
A.
It is the policy of the university to evaluate faculty on a schedule to be set as appropriate
for and by each university according to regents’ policy and procedure. Such evaluation
shall be the responsibility of the chancellor or the chancellor’s designee.
B.
The purpose of evaluation pursuant to this chapter shall be the appraisal of:
C.
1.
the extent to which the faculty member has met the professional obligation;
2.
the extent to which the faculty member's professional growth and development
has proceeded;
3.
the prospects for the faculty member's continued professional growth and
development; and
4.
the identification of changes, if any, in emphasis required for such growth.
Written documentation of the evaluation shall be made available to the faculty member
concerned. These evaluations shall play a major part in determining if the faculty
member will receive renewal of employment or be promoted or tenured.
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D.
In conducting evaluations pursuant to this chapter, faculty and administrative evaluators
may consider, but shall not be limited to, the criteria set out in 1.-7. of this subsection as
appropriate to the faculty member's professional obligation. In addition, units may
elaborate in writing on these or other criteria that take into account the distinctive nature
of the discipline or special university assignment. Criteria may include:
1.
mastery of subject matter, demonstrated by such things as advanced degrees,
licenses, certifications, awards, honors and reputation in the subject matter field;
2.
effectiveness in teaching, demonstrated by such things as: evaluation by peers;
reaction of students as determined by surveys and classroom and laboratory
observations; development of improved teaching materials and processes;
development of new courses; advising of students; assessments of student
achievement; and participation in necessary and routine duties that support
classroom performance;
3.
scholarly and creative activity, which is activity beyond the development of
curriculum demonstrated by such things as: success in developing and carrying
out significant applied and basic research; work in contributing to the arts;
publication in advancing knowledge; and reputation among colleagues and peers
both within and without the university;
4.
effectiveness of public service, demonstrated by such things as: professionally
related and publicly recognized service to constituencies external to the
university, including public and private sector groups, governmental agencies,
elementary and secondary schools, boards, commissions, committees, public
interest groups, community groups, businesses, and urban and rural residents;
successful design and implementation of technology-transfer programs to external
constituencies; application of directed research to the needs of constituencies;
recognition, awards, and honors from constituent groups; and reputation among
peer deliverers of public service;
5.
effectiveness of university service, demonstrated by such things as: work on
university committees and task forces; participation in faculty governance;
colleague assistance; administrative work; and work with students beyond formal
teacher-student relationships;
6.
professional development, demonstrated by such things as: research and other
scholarly and creative activity; continuing education or other activities to keep
abreast of current developments in the faculty member's fields; and ability to
successfully handle increased responsibility in the faculty member's professional
obligation;
7.
total contribution to the university, demonstrated by overall contribution to the
mission of the university system and of the individual unit.
(12-11-90)
P04.04.052. Evaluation of Faculty for Tenure.
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A.
Evaluation of non-tenured faculty for tenure shall be in accordance with this chapter and
the policies and procedures approved for each university. The chancellor may award
tenure to such faculty as are, in the chancellor’s opinion, qualified and for whom tenure
would be consistent with institutional need and mission. The chancellor shall give
consideration to the recommendations of faculty and other appropriate sources.
B.
Faculty holding academic rank shall be eligible for evaluation for tenure in accordance
with P04.04.045 and 04.04.050.
C.
Policies and procedures approved for each university shall delineate the exclusive process
by which the applicant may seek reconsideration of a decision not to award tenure. The
process shall allow the applicant to appeal to the president only in those instances in
which the chancellor’s action is inconsistent with the recommendations of the
reconsideration review body appropriate for each university.
(07-01-89)
P04.04.054. Evaluation of Faculty for Renewal of Appointment.
A.
Evaluation of non-tenured faculty for renewal of appointment shall occur at regular
intervals in accordance with this chapter and the policies and procedures approved for
each university. The chancellor or the chancellor’s designee may reappoint such faculty
as are, in the chancellor’s or designee's opinion, qualified and for whom reappointment
would be consistent with institutional need and mission. The chancellor or designee shall
give consideration to the recommendations of faculty and other appropriate sources as
well as to the operating requirements of the university.
B.
All non-tenured faculty holding academic rank or special academic rank are eligible for
evaluation for reappointment and must be evaluated in accordance with the terms and
conditions of their appointment and with the provisions of P04.04.050 and the policies
and procedures approved for each university.
C.
Policies and procedures approved for each university shall delineate the exclusive process
by which a faculty member denied reappointment may seek reconsideration of the
decision.
(07-01-89)
P04.04.056. Evaluation of Faculty for Promotion.
A.
Evaluation of faculty for promotion shall be in accordance with this chapter and the
policies and procedures approved for each university. Following the recommendations of
the faculty, the chancellor may promote faculty for whom promotion would be consistent
with institutional need and mission.
B.
Faculty are eligible to request consideration for promotion to the next highest rank in
accordance with P04.04.050 and the policies and procedures approved for each
university.
C.
Policies and procedures approved for each university shall delineate the exclusive process
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by which the applicant may seek reconsideration of a decision not to promote. The
process shall allow the applicant to appeal to the president only for decisions regarding
promotion to full professor and only in those instances in which the chancellor’s action is
inconsistent with the recommendations of the reconsideration review body appropriate
for each institution.
(07-01-89)
P04.04.060. Sabbatical Leave.
A.
Sabbatical leaves for professional development may be made available to faculty with
academic rank who meet the requirements set forth in this section. The objective of
sabbatical leave is to increase the faculty member's value to the university and thereby
improve and enrich its programs.
B.
Sabbatical leaves shall be granted for study, formal education, research and other
scholarly and creative activity, or other experience of professional value and may include
associated travel.
C.
Faculty holding academic rank who will have completed at least five consecutive years of
service within the university system shall be eligible for consideration to take sabbatical
leave during the sixth or subsequent year of service. Applicants who will have completed
at least five consecutive years of service within the university system from the date of
return from any previous sabbatical leave shall be eligible to be granted another
sabbatical leave to be taken during the sixth or subsequent year. In computing
consecutive years of service for the purpose of this section, periods of vacation leave and
periods of sick leave with salary shall be included. A partial year of service which
includes at least one semester of full-time faculty service may be included as a full year
of service for the purposes of eligibility for sabbatical leave if also counted as time
towards mandatory tenure review. The faculty member must apply for such inclusion in
writing. Periods of leaves of absences, other than vacation and sick leave with salary,
and periods of part-time service shall not be included but shall not be deemed an
interruption of otherwise consecutive service.
D.
Sabbatical leaves may be granted for one academic year or an equivalent period at rates
not to exceed six months salary or for one semester or an equivalent period at rates not to
exceed one semester's salary. Faculty may, with the prior approval of the chancellor,
accept fellowships, grants-in-aid, or earned income to assist in accomplishing the
purposes of their sabbatical leaves. In such cases, the chancellor may adjust the
sabbatical leave salaries to reflect such income provided that total earnings for the leave
period are not less than full salary had the recipient not been on leave. A faculty member
on a terminal appointment loses any rights to a sabbatical leave.
E.
Applications for sabbatical leaves shall be submitted to the chancellor through channels
and procedures contained in approved policies and procedures. Each application shall
include a statement outlining the program to be followed while on sabbatical leave and
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indicating any prospective income from outside of the university system.
F.
The recipient is obligated to return to the university for further service of at least one
appointment period. Failure of the recipient to fulfill this obligation will require the full
and immediate repayment of salary and benefits received from the university while on
leave, except in extenuating circumstances acceptable to the chancellor.
G.
A written report detailing the professional activities and accomplishments for which the
leave was granted and specifying the sources and amounts of additional funds secured for
this period shall be submitted by the recipient to the chancellor within three months after
returning from leave.
H.
Consistent with provisions of D. of this section, the chancellor may approve such
sabbatical leave as the chancellor deems appropriate. A record of such leaves shall be
reported to the president annually.
I.
Vacation and sick leave credits shall not be accrued or used during sabbatical leave.
(06-08-90)
P04.04.062. Time Off in Lieu of Annual Leave.
Faculty will receive time off rather than annual leave.
(06-20-97)
P04.04.070. Emeritus Status.
Emeritus status is an honor conferred by the chancellor upon the outstanding retirees of the
university and not an automatic recognition of services rendered. The perquisites of emeritus
status will be as provided by university regulation.
(06-20-97)
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UNIVERSITY REGULATION
PART IV - HUMAN RESOURCES
Chapter 04.04 - Faculty
R04.04.062. Time Off in Lieu of Annual Leave.
Faculty members with less than 12 month contracts will receive time off rather than annual
leave, which must be taken during times in the contract period as specified by the appropriate
chancellor. Time off will not accrue from one contract period to the next if not used, and no
payment is made for time off not used when a faculty member terminates employment.
(06-14-96)
R04.04.070. Emeritus Status
A.
A full-time faculty member who has attained the rank of full professor and who has
retired after a minimum of 10 years at the University of Alaska immediately prior to
retirement may be honored through appointment as professor emeritus.
Recommendations for conferring emeritus status may be made by the appropriate dean to
the appropriate Promotion Committee to be evaluated on the basis of the criteria for
promotion to the rank of full professor with the added caveat that the position of
professor emeritus is the highest honor that can be bestowed upon a retiring faculty
member. The committee's recommendations will be forwarded to the chancellor whose
decision is final and non-reviewable.
B.
In exceptional circumstances, the chancellor, or in the case of statewide administration
employees, the president, may confer emeritus status on other meritorious employees
who have provided a minimum of 10 years of faithful service of high quality to the
institution. Recommendations will proceed along the appropriate administrative channels
to the chancellor or the president.
C.
The Board of Regents may confer emeritus status upon a retiring president of the
university.
D.
Privileges available to emeritus employees may include the following:
1.
Listing in the appropriate university directory and catalog.
2.
Invitations to major university functions.
3.
Notice of campus functions and social gatherings.
4.
Use of library, gymnasium and food facilities on the same basis as active
employees in their category.
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E.
5.
Access to electronic mail, office space, laboratories and/or research facilities
(where such access is available at no charge to the university and does not
displace other faculty, staff, and/or students).
6.
Receipt of an identification card.
7.
Waiver of tuition for courses in which they themselves are enrolled.
Upon appointment to emeritus status, a retiring employee will be designated by the proper
title Emeritus/Emerita.
(02-22-01)
REGENTS’ POLICY
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PART IV – HUMAN RESOURCES
Chapter 04.05 - Salary Administration
P04.05.010. Compensation Policy and Responsibilities.
A.
Compensation is the total of salary plus all programs and benefits with monetary value,
including health and other insurance, contributions to retirement and pension programs,
holiday and leave provisions, educational opportunities, bonuses, and other employer
costs that benefit employees. Information regarding total compensation will be
communicated to staff on a regular basis.
B.
The university's total compensation package will facilitate staff recruitment and retention.
University administration will analyze current practice effectiveness, and revise practices
to sustain a viable workforce.
C.
Compensation for bargaining unit members is established by collective bargaining
agreements. This chapter applies to those employees not covered by a collective
bargaining agreement.
(07-31-01)
P04.05.020. Employment Definitions.
Employment with the university will be designated by status and pay type as established by
university regulation.
(06-08-01)
P04.05.030. Job Evaluation Process.
Compensation will be under a classification system to be established by university regulation.
Criteria for the establishment, maintenance and implementation of a classification system and
methods for evaluating jobs for purposes of classification will be established by university
regulation. The process for appealing an assigned job classification will be established by
university regulation and will not be subject to grievance under P04.08 and R04.08.
Compensation will be determined based upon the established classification for the job.
(06-08-01)
P04.05.040. Salary Structures.
Salary structures for designated employee categories will be established and set forth in
university regulation. The board must approve salary structures and any cost of living or other
adjustments to the structures, except as provided in P04.05.041 - 04.05.044. Methods for
placement and movement will be established in university regulation.
(12-09-04)
P04.05.041. Officers of the University and Senior Administrators.
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The salary structure for positions in this category will be based on appropriate market referents
established by the president. The president will designate those positions to be placed in this
category.
(06-08-01)
P04.05.042. Faculty.
Faculty will be compensated in accordance with university regulation.
(06-08-01)
P04.05.043. Regular Exempt and Nonexempt Staff.
A.
Regular exempt and nonexempt staff will be compensated in accordance with university
regulation.
B.
Annual cost of living adjustments will be provided in accordance with university
regulation.
C.
All recipients of annual in-grade salary increments will have at least a satisfactory or
higher performance evaluation.
(12-09-04)
P04.05.044. Casual Labor, Temporary Exempt and Nonexempt Staff, and Student
Employees.
Casual labor, temporary exempt and nonexempt staff, and student employees will be
compensated in accordance with university regulation.
(06-08-01)
P04.05.050. Performance Bonus.
The president or the president’s designee, may establish, from available resources, funds to be
distributed as bonuses to meritorious employees in extraordinary circumstances, including those
employees whose current pay is beyond the end of the salary schedule. Distribution of bonuses
will be made in accordance with procedures established by the president or the president's
designee.
(06-20-97)
P04.05.060. Geographic Salary Differentials.
Geographic salary differentials compensate employees for differences within Alaska for factors
including cost-of-living. Geographic differentials may be established by university regulation
and be based on the most recent State of Alaska geographic differential study.
(06-08-01)
P04.05.070. Shift Differentials.
Any provisions for shift differentials will be established by university regulation.
(06-08-01)
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P04.05.080. Responsibility for Plan Documentation.
The statewide office of human resources established under P04.01.010 will be responsible for
maintaining all master plan and summary plan documents relating to the compensation and
benefit programs operated by the university. The documents retained by the office will govern in
all disputes.
(06-08-01)
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UNIVERSITY REGULATION
PART IV - HUMAN RESOURCES
Chapter 04.05 – Salary Administration
R04.05.010. Compensation Policy and Responsibilities.
Prior to implementing new programs or modifying existing programs the university
administration will consult with the appropriate governance groups.
(08-17-01)
R04.05.020. Employment Definitions.
A.
Pay Status
Employment status will be designated according to the following definitions:
1.
Active Employee
Status in which a person is actively employed by the university, either on a
regular or temporary basis. An employee who is between the end of one contract
period and the beginning of the next contract period (e.g., less than 12 month
employees) will be considered an active employee for the purposes of employee
benefit eligibility.
2.
Leave of Absence
Status in which an employee is on approved leave for a specified purpose and
period of time, during which the employee receives no compensation, and accrues
and receives no university paid benefits, unless mandated by state or federal law.
3.
Sabbatical or Special Assignment
Status in which an employee is on an approved leave for a specified period of
time for professional development during which the employee receives
compensation in part or in total from the university.
4.
Termination
Status under which an employee's employment relationship is severed with the
university or as defined by university benefit plans.
B.
Pay Type
1.
Collective Bargaining Unit members will have pay type as established by
collective bargaining.
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C.
2.
University officers and senior administrators will have pay type and pay grades
established by the president of the university.
3.
Exempt (administrative/professional/technical or APT) personnel will have pay
type and pay grades established by the job classification system.
4.
Nonexempt (classified) personnel will have pay type and pay grades established
by the job classification system.
5.
Student employees will have pay type and pay grades established by special
conditions for student employment.
6.
Agricultural Workers will have pay type and pay grades established by job
evaluation, with special conditions as prescribed by the Fair Labor Standards Act
and the Alaska Wage and Hour Laws covering agricultural employees.
7.
Temporary Faculty (adjunct) will have pay type established by the chancellor.
Employment Categories
1.
Regular Employee
To be considered a regular employee, an individual must be in active, sabbatical,
special assignment, leave of absence or leave without pay status, and have a
continuing appointment or term-funded appointment.
To be considered benefit-eligible, a regular employee must be in active pay status
and must work 50 percent or more of full-time in a budgeted position, contract,
grant or general fund, which is expected to be continued from year to year.
Special categories of regular employees must meet the following criteria:
a.
Term-funded Employee
A term-funded employee is expected to work a minimum of 1,040 hours
in a 12-month period and be continued for a specified length of time or a
specified duration of a project, grant or contract and will be terminated at
the end of such time or as a result of inadequate funding necessary to
maintain 50 percent or more of full time on a regular basis.
A term-funded employee will be provided, in writing, the terms and
conditions of his/her employment at time of hire and at least annually
thereafter. A term-funded employee is not eligible for layoff or any type
of leave after the last day of his/her work assignment or after the
expiration of the grant or contract. A term-funded employee is eligible for
layoff provisions of policy and regulation for the remainder of his/her
work assignment, grant, or contract period as stated in his/her most recent
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letter of appointment.
b.
Extended Temporary Employee
An extended temporary employee must work 50 percent or more of fulltime in order to be benefit-eligible.
c.
Academic Employee
An academic employee must work 50 percent of full-time or more in a
budgeted teaching, librarian, counselor, research, museum, or similar
position in order to be benefit-eligible.
2.
Temporary Employee
Casual labor, adjunct faculty, and employees who do not work in budgeted
positions, and who do not meet the criteria for regular employment as outlined
above, will be considered temporary employees.
Casual labor employment will be on an emergency hourly paid basis for no more
than five days for each irregular occurrence. These positions are ineligible for
university benefits and employment documents must be completed before work
begins.
3.
Full-time Employee
Full-time employment may be either regular or temporary as described above and
must meet the following criteria:
4.
a.
Exempt (nonacademic) or nonexempt employees have an appointment
stipulating an anticipated work week of 40 or more hours on a continuing
basis for the entire contract period.
b.
Exempt academic employees work in a teaching, research, service,
librarian, museum, or similar position delivering a combination of public
service, research and/or instructional activity. Detailed definitions are
contained in Policy 04.04.
Part-time Employee
Employees who do not meet the criteria for full-time as described above in 3a. or
b. will be considered part-time employees. Part-time employment may be either
regular or temporary (as described above).
a.
Exempt (nonacademic) and nonexempt regular part-time employees, work
20 or more hours per week on a regular basis during the employment
contract period and work in budgeted or term-funded positions.
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5.
b.
Exempt academic regular part-time employees, deliver no less than 7.5
credit hours per semester in a combination of research, public service
and/or instructional activity.
c.
All part-time employment not covered by 4.a or 4.b will be considered to
be temporary employment.
Student Employee
Student employee status will be defined as nonexempt, temporary employment
that is non-continuous and variable as necessitated by both department
requirements and student academic schedules.
D.
Fair Labor Standards Act and Alaska Wage and Hour Law Criteria
1.
2.
Nonexempt Employment
a.
Employees in nonexempt categories will be compensated on an hourly
basis, rather than salary, and will be eligible for overtime pay for hours
worked in excess of 40 per work week, as approved in advance by the
employee's immediate supervisor, unless otherwise excepted by the Fair
Labor Standards Act and/or the Alaska Wage and Hour Laws. Hours
worked excludes all leave and holiday hours.
b.
Nonexempt employees will not be eligible for compensatory time-off in
lieu of overtime pay. This regulation does not prohibit the arrangement of
flexible working schedules for employees which do not exceed 40 hours in
any work week.
c.
Nonexempt employees are required to submit timesheets for all hours.
Exempt Employment
a.
Employees in exempt categories will be compensated by salary, rather
than hourly rates of pay, and will not be eligible for overtime pay.
b.
An exempt employee’s appointment letter may provide for salary
augmentation for additional and separate work assignments which exceed
the normal scope of the position. Any such supplemental compensation
shall be determined and approved by the statewide chief human resources
officer. Salary augmentation for faculty shall be determined in accordance
with University Regulation 04.05.042.D.
c.
Exempt employees are not required by federal or state law to submit
timesheets for pay purposes; however, they may be required to do so by
the supervisor or department head and must always submit timesheets
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when using leave hours during the pay period in question.
(11-03-09)
R04.05.035. Job Classification System
A.
General
The Job Classification System groups work into Job Families. Levels within the
job family reflect the nature and complexity of the work. The Job families are
evaluated, using the Hay Evaluation System, to link each level with a salary
grade. Individual positions are allocated to the appropriate family and level based
on the family concept and level descriptions.
B.
C.
Development/Modification of Job Families
1.
The Statewide Office of Human Resources will establish a process for
developing and modifying job families. The process shall include
participation by HR professionals, clients and subject matter experts.
2.
New or revised job families must be approved by the chief human
resources officer.
Implementation
1.
Timing
a. Initial implementation for job families will be scheduled following
completion, at a time convenient to and concurrent with the payroll cycle.
b. For jobs converted to the job classification system after an initial job
family implementation, the effective date will be the first day of the next
full pay period.
2.
D.
Salary Impact
a.
If the grade remains the same, salary will be unchanged.
b.
If the new grade is lower, the current incumbent will be grand-parented
into their current grade. When the incumbent leaves the position, the
appropriate job family level and grade will be used to refill the job.
c.
If the new grade is higher, employees will move to the step in the higher
grade that is equal to current pay. If there is no equal step, the employee
moves to the next closest higher step.
Position Allocation
1.
Position Description (PD) Form
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The supervisor will use the PD Form to describe the primary duties and
responsibilities of the position. The PD Form must be reviewed and signed by the
supervisor and an executive class position or delegee to verify content, accuracy
and completeness of the information. If the job being described has an
incumbent, s/he also will review the completed form.
2.
New Positions
The MAU Human Resources Office will allocate the position based on the PD
Form prior to initiating recruitment.
3.
Reclassification
The MAU Human Resources Office will allocate the position based on the PD
Form provided by the supervisor.
4.
Refilling Vacancies
a.
Change in Job Family/Series
The MAU Human Resources Office approves Job Family/Series changes
based on the revised PD Form.
b.
Change to Level within a Family/Series
Level changes must be documented on the PD Form and submitted to
human resources. When recruiting to fill a vacancy, the MAU human
resources office classifies the position based on the position description, in
consultation with the supervisor. Changes are subject to budgetary
approval consistent with the practices of the MAU.
E.
Allocation/Reclassification Process - Human Resource Office Responsibilities
1.
2.
MAU Human Resource Office
a.
Assigns staff to review and allocate positions.
b.
Notifies supervisor of allocation results and appeal option. For occupied
positions, changes are effective the first day of the next full pay period
following receipt of the PD Form by the HR Office.
c.
Maintains a record of classification results.
Statewide Office of Human Resources
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F.
a.
Maintains a record of Job Family allocations for all university staff
positions.
b.
Maintains the official Job Family Classification Descriptions.
c.
Facilitates the system-wide appeal process.
d.
Conducts periodic audits of classification practice to ensure consistent
alignment of classifications across the system. System wide classification
audits may be initiated by Statewide Human Resources and/or may be
requested by employees, management or MAU Human Resources Office.
Appeal Process
Staff and/or management may appeal the allocation of a position to the job family and/or
level. Appeals must be in writing and received by Statewide Office of Human Resources
within 30 calendar days of the effective date of the action appealed, or the notice letter,
whichever is later.
The appeal should state the allocation change sought and may include additional
information or documentation to support the appeal.
The appeal panel is appointed by the Statewide Office of Human Resources and
consists of three members with one representative each from human resources,
management and staff. At least one member of the panel shall be a subject matter
expert. The panel will review job family and level placement and may request
additional information or documentation. The determination of the appeal panel
is the final exclusive remedy and is not subject to grievance under Regents’
Policy and University Regulation 04.08.
The appeal panel will meet as needed to review appeals. Participants/presenters
may include the employee, the employee’s supervisor, the Human Resources
Office representative and an appropriate representative of the employee.
The Statewide Office of Human Resources will:
1.
Facilitate the appeal process and provide classification expertise and staff support
to the appeal panel.
2.
Schedule the panel review, including an opportunity for the appellant and other
participants to meet with the panel.
3.
Provide written notice of the outcome to the appellant and MAU human resources
office.
If an appeal results in a job family/level change, the action is effective retroactive to the first day
of the next full pay period following the initial submission of the PD Form to the MAU human
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resources office. When the appeal is from the implementation of a job family, any changes are
retroactive to the effective date of the implementation.
G.
Career Development Plan
1.
A Career Development Plan (CPD) provides an avenue for advancement through
a Job Family based on successful completion of established criteria and
objectives.
2.
The plan should identify the job family, levels and positions covered, objectives,
milestones and criteria to be met (e.g. training, skill level, duties/functions to be
assumed, time-in-grade), and overall timeframe.
3.
CDP’s may be established at the department, division, MAU or system-wide
level.
4.
CDP’s must be approved in advance by the chief human resources officer or
designee, based on the recommendations of the appropriate chancellor and MAU
Human Resources Office. Implementation of a CDP is subject to availability of
funding.
5.
Upon successful completion of the CDP milestones and criteria, an employee may
be advanced non-competitively to the next level of the Job Family, subject to
availability of funding and the review and approval of the MAU Human
Resources Office.
6.
Salary placement will be at the minimum of the new grade or at the step which
provides a 5 percent increase, whichever is greater. No increase will exceed the
last step of the new grade.
(05-13-10)
R04.05.040. Salary Structures.
Salary schedules are established for all positions in the university. Each schedule is guided by
regulation covering salary placement on initial appointment and salary movements.
(08-18-95)
R04.05.041. Officers of the University and Senior Administrators (Officers)
A. The president and such executive, dean and senior director positions designated by the
president are considered officers. Appointments to these positions will not be for greater
than one year’s duration unless authorized by the Board of Regents.
B. The Statewide Office of Human Resources, in coordination with each campus, will
prepare an annual report of all executive officer positions, including the market match
description, target market salary, current salary and amount of increase for the current
fiscal year. The president will be responsible for approving all executive officer
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appointments, movement, initial salary and salary increases. Periodically, the Board of
Regents will be provided this information.
C.
Salary Determination
Executive pay will be adjusted annually, subject to financial considerations, based on
performance and movement in the general university, state-wide and national salary
markets. The Statewide Office of Human Resources will conduct an annual market
review to determine the market median for each position. The President will approve all
executive pay adjustments.
A salary range will be established for each executive position based on the market
median for that position as follows:
Minimum
Market Target
Market Median
Maximum
(80% of market median)
(90% of market median)
(100% of market median)
(110% of market median)
Salaries may be set outside the range with the approval of the President.
D.
Placement
1.
a. The title of the appointment, and the base year salary will be recommended by
the chancellor and approved by the president. The president will determine the
base salary for officers.
b. Appointment and salary will be based on the duties and responsibilities of the
position, the employee’s education and experience, prevailing market conditions
and internal alignment.
2.
E.
The president’s salary will be established by the Board of Regents.
Termination of Appointment
Notice of intention to non-renew or terminate an officer appointment, other than
termination for cause, will be given by the president or designee with the approval of the
president, at least 6 months prior to the effective date. Officers may, at the election of the
president or designee, be given 6 months pay in lieu of notice.
F.
Transfer or Return to Non-officer Positions
Officers may be transferred to another position by the president, or designee, with written
notice. Employees will be paid at their current pay rate for a period of 6 months from the
date of the notice of transfer.
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Following the notification period, officers who transfer to a non-officer staff or faculty
position will be paid in accordance with applicable placement policy and regulation.
Employees who return to their previous position will be paid a rate in accordance with
R04.05.041 B.Employees will also have their salary adjusted to correlate with any
reduction in hours or length of their yearly contract.
G.
Movement
Increases in the annual salary for officers occur in the following ways:
Each year the chancellors and the president will set aside and distribute a fund for
discretionary salary increases which will equal 1.6 percent of the cumulative value of the
salaries in the officer category within their respective units.
Additionally, each year the president may set aside and distribute an additional fund of up
to 1 percent of the value of all officer salaries. Base pay increases or bonuses paid from
these funds may be used for promotion, retention offers, internal equity and market
adjustments, or extraordinary performance.
All discretionary salary increases and bonuses will require the approval of the president.
(08-17-01)
R04.05.042. Faculty.
ResourcesThe president or designee will be responsible for monitoring and ensuring consistent
application of regular non-represented faculty compensation.
A.
Placement
The initial rank, type of appointment, and base academic year salary will be established
by the appropriate chancellor. Rank, appointment, and salary will be based on the needs
of the institution, the faculty member's education and experience, and prevailing market
conditions as indicated by annual surveys of faculty salaries from sources appropriate to
the hiring department or program which will include, but not be limited to, the American
Association of University Professors (AAUP), Oklahoma State University (OSU), and
the College and University Personnel Association (CUPA).
Initial appointments at salaries above the maximum of the salary range of a faculty rank
require the approval of the chancellor and notification to the president.
Non-Represented faculty salary ranges for Professor, Associate Professor, Assistant
Professor, Instructor and Lecturer will be reviewed annually. Changes to the ranges will
be approved by the Board.
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B.
Movement
Increases in the base academic year salaries of faculty occur in the following ways:
1.
Discretionary Salary Increases
Each year the chancellors will set aside and distribute a fund for discretionary
salary increases which will, at a minimum, equal 1 percent of the approximate
cumulative value of regular faculty salaries from the previous fiscal year.
Salary increases from this fund will be used for promotion, retention offers, equity
salary adjustments, and extraordinary performance far beyond the expectations
required for an annual salary increase.
Procedures for the determination of discretionary salary increases must involve
appropriate faculty review and consultation. These raises will be decided by the
chancellor.
Promotion in rank may be accompanied by up to a 10 percent increase in current
base salary including all salary increases awarded at the time of promotion.
2.
Annual Salary Increases
An amount equal to 1.6 percent of the cumulative value of the salaries of eligible
regular base academic year faculty will be distributed to faculty in amounts of at
least 2 percent, but not to exceed 10 percent, of their previous base academic year
salary as annual salary increases.
The chancellor may distribute different amounts to each school or college based
on MAU priorities and unit productivity.
Faculty selected for these annual salary increases will be chosen on the basis of
their objective performance for the university as evidenced by such indicators as
the number of credit hours taught, student evaluations of teaching, publication,
research, grants and contracts, and service.
Procedures for the determination of performance-related salary increases must
involve faculty review and consultation. These increases will be based upon
faculty recommendations reviewed by deans and directors and approved by the
chancellor.
At the Board of Regent’s discretion, based on recommendation from the
president, annual fiscal year increases may be suspended.
C.
Salary Range Movement
Periodically, but no less than every five years, an analysis of the university's faculty
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compensation program will be conducted. If it is found that faculty compensation is
overall, or by discipline, leading or lagging the market relative to prevailing market
conditions as indicated by surveys of faculty salaries from sources appropriate to the
hiring department or program which will include, but not be limited to, the AAUP, OSU,
and CUPA, competitive levels will be achieved through range adjustments.
D.
Base Academic Year Salary Augmentation
Base academic year salary can be augmented through an administrative appointment, an
overload (additional assignment) during the academic year or through a summer
appointment or contract extension. Unusually heavy or additional research and/or
teaching responsibility during the academic year appointment will not result in extra
compensation. However, these circumstances may be offset by adjusted workload
agreements in the current or subsequent semesters.
Extra compensation at an appropriate rate as determined and approved by the chancellor
or designee, may be provided under the following circumstances:
1.
2.
Summer Appointment: Summer appointments may be made for summer session
instruction or other activities.
a.
Summer Session Instructional Assignments: Summer session instructional
programs are intended to be provided on a self-support basis. Salary
provided to regular faculty with an academic year appointment for
summer session instruction may range from a minimum rate set by the
temporary faculty salary structure to a maximum rate set proportional to a
faculty member's base academic year salary, depending on the needs of
the summer session program.
b.
Other Summer Assignments (Contract Extensions): Faculty holding an
academic year appointment and employed in the summer for other than
instructional purposes may receive up to one-ninth (1/9) of the academic
base salary for each month of full-time service outside the academic year.
In some cases, if the granting agency approves and the faculty member
takes no time off, an equivalent to 3 months of the base academic year
salary may be paid. In no case will payments exceed one-third of the base
academic year salary.
Overload Appointment: Overloads are additional and separate work assignments
during the base academic year appointment. Faculty who accept overload
assignments will continue to be held fully accountable for base academic year
responsibilities. Overloads may be granted as follows:
a.
Instructional Overload Assignments: Consist of additional instructional
assignments in programs external to the base academic year appointment.
Such instruction will constitute an assignment above that of a full-time
academic year assignment and there will be no opportunity in subsequent
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semesters for an adjustment in the faculty member's academic year
appointment.
b.
E.
Other Overload Assignments: Consist of non-instructional activities or
services required for short periods of time within an academic year. The
additional workload is granted when no feasible alternative means can be
found for absorbing the work into a regular full-time assignment.
(08-18-95)
Temporary Faculty (Adjunct)
1.
Placement
The pay level for temporary faculty credit hour instruction will be based upon the
temporary faculty salary structure maintained by the Statewide Office of Human
Resources. Temporary faculty salary structure pay levels will be based upon the
number of semesters previously taught at the University of Alaska and credit
hours per course. Temporary noncredit hour instruction salary will be negotiated
based on the needs of the institution, the faculty member's education and
experience, and prevailing market conditions or assigned through an appropriate
salary schedule or formula approved by the chancellor.
2.
Movement
Credit hour instruction salary will be increased as defined by the pay levels of the
temporary faculty salary schedule. Periodically, but no less than every six years,
an analysis of the university’s temporary faculty compensation program will be
conducted. Temporary noncredit hour instruction salary movement, if any, is
determined by placement as defined by the appropriate chancellor.
(06-20-97)
R04.05.043. Regular Exempt and Nonexempt Staff.
Placement and movement for exempt and nonexempt staff will be on the staff salary schedule as
maintained by the Statewide Office of Human Resources. Salary schedules for non-represented
employees will be established following consultation with the appropriate governance groups.
A.
Placement
1.
New hires will normally be placed on the first step of the assigned salary grade
Hires resulting from an advertised competitive recruitment may be placed above
the first step through Exceptional Placement.
2.
Exceptional Placement is salary placement of an employee above the first step of
the assigned salary grade based on criteria which may include: exceptional
qualifications of the selected candidate; lack of other qualified candidates; equity
and alignment with placements of similar staff within the unit.
Approval is
required as follows:
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a. Grades 71-79 (full range) and Grades 80-84 (up to the midpoint-through Step
28): Requires prior approval by the president or appropriate chancellor based
on recommendations from the MAU human resources office. The chancellor
or president may, in writing, delegate approvals as appropriate.
b. Grades 80-84 above the midpoint (above Step 28): Requires prior approval of
the president based on the recommendation of the Statewide Office of Human
Resources.
B.
Changes to Step Placement
1.
In-grade Salary Adjustments
In-grade adjustment requests require written justification including supporting
documentation, which includes a current performance evaluation completed
within the past six (6) months. An increase within a grade is an exceptional
occurrence and may be granted to address factors which may include internal
equity/alignment, sustained outstanding performance, professional or career
growth within a position, or retention. Such increases are within the sole
discretion of the University and require prior approval as follows:
In grades may not exceed five percent (five steps) in any 12 month period:
Requires approval by the MAU human resources director , the chief human
resources officer, or designee. Positions that have been reclassified are not
eligible for in-grade step adjustments for a minimum of a 12 month period
following reclassification.
2.
3.
Lateral Transfer (competitive/noncompetitive)
a.
Lateral transfer is defined as a reassignment of an employee from one
position to another within the same salary grade with no break in service,
through competitive recruitment or direct appointment.
b.
An employee who transfers laterally will retain the same salary step.
c.
Transfer hires resulting from a competitive recruitment may receive up to
a five (5%) pay increase based on criteria which may include: exceptional
qualifications of the selected candidate; lack of other qualified candidates;
equity and alignment with similar positions within the unit. Such
exceptions require prior approval by the president or appropriate
chancellor based on recommendations from the MAU human resources
office.
Appointment to an Acting Position
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In the event a qualified employee is temporarily appointed to a higher level
position in an acting capacity, for more than 30 calendar days, the employee will
be advanced to the minimum of the grade established for the position or to the
closest step within the grade that does not exceed a ten percent increase,
whichever is greater. Exceptions to this provision must be approved by the
regional human resources officer.
The pay increase remains in effect until the end of the acting assignment. No
increase will exceed the last step of the grade.
An acting appointment is given to an individual who is temporarily not
performing the majority of his/her previous duties in order to accomplish the tasks
of a higher level position. For those instances where the majority of the tasks of
his/her current position are still being accomplished and only additional
responsibilities from the higher level position are being assigned, an out-of-class
amount is more appropriate.
Proper documentation is required by the department and must be approved by the
MAU human resources office prior to initiating the action. Acting assignments
will be for a maximum of one year, and can only be extended upon request,
review and reauthorization.
An employee who is returning to his/her former position will have his/her salary
placed at the former salary for that position; all applicable salary increases will be
applied.
4.
Out-of-Class Pay
Out-of-class pay is appropriate when an employee is officially assigned additional
nonacademic duties on a temporary basis for at least 30 calendar days. Out-ofclass pay may be given for additional duties that are technically advanced; or
require substantially more discretion, authority or accountability; or otherwise
require the employee to utilize clearly higher level skills and abilities. .
The percentage of base pay amount increase available is between 3 percent and 10
percent, allocated in one percent increments,. All out-of-class adjustments must
be documented in writing. The percentage amount must be reviewed and reapproved every 90 calendar days by the MAU human resources office. If an
extension is requested following the initial 90 days, it must include a written plan
and timeline for concluding the temporary assignment, such as initiating a
recruitment or completion of an organizational or position restructure.
5.
Promotion
a.
A promotion for exempt and nonexempt staff is the movement from a
position in one grade to a position in a higher grade.
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b.
A promotion for exempt and nonexempt staff whose current salary
exceeds the last step of the new grade will not result in a salary increase or
decrease. A promotion for exempt and nonexempt staff whose current
salary does not exceed the last step of the new grade will result in a salary
increase. A promotional hire will receive a ten percent increase (ten steps)
or will be placed at the beginning of the new grade, whichever increase is
greater.
c.
Promotional hires resulting from a competitive recruitment may receive
exceptional placement based on criteria which may include: exceptional
qualifications of the selected candidate; lack of other qualified candidates;
equity and alignment with placements of similar staff within the unit.
Approval by the human resources director is required.
No increase will exceed the last step of the new grade.
d.
6.
Reclassification
Job reclassification which results in a change of salary grade will be administered
as follows:
For Upgrades:
a.
A reclassification for exempt or nonexempt staff whose current salary
does not exceed the last step of the new grade will result in a salary
increase. Reclassified staff receive a five percent increase (5 steps) or
placement at the beginning of the new grade, whichever increase is
greater.
b.
A greater than five percent increase may be granted to address exceptional
circumstances such as internal equity/ alignment, exceptional
qualifications, or external recruiting issues. Such increases are subject to
the availability of funding and require prior approval of the president or
designee, based on the recommendations of the appropriate chancellor,
vice-chancellor, provost, dean, or director and the Statewide Office of
Human Resources.
c.
No increase will exceed the last step of the new grade.
For Downgrades: A downgrade will not result in a salary increase.
7.
a.
The employee will be moved down to the closest step of the new grade
that is less than or equal to the current salary.
b.
If the current salary is beyond the grade maximum, the employee will be
moved to the top step of the new grade.
Demotion
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a.
A demotion for exempt and nonexempt staff is the movement from a
position in one grade to a position in a lower grade.
b.
A voluntary demotion is one that is agreed to by both the employee and
the receiving department. Factors to be considered in determining
placement in the lower range include qualifications, internal
equity/alignment, and recruitment/retention issues.
An employee may not receive an increase on voluntary demotion, except
where the current salary falls between steps in the lower grade; in this case
it may be adjusted upward to the next closest step.
If the employee’s salary exceeds the top step of the new range, the salary
may be frozen at their existing salary. When an employee’s salary is
frozen in this situation, the MAU human resources office approving the
request may place conditions on any increases for subsequent promotions
or reclassifications that do not exceed the salary grade of the position from
which the employee demoted. Such conditions shall be defined in the
appointment letter. Additionally, reclassification activity for the position
will not occur for six months following the effective date of the voluntary
demotion.
c.
C.
A non-voluntary demotion for exempt and nonexempt staff based on
inability to perform a job will result in a salary decrease. Placement will
be at the maximum of the new grade or to the step in the new grade which
is closest to but does not exceed a 10 percent decrease, whichever
decrease is greater.
Salary Schedule Review
Annually, the Board of Regents will review the staff salary schedule. Annual
adjustments will be applied to the staff salary schedule, subject to funding availability,
based on applicable internal and external factors, including consideration of the
Consumer Price Index (CPI) as reported by the Alaska Department of Labor and
Workforce Development.
(05-13-10)
R04.05.044. Casual Labor, Temporary Exempt and Nonexempt Staff, and Student
Employees
A.
Casual Labor
The Statewide Office of Human Resources will establish and maintain a casual labor
salary schedule. Casual labor employees are not eligible for pay movement. Current
regular University of Alaska employees are ineligible for casual labor hire.
1.
Placement
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a.
New casual labor hires will be placed at an hourly rate appropriate for the
type and nature of work being performed based upon the degree of
urgency, working conditions, specialized knowledge, skills, and
experience required.
b.
B.
The hiring authority, in consultation with the regional human resources
office, will determine appropriate salary placements for casual labor
within his/her area of responsibility. Upon request, this information will
be made available to the affirmative action office.
(08-18-95)
Temporary Exempt and Nonexempt Staff
. Terms and conditions of the temporary employment will be communicated to an
employee in
writing.
Non-exempt temporary hires who have worked 1,039 hours in any consecutive 12-month
period within the University of Alaska system with no break in service and work 50
percent or more of full-timemust be placed in extended temporary status. A break in
service for temporary and extended temporary status is a period of at least 10 consecutive
working days. Exempt temporary hires must exceed 100 percent full-time equivalency
for six months to qualify for extended temporary status. Movement from temporary to
extended temporary status will not affect step placement.
An employee will not be employed for more than 12 consecutive months in a continuous
extended temporary position. If the job is expected to continue beyond 12 months, a
term-funded or regular status job will be developed and recruitment conducted. Pay for
temporary exempt staff will not be reduced during pay periods in which a university-paid
holiday occurs.
Specific federal or state funded employment programs may require or prohibit certain
benefits for the duration of a temporary employee contract. Under these circumstances,
appropriate regulation may be waived by approval of the regional human resources
officer. A copy of the waiver will be provided to the Statewide Office of Human
Resources.
1.
Placement
a.
Temporary hires and extended temporary employees, excluding students
in student designated jobs and part-time faculty, are normally paid an
hourly pay step contained in the appropriate staff salary schedule
maintained by the Statewide Office of Human Resources and as specified
by regulation. Temporary hire salary placement at grade assigned
according to job duties must be approved by the regional human resources
officer based on consideration of the degree of urgency, working
conditions, specialized knowledge, skills, and experience required.
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b.
Salary step placement of temporary or extended temporary employees will
not be used as a basis for step placement in a term-funded or regular job.
2.
(06-20-97)
C.
Student Employees
Placement and movement for student employees will be established in the student
employment regulation.
(06-20-97)
R04.05.050. Performance Bonus
The president or such person(s) as the president may designate may establish, from available
resources, funds to be distributed as bonuses to meritorious employees in extraordinary
circumstances, including those employees whose current pay is beyond the end of the salary
schedule. Distribution of bonuses will be made in accordance with procedures established by the
president or the president's designee(s).
(06-20-97)
R04.05.060. Geographic Salary Differentials
Geographic salary differentials in the university are based on the most current State of Alaska
geographic differentials study. The rates are as follows (- = Base):
Aleutian Islands/Adak/Sand Point
Anchorage/Girdwood/Chugiak/Eagle River
Aniak/McGrath/Galena
Barrow/Kotzebue
Bethel
Bristol Bay/Dillingham
Cordova/Glenallen/Cooper Center
Delta Junction/Tok
Fairbanks
Ft. Yukon
Juneau
Kenai/Soldotna/Homer
Ketchikan
Kodiak
Nenana
Nome
Palmer/Wasilla
Seward
Sitka/Angoon
Skagway/Haines
Valdez
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27
30
42
38
27
11
16
42
9
20
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Yakutat
5
The president will adjust the listings as necessary. An employee whose differential would be
reduced in implementing a change in geographic differentials will not have a reduction in rate of
pay.
(12-25-94)
R04.05.070. Shift Differentials.
The university recognizes that nonexempt employees who may be required to perform their work
assignments during non-regular hours may merit additional compensation. The university will
apply a premium shift differential under the following circumstances:
A.
Nonexempt employees, including those in regular and temporary positions, working in
continuous operations which must be staffed on a 24-hour a day basis, are eligible for
premium shift differential pay.
B.
Premium shift differential pay is paid to employees whose normal work assignment
begins between 4:00 p.m. and 5:50 a.m. All other assignment periods are considered to
be part of a regular shift.
C.
Premium shift differential pay is 105 percent of the base rate.
(06-03-94)
R04.05.080. Responsibility for Plan Documentation
The Statewide Office of Human Resources (SWOHR) will be responsible for maintaining all
master plan and summary plan documents relating to the compensation and benefit programs of
the University of Alaska. Questions concerning the accuracy and/or currency of a document
should be addressed to SWOHR. In all cases the documents retained by SWOHR will govern in
all disputes. Updated documents will be distributed periodically.
(06-08-01)
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REGENTS’ POLICY
PART IV – HUMAN RESOURCES
Chapter 04.06 - Benefits and Leave
P04.06.010. Employee Education Benefits.
Regular employees, their spouses, and dependent children under the age of 24 are considered
residents for enrollment purposes. Regular employees, spouses, and dependents are authorized a
waiver of course credit hour charges as prescribed by university regulation. Employees are
responsible for any tax liability generated from employee education benefits.
(06-03-94)
P04.06.020. Insurance.
The president will establish by university regulation provisions for health, life, and disability
insurance.
(06-03-04)
P04.06.050. Retirement System.
A.
Several retirement programs are available to university employees. The placement of an
employee who is eligible for one of the retirement programs will be governed by the
appropriate state statute and the university’s master plan document.
B.
The statewide office of human resources will be responsible for preparing and
maintaining an accurate and inclusive listing of all university job titles for inclusion in
each of the available retirement programs.
(06-03-94)
P04.06.055. Other Retirement Plans.
The president will establish by university regulation provisions for employee participation in the
University of Alaska Pension Plan and certain tax deferred investments.
(06-07-07)
P04.06.080. Housing for Faculty and Staff.
Housing or a housing allowance will be provided by the university to the president and
chancellors. Housing will be reserved by the president for administration and staff personnel as
provided by regulation.
(06-03-94)
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P04.06.090. Workers' Compensation Insurance.
Workers' compensation is a "no-fault" law that prescribes medical and wage loss benefits to be
paid to an employee injured or made ill because of work conditions. It may also pay benefits to
dependents in case of death. Coverage of employees by workers’ compensation will be detailed
in the university regulation related to risk management.
(06-03-94)
P04.06.120. Annual Leave.
A.
Annual leave is accrued at a rate specified in this subsection for all eligible exempt and
nonexempt full-time employees except faculty with less than a 12-month contract. All
eligible part-time employees will accrue annual leave on an hours-paid basis. The
accrual rates are:
1.
2.
3.
B.
5.54 hours per 80 paid hour pay period during the first 5 years;
6.46 hours per 80 paid hour pay period during 6-10 years;
7.38 hours per 80 paid hour pay period over 10 years.
Annual leave accrued, but not used, will accrue to a maximum of not more than 304
hours. Unused leave in excess of the maximum at the close of business January 31 will
be forfeited.
(06-20-97)
P04.06.130. Sick Leave.
A.
Eligible exempt and nonexempt full-time employees earn 4.62 hours of sick leave per 80
paid hour pay period.
B.
Exempt and nonexempt full-time and part-time employees will accrue sick leave on an
hours paid basis.
C.
Overtime and other forms of premium pay do not qualify for sick leave accrual.
D.
At termination, all sick leave accumulations are lost. Employees who are rehired into a
leave eligible position within three years after layoff will have their previous accrued sick
leave reinstated.
E.
Exceptions, conditions and limitations applicable to eligibility, accrual and use of sick
leave will be in accordance with regulation. The president may establish by university
regulation procedures providing for the sharing of sick leave by university employees.
(06-20-97)
P04.06.140. Additional Leave and Holiday Benefit Provisions.
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The president will establish by university regulation provisions for the following:
A.
the schedule of holiday observances;
B.
sick leave without pay;
C.
parental leave;
D.
family and medical leave;
E.
jury duty;
F.
military leave;
G.
nonmedical leaves of absence; leaves granted under regulations promulgated under this
paragraph must be approved by the chancellor, or in appropriate cases, the president;
granting nonmedical leaves of absence will not affect the employee's status except as
established by regulation or as agreed in writing at the time leave is granted;
H.
special assignments to non-faculty staff of the university duties that require absence from
their units for periods of time;
I.
proportionate annual, sick, and holiday leave benefits for extended temporary employees.
(06-07-07)
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UNIVERSITY REGULATION
PART IV - HUMAN RESOURCES
Chapter 04.06 – Benefits and Leave
R04.06.010. Employee Education Benefits.
Regular employees, spouses and dependents are authorized a waiver of course charges under the
following conditions:
R04.06.010. Employee Education Benefits.
Regular employees, spouses and dependents are authorized a waiver of course charges under the
following conditions:
A. A.
B. Regular employees and employee dependents are education benefits eligible after the
employee completes an employment probationary period. Any waiver of this
requirement must be in writing with document coordination between the chancellor or
president, as appropriate, and SW Human Resources.
C. Eligible regular employees of the university may have a maximum of eight credit hours
waived in each fall and spring semester.
D. Eligible regular employees may have a maximum of four non-credit courses waived in
each fall and spring semester. The non-credit course must be chosen from a
UA-approved list of acceptable courses. This waiver requires prior written approval by
the employee's supervisor.
E. In an academic year a maximum of sixteen credit hours and eight non-credit courses may
be waived. An academic year begins with the fall semester and ends with the summer
term. Prior to the start of each academic term, the list of UA-approved non-credit courses
will be provided by the Statewide Office of Human Resources.
F. Eligible regular employees with an employment agreement with the university for the
following academic year, but who are off contract during the summer, may have up to
sixteen graduate or undergraduate course credit hour charges waived per summer session.
That same category of employees may have up to eight non-credit courses waived from a
UA-approved list per summer session. In all cases these waivers, combined with fall and
spring semesters, cannot exceed the sixteen credit and eight non-credit course limitation
in each academic year.
G. Eligible regular employees may take up to three credit hours during working hours with
prior written approval by the supervisor. Employees are not required to make up the time
if the supervisor believes the coursework will directly benefit the university.
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H. Eligible regular employees may take UA-approved non-credit courses during working
hours with prior written approval by the supervisor. Employees are not required to make
up the time for their attendance at UA-approved non-credit courses.
I. Eligible regular employees may attend credit courses that do not directly benefit the
university during working hours with prior written approval by the supervisor. The
employee will use accrued leave time or be responsible for making up lost work time
through a flexible work schedule requested through and approved by the supervisor.
J. Spouses, financially interdependent partners, and dependent children under the age of 24
of eligible regular employees will have course credit hour charges waived. Course
charges for non-credit courses will not be waived for spouses, financially interdependent
partners, and dependent children of employees.
K. An individual who qualifies for permanent disability during his/her regular employment
under the University of Alaska's long-term disability plan will have course credit hour
charges waived for a period of three academic years following qualification.
L. An employee who has included university coursework as part of an approved leave of
absence is entitled to the same education benefits as an eligible regular employee.
M. 500 level courses and year-long courses are not eligible for the education benefit.
N. Employees and dependents receiving undergraduate education benefits must maintain a
“C” or better GPA in the waived courses. Employees and dependents receiving graduate
level education benefits must maintain a “B” or better GPA in the waived courses.
Appeals will be handled through academic channels as per normal.
O. University employees who by virtue of their employment status qualify for the education
benefit cannot also claim spouse or dependent education benefits.
P. Education benefits cease upon termination of employment except for those courses in
which the employee, spouse or dependent(s), are currently enrolled and classes are in
session at the time of termination.
Q. Education benefits provided by this section apply to the total number of credit hours in
which the employee, spouse, and/or dependent enrolls.
R. An employee is responsible for any tax liability generated from employee education
benefits.
S. With the exception of non-credit UA-approved courses taken by employees, other
self-support course charges are not eligible to be waived under this benefit.
T. For a student enrolled in the WWAMI Medical Program the education benefit is
applicable only for University of Alaska-provided coursework.
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(07-01-2012)
R04.06.020. Insurance.
The president will establish by university regulation provisions for health, life, and disability
insurance.
(06-03-04)
R04.06.021. Health Insurance.
The University of Alaska provides a health benefit plan for eligible university employees and
their families.
(06-03-94)
R04.06.022. Life Insurance.
The University of Alaska provides a group life insurance plan for regular university employees.
(06-03-94)
R04.06.023. Disability Insurance.
The University of Alaska provides a long-term disability plan for regular university employees.
(06-03-94)
R04.06.050. Retirement System.
Several retirement programs are available to University of Alaska employees. The placement of
an employee who is eligible for one of the retirement programs will be governed by the
appropriate state statute and/or the university’s master plan document.
The University of Alaska Statewide Office of Human Resources will be responsible for
preparing and maintaining an accurate and inclusive listing of all university job titles for
inclusion in each of the retirement programs available.
(06-03-94)
R04.06.055. Other Retirement Plans.
A.
University of Alaska Pension Plan
On January 1, 1982, in conjunction with the university's withdrawal from the federal
Social Security program, a supplemental retirement plan called the University of Alaska
Pension Plan was implemented for eligible university employees.
(06-03-94)
B.
Tax Deferred Annuities
1.
Selection of Specific Plan
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As provided by Section 403(b) of the Internal Revenue Code (IRC), university
employees may elect to participate in tax deferred investments offered by
university specified tax deferred annuity providers (providers). The university
does not endorse these providers or the investments they offer.
Each provider has different participation policies and participants are solely
responsible for selecting a provider and funding vehicle. Participation in a tax
deferred annuity (TDA) by an employee is a contract between the employee and
the provider. The university merely provides a framework within which an
employee can enter into such agreements and reduce his/her salary by the
specified amount.
2.
Salary Reduction Agreements
Conditions governing salary reduction agreements are as follows:
3.
a.
Salary reduction agreements must be executed on the university’s official
salary reduction agreement form.
b.
Individuals authorized to sign salary reduction agreements are specifically
delegated such authority in writing by the Statewide Office of Human
Resources.
c.
An employee may change the amount of his/her salary reduction
agreement or provider at any time. A change in amount or provider will
require a new salary reduction agreement, signed by the employee and
delivered to the regional r human resources office. All changes will
become effective within 30 calendar days after receipt by the regional r
human resources office.
d.
Salary reduction agreements or changes will be effective at the beginning
of a pay period.
e.
Determination of the maximum contribution limits under IRC Section
402(g), Section 403(b), or Section 415 is the employee's responsibility.
Conditions for Acceptance by the University of a Provider
a.
A provider offering Section 403(b) funding vehicles to university
employees must have a fully executed tax deferred annuity agreement on
file with the Statewide Office of Human Resources.
b.
The executive director of Statewide Office of Human Resources, or
designee, is authorized to sign the tax deferred annuity agreement on
behalf of the university.
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4.
c.
The provider must demonstrate to the satisfaction of the executive director
of Statewide Office of Human Resources, or designee, that they have
reasonable prospects of enrolling a minimum of 20 university employees
in its program before the university will execute a tax deferred annuity
program agreement. If a provider does not enroll a minimum of 20
university employees within the first 12 months after executing a tax
deferred annuity agreement, it will be removed from the list of providers.
d.
A provider must maintain a minimum of 20 active university employees
enrolled in its programs to continue to be a provider. If the provider drops
below 20 participants, it must achieve a minimum of 20 within one year or
it will be dropped from the list of providers.
Responsibility
a.
The Statewide Office of Human Resources is responsible for maintaining
the tax deferred annuity agreement between a provider and the university,
for ensuring compliance with the agreement prerequisites, for establishing
and maintaining a master list of providers and contact numbers, and for
furnishing the regional human resources office with the list of providers.
b.
The Statewide Office of Human Resources is responsible for maintaining
the university’s tax deferred annuity program plan document.
c.
The regional human resources office is responsible for providing to
employees the official university salary reduction agreement form and the
provider list upon request.
(06-20-97)
R04.06.080. Housing for Faculty and Staff.
Except for housing provided by the university to the president and chancellor, and housing
reserved by the president for administration and staff personnel, all university housing for
employees will be assigned as determined by the appropriate chancellor or designee. The
determination of taxability is established by IRS code.
(06-20-97)
R04.06.120. Annual Leave.
A.
Annual leave is accrued at a rate specified below for all eligible exempt and nonexempt
employees. Regular faculty with less than a 12-month contract are not eligible.
1. Exempt and nonexempt full-time and part-time employees will accrue annual leave on an
hours paid basis.
2. Overtime and premium paid hours do not qualify for annual leave accrual.
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3. Rates of accrual are based on length of employment in a position which is eligible for
annual leave.
4. Annual leave may not be used in advance of accrual.
5. Annual leave must be used prior to LWOP except during holiday and mandatory closure
days, unless otherwise approved by the MAU regional human resources officer.
6. Rates of accrual for full-time exempt and nonexempt employees are:
5.54 hours per 80 paid hour pay period during the first 5 years
6.46 hours per 80 paid hour pay period during the next 6-10 years
7.38 hours per 80 paid hour pay period over 10 years
7. Extended temporary employees will accrue annual leave based on hours paid.
8. The President or designee may approve an exception to the accrual rate and/or deposit a
lump sum of hours in the leave bank for such purposes as retention, hiring incentives, or
recognition.
B.
Use of annual leave must be mutually agreed to and approved by the immediate
supervisor. If a request for annual leave is denied by the supervisor, the reasons for denial
will be provided to the employee in writing.
C.
Annual leave accrued but not used in excess of 304 hours will be forfeited at the end of
payroll processing for the pay period in which January 31 falls.
D.
The salary equivalent of unused annual leave may be paid upon retirement or termination
of an employee from the university. All accrued annual leave will be paid to the
employee's estate when a university employee dies.
E.
Anyone transferring from a position that provides annual leave to one which does not will
have his/her accumulated balance, , paid off at the effective date of the termination of
former status. The annual leave accrual rate is determined by the date of new hire into a
position which provides annual leave. The years of university employment when an
employee is in a status which does not permit the accrual of annual leave are not
considered when calculating rates of accrual.
F.
Annual leave does not accrue during: sabbatical leave, unpaid hours, special
assignments, temporary overload, summer assignments or additional assignment
contracts, periods for which workers’ compensation benefits are paid, periods of
suspension or other disciplinary action as approved by the regional human resources
office or terminal leave which must be approved by the regional human resources officer
and is defined as leave taken during pay periods immediately prior to an identified
termination date.
G.
Annual leave payments will not be continued after the date of termination or retirement.
H.
Temporary employees and student employees do not accrue annual leave.
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I.
Faculty on academic-year appointments do not accrue annual leave. However, they
receive time off, as provided in policy.
(06-20-97)
R04.06.130. Sick Leave.
A.
Definitions
1.
2.
3.
A “qualifying event” is an absence
a.
for an illness, injury, healthcare professional appointment and/or
treatment of the employee;
b.
to care for an immediate family member with an illness, injury, disability,
healthcare professional appointment and/or treatment when care by the
employee is necessary;
c.
to avoid the passing on of a contagious disease by the employee;
d.
to attend a funeral;
e.
approved for University Family and Medical leave, except absences for a
qualifying exigency and absences after the first three days off work due to
a work-related injury or illness; or
f.
for an illness which continues for more than three days when the employee
is on annual leave.
“Immediate family member” refers to an employee’s spouse, financially
interdependent partner, parent, child, sibling, stepparent, grandparent, parent of a
spouse or financially interdependent partner, grandparent of a spouse or
financially interdependent partner, and child of a financially interdependent
partner.
a.
“Parent” refers to the biological parent of an employee, or an individual
who stood in place of the parent of the employee when the employee was
either under age 18, or age 18 or older and incapable of self-care because
of a mental or physical disability.
b.
“Child” refers to a biological, adopted, or foster child, a stepchild, a legal
ward, or a child of a person standing in the place of a parent.
“Medical certification” means certification from a health care provider that
provides the following information:
a.
The name, address, telephone number, and fax number of the health care
provider and type of medical practice/specialization;
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b.
The approximate date on which the serious health condition commenced,
and its probably duration;
c.
A statement or description of appropriate medical facts regarding the
patient’s health condition for which sick leave or FML leave is requested.
The medical facts must be sufficient to support the need for leave. Such
medical facts may include information on symptoms, diagnosis,
hospitalization, doctor visits, whether medication has been prescribed, any
referrals for evaluation or treatment (physical therapy, for example), or
any other regimen of continuing treatment;
d.
If the employee is the patient, information sufficient to establish that the
employee cannot perform the essential functions of the employee’s job as
well as the nature of any other work restrictions, and the likely duration of
such inability;
e.
If the patient is a covered family member with a serious health condition,
information sufficient to establish that the family member is in need of
care and an estimate of the frequency and duration of the leave required to
care for the family member;
f.
If an employee requests leave on an intermittent or reduced schedule basis
for planned medical treatment of the employee’s or a covered family
member’s serious health condition, information sufficient to establish the
medical necessity for such intermittent or reduced schedule leave and an
estimate of the dates and duration of such treatments and any periods of
recovery;
g.
If an employee requests leave on an intermittent or reduced schedule basis
for the employee’s serious health condition, including pregnancy, that may
result in unforeseeable episodes of incapacity, information sufficient to
establish the medical necessity for such intermittent or reduced schedule
leave and an estimate of the frequency and duration of the episodes of
incapacity; and
h.
If an employee requests leave on an intermittent or reduced schedule basis
to care for a covered family member with a serious health condition, a
statement that such leave is medically necessary to care for the family
member, which can include assisting in the family member’s recovery,
and an estimate of the frequency and duration of the required leave.
An employee who requests leave to care for a covered service member shall obtain a
certification as described in 29 CFR 825.310.
B.
Leave Accrual
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1.
C.
Eligible exempt and nonexempt employees accrue 4.62 hours sick leave per 80
paid hour pay period.
a.
Exempt and nonexempt full-time and part-time employees accrue sick
leave based on hours paid.
b.
Overtime and premium paid hours do not qualify for sick leave accrual.
c.
Extended temporary employees accrue sick leave based on hours paid.
2.
At termination, all sick leave accumulations are lost. Employees who are rehired
into a leave eligible position within three years after layoff will have their
previous accrued sick leave reinstated.
3.
Temporary employees and student employees earn no sick leave; however,
appropriate sick leave credit, not to exceed 60 hours, is granted retroactively to
temporary employees employed on at least a half-time basis who change to
regular status without a break in service.
4.
Sick leave does not accrue during sabbatical leave, unpaid hours, terminal leave
(leave taken during pay period(s) immediately prior to an identified termination
date), special assignments, overload, summer appointments, additional
assignments, contract extensions, or periods for which workers’ compensation
benefits are paid.
5.
Sick leave will accrue on an hours paid basis when a continuing employee returns
to a new fiscal year contract.
6.
Full payment for accumulated unused sick leave will be made to the employee's
estate if the death occurs while the employee is employed by the university.
Conditions for the use of sick leave:
1.
Sick leave will be granted only for a qualifying event.
2.
The use of sick leave for absences covered by FML leave requires approval of the
regional human resources office. The employee must provide the regional human
resources office with sufficient medical certification or recertification upon
request.
3.
The use of sick leave for absences that are not approved for FML leave requires
the approval of the employee's immediate supervisor. The employee must submit
medical certification or other evidence of the qualifying event to document the
employee’s need for sick leave for absences that exceed ten workdays. The
supervisor may also request evidence of an illness of less than ten days or medical
appointments. During periods of sick leave in excess of two biweekly pay periods
(4 weeks) the employee must provide the supervisor with medical certification at
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predetermined regular intervals stating the condition of the employee's availability
for return to work.
4.
The employee must make proper notification as follows:
a.
The employee who is absent because of illness must notify, or if unable
have another notify, the supervisor within the first hour of the normally
scheduled work day. If the need for sick leave is a result of an emergency
condition, the employee’s supervisor must be notified as soon as possible.
b.
During a qualifying event of any duration, the employee must provide the
supervisor with as much advance notice as possible of the anticipated
beginning and ending dates of the absence.
c.
An employee must provide at least 30 days advance notice before sick
leave is to begin if the need for the leave is foreseeable based on an
expected birth, placement for adoption or foster care, planned medical
treatment for a serious health condition of the employee or of a family
member, or the planned medical treatment for a serious injury or illness of
a covered service member. If 30 days notice is not practicable, such as
because of a lack of knowledge of approximately when leave will be
required to begin, a change in circumstances, or a medical emergency,
notice must be given as soon as practicable.
d.
Unless the employee's absence is expected, the employee must continue to
notify the supervisor each normal work day of an absence for the
qualifying event.
5.
Sick leave may not be used in advance of accrual.
6.
The qualifying event period in excess of an employee's accrued sick leave will be
charged against the employee's annual leave accumulation.
7.
Sick leave will not be used during a holiday or a regular day off. An employee
may use sick leave during the calendar year end holiday closure upon submission
of written evidence of illness or a professional appointment or treatment.
8.
Sick leave may be used to arrange or attend a funeral. The eligibility rules for
such use are as follows:
a.
The sick leave must be approved by the employee's supervisor.
b.
Sick leave of up to five consecutive work days may be used to arrange or
attend the funeral of a member of the employee's immediate family. A
written request for periods exceeding five consecutive work days must be
provided and approved by the supervisor.
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c.
Up to one work day of sick leave may be taken to attend the funeral of a
friend or relative not in the immediate family.
d.
The supervisor will determine the number of employees who may attend
the funeral of a deceased employee. An employee attending such a
funeral must report sick leave for the time away from the job.
9.
Sick leave may be taken as terminal leave only in the event the employee meets
requirements for taking such leave. Terminal leave must be approved by the
regional human resources officer.
10.
Sick leave is paid at the employee's regular rate of pay effective for the time
period for which leave is taken.
11.
Paid sick leave may be denied if an employee fails to timely notify the supervisor,
fails to provide evidence of the qualifying event, or fails to provide medical
documentation.
12.
Paid sick leave is discontinued immediately:
13.
a.
upon employee's return to work status;
b.
upon determination by the employee's supervisor with professional
medical advice that the employee is able to return to work;
c.
upon refusal or failure by the employee to submit clear evidence of a
qualifying event on request or as required (in this case, the leave may be
retroactively disallowed);
d.
when the employee is eligible and qualified for disability retirement under
the applicable state retirement system or Social Security;
e.
upon exhaustion of sick leave;
f.
after the third day of disability, for an employee with a workers’
compensation claim; or
g.
upon the expiration of the employee’s job assignment.
h.
upon termination for any reason or no reason.
Sick leave requests which are not covered in regulation or requests for special
consideration are to be submitted through administrative channels to the regional
Human Resources office. The regional Human Resources office, after evaluation,
will forward a copy of the request and its recommendations to the chief human
resources officer for final determination.
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D.
Leave Share Program
1.
Purpose: The leave share program is established to allow employees to donate
sick leave to an employee who needs additional leave coverage for a medical
emergency that will require the prolonged absence of the employee from duty and
will result in the substantial loss of income to the employee.
2.
Definitions:
For the purpose of this regulation, the following terms will have the meaning as
indicated below.
Employee: An "employee" is a person in the employment of the university in a
position that is eligible to accrue sick leave, except for extended temporary
employees. Sick leave donor: An employee who voluntarily requests transfer of
accrued sick leave hours to the sick leave account of a leave recipient.
Sick leave recipient: An employee whose application to receive sick leave from
the accrued sick leave account of donor(s) has been approved and whose leave
has been designated as FML leave in accordance with R04.06.144, University
Family and Medical Leave
Medical Emergency: A serious health condition of the employee or the
employee’s immediate family member that will require the prolonged absence of
the employee from duty and will result in a substantial loss of income to the
employee because the employee will have exhausted all paid leave available. The
employee’s absence for the medical emergency must be designated as FML leave
in accordance with R04.06.144B and must exceed the employee’s accrued leave
balances by ten (100 or more consecutive work days.
Upon meeting the definition of a medical emergency, five (5) working days of
donated leave will be credited retroactively to the recipient.
3.
Procedures
a.
b.
Program Participation
A full-time employee may participate in the leave share program for a
maximum of 65 scheduled work days (520 hours) during a rolling 12month period measured backward from the date the employee uses any
donated sick leave. Part-time employees may participate according to
their prorated proportion of full-time.
Application for Leave Share Hours
A regular employee or the employee’s representative may request leave
share hours by completing the leave share application and the Family
Medical Leave (FML) request form.
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c.
Review of Application
The regional human resources director or designee will consider the
application and determine whether the employee is eligible for leave
share, whether the employee’s absence is a medical emergency and has
been designated as FML leave in accordance with R04.06.144B, and
whether the employee has been on sick leave without pay (SLWOP) for
the medical emergency for a period of at least ten (10) consecutive days.
d.
Exclusions
Leave cannot be donated to employees receiving compensation under
Workers’ Compensation, Long Term Disability, or any other
compensation plan, to any employees not eligible to accrue and use
accrued sick leave, or to employees who have been disciplined for leave
abuse within the prior two years.
e.
Administration of Approved Application
The employee is responsible foro requesting donations. If sufficient leave
is not donated, and at the employee’s request, their dean or director of the
employee’s department may issue a request for sick leave donations on
behalf of the leave recipient (anonymity may be requested).
An employee who wishes to donate sick leave to a leave share recipient
will complete a sick leave donation form and submit it to the regional
human resources office. Donations will be accepted on a first come, first
used basis. Separate forms may be submitted each pay period for
additional donations.
After the leave share recipient has used ten (10) consecutive days of sick
leave without pay (SLWOP) for the medical emergency, the transfer of
leave hours from the leave share donor(s) to the leave share recipient will
be made on an as-needed basis by pay period. The leave share recipient
may not receive more than the actual number of hours needed.
.
If a donor's sick leave donation is not needed by the recipient, the leave
share transfer form will be destroyed .
Donations may not be used for the first five (5) working days of the
qualifying ten (10) working day SLWOP period. Donation may not be
used beyond a leave share recipient’s termination date, exhaustion of FML
leave, or exhaustion of leave share benefit, whichever occurs first, or
beyond a leave share donor’s termination date.
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f.
Impact on Leave Share Donor
An employee donating sick leave hours to another employee does not
incur any deductible expense or loss either upon the surrender or deposit
of that leave or its use by the recipient.
Sick leave donated and used by the recipient is the property of the
recipient and will not be returned to the donor.
g.
Impact on the Leave Share Recipient
h.
In accordance with I.R.S. Revenue Ruling 90-29, amounts paid by an
employer to a leave recipient pursuant to a leave sharing plan are included
in the gross income of the recipient as compensation.
Request for Reconsideration of Denial
If an employee’s application for leave share is denied, the applicant may
request reconsideration within ten (10) work days by the chancellor (or
designee) or, if the applicant is a statewide administration employee, the
president (or designee). Any reconsideration constitutes the final
administrative determination of the matter by the University and is not
subject to appeal, grievance, or arbitration. Any further review of such
decisions must be pursued within 30 days of the final decision in
accordance with Alaska Rule of Appellate Procedure 602(a)(2).
i.
Prohibition of Coercion
An employee may not directly or indirectly intimidate, threaten, or coerce
any other employee or otherwise interfere with such an employee's right to
choose whether or not to donate, receive, or use sick leave under the leave
share program.
j.
Records
The leave share and FML application, decision, and other relevant
documentation will be maintained separately from employee's permanent
personnel file. A record of the number of hours used from the leave share
program will be kept in the permanent payroll file.
R04.06.141. Holidays
A.
Paid Holidays
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The following paid holidays are observed by the University of Alaska:
B.
1.
2.
3.
New Year's Day
An additional day before or after January 1, as specified by the president
Martin Luther King Jr. Day in Celebration of Alaska Civil Rights (third Monday
in January)
4.
5.
6.
7.
8.
9.
10.
11.
Day of Spring Recess
Memorial Day
Independence Day
An additional day before or after July 4, as specified by the president
Labor Day
Thanksgiving Day and the day immediately following
Christmas Day
An additional day before or after December 25, as specified by the president
Holiday Closure
Annually, the president will specify days to be observed as holiday closure before
and/or after the scheduled Christmas and New Year holidays. Employees may
take leave without pay or appropriate paid leave during holiday closure.
C.
Personal Holiday for Regular Nonexempt Staff
The personal holiday for regular nonexempt staff may be taken only after
satisfactory completion of the 6-month probationary period and is granted in
proportion to full-time equivalency of the employee.
Personal holidays do not accrue from year to year and, therefore, must be taken
during the fiscal year in which earned and must be approved in advance by the
appropriate supervisor. Personal holidays may not be taken during the pay period
which includes July 1.
(10-23-00)
R04.06.142. Sick Leave Without Pay.
A.
A sick leave without pay absence may only be granted when an employee has exhausted
all accrued sick leave with pay, all accrued annual leave, and any shared leave, except
that an employee may use the sick leave without pay necessary to qualify for leave share.
B.
The granting of sick leave without pay is subject to the same conditions as
sick leave with pay.
C.
Sick leave without pay will be granted in accordance with the Family and
Medical Leave regulation.
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D.
Notwithstanding any provisions of this or other university regulations, sick
leave without pay is at the discretion of the university, except to the extent it is
required by law. Unless prohibited by law, the university may terminate the
employment of any employee who is unable to work and has exhausted any
applicable Family and Medical Leave.
R04.06.143. Parental Leave.
Parental leave is available to employees and will be granted in the order of sick leave with pay,
accrued annual leave and sick leave without pay. All parental leave will be granted in
accordance with the Family and Medical Leave regulation.
(06-20-97)
R04.06.144. University Family and Medical Leave.
The university will provide family and medical leave in accordance with applicable state law
(A.S. 39.20.500) and federal law and regulation (29 U.S.C. 2601 and 29 CFR Part 825). The
university does not intend these regulations to provide greater leave benefits than those
established by state or federal law, except for continuing health care coverage, basic life
insurance, and long-term disability insurance for up to 18 workweeks of family and medical
leave.
A.
Eligibility for Leave
1.
An employee’s eligibility for family and medical leave is based on length of
employment in accordance with applicable federal and state law.
2.
University Family and Medical Leave (FML) will only be granted for one of the
following reasons:
a.
State Law
(1)
Because of pregnancy and the birth of a child of the employee or
the placement of a child, other than the employee’s stepchild, with
the employee for adoption;
(2)
In order to care for the employee’s child, spouse, financially
interdependent partner, or parent who has a serious health
condition; and
(3)
Because of the employee’s own serious health condition.
(4)
In this subsection, “parent” means a biological or adoptive parent,
a parent-in-law, a parent of a financially interdependent partner, or
a stepparent. “Child” means an individual who is under 18 years
of age, or who is 18 years of age or older and incapable of self-care
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because of mental or physical disability. “Child” includes the
employee’s biological, adopted or foster child, stepchild, child of a
financially interdependent partner, or ward.
b.
Federal law
(1)
For the birth of a son or daughter, and to care for the newborn
child;
(2)
For placement with the employee of a son or daughter for adoption
or foster care;
(3)
To care for the employee’s spouse, son, daughter, or parent with a
serious health condition;
(4)
Because of a serious health condition that makes the employee
unable to perform the functions of the employee’s job.
(5)
Because of any qualifying exigency arising out of the fact that the
employee’s spouse, son, daughter, or parent is on covered active
duty in the Armed Forces.
(6)
To care for a covered service member with a serious injury or
illness if the employee is the spouse, son, daughter, parent, or next
of kin of the covered service member.
(7)
In this subsection, “spouse” means a husband or wife. “Parent”
means a biological parent or an individual who stands or stood in
loco parentis to an employee when the employee was a son or
daughter. “Son or daughter” means a biological, adopted, or foster
child, a stepchild, a legal ward, or a child of a person standing in
loco parentis, who is either under age 18, or age 18 or older and
incapable of self-care because of a physical or mental disability.
(8)
“Covered active duty” means
(A) in the case of a member of a regular component of the Armed
Forces, duty during the deployment of the member with the Armed
Forces to a foreign country; and
(B) in the case of a member of a reserve component of the Armed
Forces, duty during the deployment of the member with the Armed
Forces to a foreign country under a call or order to active duty
under a provision of law referred to in 10 U.S.C. 101(a)(13)(B).
3.
The determination of a “serious health condition” will be made in accordance
with federal and state law. “Serious health condition” means an illness, injury,
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impairment or physical or mental condition that involves inpatient care or
continuing treatment by a health care provider.
Continuing treatment by a health care provider means any one of the following:
a.
Incapacity and treatment. A period of incapacity of more than three
consecutive, full calendar days, and any subsequent treatment or period of
incapacity relating to the same condition, that also involves treatment by a
health care provider. Treatment must include an in-person visit to a health
care provider within seven days of the first day of incapacity.
b.
Pregnancy or prenatal care.
c.
A chronic condition which:
(1)
Requires periodic visits (defined as at least twice a year) for
treatment by a health care provider;
(2)
Continues over an extended period of time (including recurring
episodes of a single underlying condition); and
(3)
May cause episodic rather than a continuing period of incapacity
(e.g. asthma, diabetes, epilepsy, etc.).
d.
A permanent or long-term condition for which treatment may not be
effective.
e.
Conditions requiring multiple treatments. Any period of absence to
receive multiple treatments (including any period of recovery therefrom)
by a health care provider, for:
(1)
Restorative surgery after an accident or injury; or
(2)
A condition that would likely result in a period of incapacity of
more than three consecutive full calendar days in the absence of
medical intervention or treatment, such as cancer (chemotherapy,
radiation, etc.), severe arthritis (physical therapy), or kidney
disease (dialysis).
A regimen of continuing treatment that includes taking over-the-counter
medications, bed-rest, drinking fluids, exercise, and other similar activities that
can be initiated without a visit to a health care provider is not, by itself, sufficient
to constitute a regimen of continuing treatment for purposes of FML leave.
Conditions that do not meet the definition of a serious health condition and do not
qualify for FML, unless complications arise, include the common cold, flu, ear
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ache, upset stomach, minor ulcers, headache other than migraine, routine dental or
orthodontia problems, periodontal disease, etc.
B.
4.
The determination of a “qualifying exigency,” “covered active duty,” “serious
injury or illness,” “veteran,” “next of kin,” and “covered service member” will be
made in accordance with federal law and regulation.
5.
All FML taken, either paid or unpaid, will be counted toward the period of leave
allowed under law.
Initiating Leave
1.
Notification Requirements – Employee
An employee must provide at least 30 days advance notice before FML leave is to
begin if the need for the leave is foreseeable based on an expected birth,
placement for adoption or foster care, planned medical treatment for a serious
health condition of the employee or of a family member, or the planned medical
treatment for a serious injury or illness of a covered service member. If 30 days
notice is not practicable, such as because of a lack of knowledge of approximately
when leave will be required to begin, a change in circumstances, or a medical
emergency, notice must be given as soon as practicable.
For foreseeable leave due to a qualifying exigency, notice must be provided as
soon as practicable, regardless of how far in advance such leave is foreseeable.
If the need for FML is unforeseeable or a result of an emergency condition, the
employee’s supervisor must be notified as soon as practicable.
The supervisor shall immediately notify the regional human resources office of
the employee’s request for FML.
An employee requesting FML shall complete the University of Alaska’s FML
forms and provide relevant certification, as defined in R04.06.130.A and
R04.06.144.H, to the regional human resources office to verify the reasons for the
leave request.
2.
FML by University Action
The regional human resources office will designate an employee’s leave as FML
when the university is informed of a qualifying FML event by the employee or the
employee’s representative. The supervisor shall immediately notify the regional
human resources office of the employee’s possible eligibility for FML.
3.
Notification Requirements – University
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The regional human resources office will notify the employee of the employee’s
eligibility to take FML within five working days, absent extenuating
circumstances.
Notification will include the employee’s rights and
responsibilities under FML and reasons for approval or denial.
If the employee has not provided sufficient information to document the need for
FML, the university may request additional information from the employee.
When the university has enough information to determine whether the leave is
being taken for an FML-qualifying reason, the regional human resources office
will notify the employee whether the leave will be designated and will be counted
as FML leave within five working days, absent extenuating circumstances.
Failure of the employee to provide the regional human resources office with
sufficient documentation within 15 calendar days of such request may result in
denial of the request for FML until the required certification or recertification is
provided.
The university may request a second or third FML medical opinion at the
university’s expense.
C.
Job Transfer
The university may unilaterally transfer an employee taking intermittent FML for
planned medical treatment to an alternative position for which the employee is qualified
and which better accommodates recurring periods of leave, in accordance with state and
federal law. A pregnant employee may request a transfer to a suitable position in
accordance with state law.
D.
Length of Leave
1.
Upon approval of the employee’s request or need for FML, the employee will be
granted FML not to exceed the greater of the allowable periods under state and
federal law, using a rolling 12-month period measured backward from the date the
employee uses any FML leave.
a.
State law. In accordance with A.S. 39.20.500, an eligible employee may
take leave for a qualifying serious health condition for a total of 18
workweeks during any 24-month period, and may take leave because of
pregnancy and childbirth or adoption for a total of 18 weeks within a 12month period.
b.
Federal law.
(1)
In accordance with 29 U.S.C. 2612, an eligible employee may take
leave because of a qualifying serious health condition, for the birth
or placement of the employee’s child, or for a qualifying exigency,
for a total of 12 workweeks during a 12 month period.
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(2)
An eligible employee may take leave to care for a covered service
member with a serious injury or illness if the employee is the
spouse, son, daughter, parent, or next of kin of the covered service
member. An employee who takes leave under this subsection is
entitled to a total of 26 workweeks of leave during a single 12month period.
If an employee’s leave qualifies under both state and federal law, the leave used
counts concurrently against the employee’s entitlement under both laws.
2.
E.
Intermittent Leave.
1.
F.
FML may not continue beyond the expiration of an employee’s job assignment.
“Intermittent leave” refers to leave taken in separate blocks of time:
a.
In non-sequential days;
b.
In less than a complete work day increment; or
c.
In less than a complete pay period.
2.
Medical necessity. An employee may request intermittent FML, or the university
may designate intermittent leave as FML, when there is a medical need for leave
that can best be accommodated through an intermittent or reduced leave schedule.
The employee’s request must include a health care provider’s medical
certification. The employee shall advise the regional human resources office of
the reasons why the intermittent leave schedule is necessary and of the schedule
for treatment, if applicable. If an employee needs leave intermittently for planned
medical treatment, the employee must make a reasonable effort to schedule the
treatment so as not to disrupt unduly the employer’s operations.
3.
Birth or placement. For the birth, adoption, or placement of a child, intermittent
leave may be taken if agreed to by the employee’s supervisor and proper
application is made.
4.
Qualifying exigency. Leave due to a qualifying exigency may be taken on an
intermittent basis.
Leave Usage for Family and Medical Leave
1.
Employees, other than those receiving workers’ compensation benefits, must take
any paid leave for which they are eligible concurrent with FML. If the FML
event is a qualifying exigency, employees must exhaust all annual leave prior to
using leave without pay. If the FML event qualifies for use of sick leave,
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employees must exhaust all accrued sick leave, all annual leave and any shared
leave prior to using sick leave without pay.
2.
G.
Workers’ compensation benefits do not allow an employee to use sick or annual
leave after the first 3 days of disability, even though the employee is eligible for
FML.
Benefits during Family and Medical Leave
1.
The university will continue an employee’s health care coverage, basic life
insurance, and long-term disability insurance during FML as provided in this
section. Any share of premiums which were paid by the employee prior to FML
must continue to be paid by the employee during FML.
a.
The university will continue an employee’s health care coverage, basic life
insurance, and long-term disability insurance on the same terms as if the
employee had continued to work, for up to 18 workweeks of FML in any
12-month period. If an employee is eligible for more than 18 workweeks
of FML, the employee must pay for all costs to maintain coverage during
any period of unpaid leave after the employee’s eighteenth week of FML.
b.
Notwithstanding the limitation in subsection a., the university will
continue an employee’s health care coverage during an absence that
qualifies as FML under federal law, on the same terms as if the employee
had continued to work.
2.
An employee requesting FML shall make arrangements with the regional human
resources office to pay the employee’s share of health care coverage and
supplemental and dependent premiums. Failure to timely pay any appropriate
premiums will result in cancellation of that coverage.
3.
Contributions are not made to the University of Alaska’s Pension Plan, Optional
Retirement Plan, Public Employees’ Retirement System, and/or Teachers’
Retirement System while an employee is receiving workers’ compensation or
taking unpaid FML.
4.
An employee shall reimburse the university for its share of health care premiums
incurred during unpaid FML if the employee fails to return to work and to work
for at least 30 calendar days after the employee’s FML leave entitlement has been
exhausted or expires. An employee will not be liable for payment if the
employee’s failure to return to work and to work 30 days results from:
a.
the continuous, recurrence, or onset of a serious health condition of the
employee and/or family member which would otherwise entitle the
employee to FML; or
b.
other circumstances beyond the control of the employee.
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H.
I.
Certification for Leave Taken Because of a Qualifying Exigency.
1.
The first time an employee requests leave because of a qualifying exigency
arising out of covered active duty , the employee shall provide a copy of the
military member’s active duty orders or other documentation issued by the
military which indicates that the military member is on covered active duty and
the dates of the covered active duty.
2.
Leave for any qualifying exigency shall be supported by a certification from the
employee that sets for the following information:
a.
A statement or description, signed by the employee, of appropriate facts
regarding the qualifying exigency for which FML leave is requested. The
facts must be sufficient to support the need for leave. Such facts should
include information on the type of qualifying exigency for which leave is
requested and any available written documentation which supports the
request for leave; such documentation, for example, may include a copy of
a meeting announcement for informational briefings sponsored by the
military, a document confirming an appointment with a counselor or
school official, or a copy of a bill for services for the handling of legal or
financial affairs;
b.
The approximate date on which the qualifying exigency commenced or
will commence;
c.
If the employee requests leave because of a qualifying exigency for a
single, continuous period of time, the beginning and end dates for such
absence;
d.
If the employee requests leave because of a qualifying exigency on an
intermittent or reduced schedule basis, an estimate of the frequency and
duration of the qualifying exigency; and
e.
If the qualifying exigency involves meeting with a third party, appropriate
contact information for the individual or entity with whom the employee is
meeting (such as the name, title, organization, address, telephone number,
fax number, and e-mail address) and a brief description of the purpose of
the meeting.
Return to Work
1.
An employee on FML shall report periodically on the employee’s status and
intent to return to work. The employee shall provide reasonable notice (within
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two working days of the changed circumstances) if there is a change in the
amount of FML initially anticipated.
J.
2.
An employee returning to work from FML within the legally allowed period will
be returned to the same or an equivalent job with the same pay, benefits, and
terms and conditions of employment in accordance with state and federal law.
3.
An employee must return to work on the first working day after the expiration of
the FML unless leave is extended as a reasonable accommodation for a qualified
individual with a disability.
4.
The university may require medical certification that the employee is able to
return to work and to perform the essential functions of the employee’s position.
5.
If it is determined by the supervisor and the regional human resources office that
the employee is unable or unwilling to return to work, the regional human
resources office will notify the employee of the employee’s termination for failure
to return to work from FML.
Records
All records of requests for FML, approvals, denials, and supporting medical
documentation will be maintained in the regional human resources office in a file
separate from the employee’s personnel file.
(05-19-10)
R04.06.145. Jury Duty.
In order that university employees may fulfill their civic responsibility as jurors or witnesses,
regular employees are granted leave of absence with pay for these purposes.
A.
“Jury duty” or duty as a court witness refers to that service and time spent away from a
university job as a result of a subpoena issued by a court. Service as a volunteer expert
witness or other volunteer court duty is not included in the provisions of this leave.
B.
The notification and compensation rules for such leave are as follows:
1.
Department heads are authorized to grant such leave with pay upon the
presentation of a subpoena by the employee. A record of absences for these
purposes will be maintained and reported as jury duty leave with pay.
2.
It is the responsibility of the employee to keep his/her supervisor or department
head informed of the anticipated time to be spent away from the job for this
purpose.
3.
The employee's regular university pay will continue to be paid during such leave.
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4.
Any pay received by employees from a court system for service on jury duty or as
court witness duty will promptly be returned by the employee to the university to
offset part of the cost of such leave.
5.
Temporary employees are not paid during jury duty. Temporary employees may
retain pay received from the court system for jury service.
6.
Extended temporary employees will not continue to be paid during such leaves,
but may use accrued annual leave or leave without pay.
(06-20-97)
R04.06.146. Military Leave.
A regular employee who is a member of a reserve or auxiliary component of the United States
Armed Forces is entitled to a leave of absence without loss of pay to a maximum of 16 and onehalf working days in one calendar year during which the employee is ordered to serve with the
National Guard or Reserve Forces, or the Civil Air Patrol or Coast Guard auxiliary units. If
requested, the employee must provide a copy of the order which will establish his/her eligibility
for military leave.
For other than required training periods discussed above, regular employees of the university are
entitled to a military leave of absence without pay to serve in the Armed Forces of the United
States and will be entitled to statutory benefits and rights to re-employment provided for by state
and/or federal law. For a military leave of absence, the employee must give advance written or
verbal notice of leave to the supervisor. If the leave is for more than 31 days, the returning
employee must, at the request of the supervisor, provide documentation that establishes length
and character of the service and the timeliness of the application for re-employment.
Voluntary involvement with non-military, auxiliary, or civil organizations, such as participation
in search and rescue missions, is not eligible for military leave or military leave of absence.
(06-14-96)
R04.06.147. Leave of Absence (nonmedical)
A regular employee who wishes to take an unpaid leave of absence in excess of 10 working days
is required to make the request in writing to his/her immediate supervisor. The application will
be forwarded through normal administrative channels, with recommendations being added at
each level, to the appropriate chancellor who will then notify the applicant, in writing, of the
decision. Notification must be sent to the MAU Office of Human Resources. An employee may
only rescind an approved leave of absence with written permission of the chancellor or designee.
All employees may request leave without pay for 10 working days or less. The employee's
supervisor may approve in writing a leave without pay request.
Granting leave of absence will not affect an employee's status except as provided by regulation
or as agreed to in writing at the time leave is granted.
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During the leave, the employee is entitled to rights and privileges as if he/she were in regular
service except that he/she will not receive salary and will not accumulate annual or sick leave.
An employee may continue health, life, and long-term disability insurance and retirement
programs to the extent allowed by the contracts with the vendors of such programs and as
allowed by law. The employee will pay both his/her own and the university's portions of any
cost.
Leave of absence may be granted for a variety of purposes. Leave of absence may be granted for
up to one year, and may be renewed for up to one additional year. The justification and merit of
an application for leave of absence will be assessed in each individual case.
Unless otherwise agreed to in writing, the leave recipient will return to the same position which
he/she occupied before leaving, or, if the position no longer exists, to a comparable position.
(06-20-97)
R04.06.148. Special Assignments
Exempt and nonexempt non-faculty employees are eligible for special assignment. Special
assignments will not be considered breaks in service. Any special conditions of such special
assignments will be clearly set forth in writing. Special conditions will become binding only
after having been signed by the employee, the supervisor and, as appropriate, by the chancellor
or the president.
The employee may continue the health, life and long-term disability insurance and retirement
programs to the extent allowed by law. The employee will pay both his/her own and the
university’s portions of any cost.
(06-20-97)
R04.06.149. Benefits For Extended Full-Time and Part-Time Temporary Employees.
Temporary, part-time or full-time employees (nonacademic, nonstudent) who have worked more
than 1039 hours in a 12-month period of continuous employment within the university system
are eligible for annual, sick, holiday leave, and basic health benefits. For purposes of extended
temporary status, continuous service may include a break between positions of less than two
weeks.
(06-14-96)
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REGENTS’ POLICY
CHAPTER IV – HUMAN RESOURCES
Chapter 04.07 - Employee Relations
P04.07.010. Employee Orientation.
Regular employees, within a reasonable time after initial hire, will receive an orientation and be
provided material that communicates university human resource programs.
(09-30-94)
P04.07.020. Probationary Status.
Newly hired and promoted regular exempt and nonexempt staff, with the exception of officers of
the university and senior administrators and faculty, will serve a six month probationary period,
which may be extended at the discretion of the supervisor with the approval of the regional
human resources director. The provisions for probationary status will be set forth in university
regulation.
(06-10-04)
P04.07.030. Performance Evaluation.
A.
The performance of each employee will be evaluated annually and written evaluations
will be used as a basis for personnel actions. Performance evaluations will include
discussions of the position duties, responsibilities and purpose as defined by the
supervisor, performance and conduct, review of progress, and as appropriate, planning
for more effective performance. The review will include an opportunity for the employee
to ask questions concerning work assignments and performance expectations. Written
performance evaluations will be communicated to the employee and will be placed in the
employee's official personnel file.
B.
Written evaluations will be sufficiently specific to inform and guide the employee toward
achieving major goals and objectives for the employee's position as determined by the
supervisor. The employee will have an opportunity to respond to the performance
evaluation in writing. Employee performance review guidelines appropriate to officers of
the university and senior administrators, and exempt and nonexempt staff will be
established in university regulation. Evaluation of faculty will be consistent with
P.04.04.050 - 04.04.056.
(06-20-97)
P04.07.040. Corrective Action.
A. Supervisors will apply necessary and appropriate corrective action whenever an
employee fails to meet the required standards of conduct or performance. Corrective
action may be necessary because of employment related problems, including but not
limited to: inattention to duty, unsatisfactory performance, insubordination,
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absenteeism, violation of law, regents’ policy, or university regulation, dishonesty,
theft or misappropriation of public funds or property, inability to work effectively
with others, fighting on the job, acts endangering others, inappropriate behavior
toward or harassment of others, or other misconduct.
B. Corrective actions may include: formal discussion, written communications detailing
performance and behavior standards and expectations, written reprimands, which are
sent to the official personnel file, disciplinary probation, suspension, dismissal, or any
reasonable combination of these or other actions.
(06-20-97)
P04.07.041. Written Reprimand.
A written reprimand will describe the nature of the offense or deficiency, the method or methods
of correction, and the probable action to be taken if the offense is repeated or the deficiency
persists. The written reprimand will be placed in the employee's official personnel file and also
state the employee's right to request administrative review of the action by the MAU human
resources office.
(06-20-97)
P04.07.042. Written Notice of Intent to Take Corrective Action.
If corrective action more formal than written reprimand is necessary, notice of intent to take
action will be given in writing to the MAU human resources office. If after consultation with the
MAU human resources office the supervisor intends to take action, the employee will be notified
in writing of the action to be taken.
(06-20-97)
P04.07.043. Disciplinary Probation.
Any employee who fails to meet the performance standards or employment conditions of the
supervising authority may, at the discretion of the supervisor, be placed on disciplinary probation
for a period not exceeding six months. Failure to meet the performance standards or
employment conditions of the supervising authority may result in termination of employment for
cause.
(06-20-97)
P04.07.044. Suspension.
A.
Suspension without pay of not greater than 10 working days may be used in
circumstances which the supervisor believes that by its use the employee will correct the
employee's job related behavior or performance and where discharge appears
unwarranted.
B.
The employee will be provided the reason for the suspension and the date and time to
return to work in writing. The written notice will also state the employee's right to
request administrative review of the action by the regional human resources office.
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C.
A suspended employee will not receive holidays, wages, sick or annual leave accrual or
other benefits based on hours worked during the leave period, but will continue to be
covered by the applicable group insurance program.
(06-20-97)
P04.07.045. Investigatory Leave.
After review and approval by the regional human resources office, and a supervisor may place an
employee on paid investigatory leave without prior written warning in order to review or
investigate allegations of serious misconduct of a nature which, at the discretion of the
university, requires removing the employee from the premises.
P04.07.050. Administrative Review.
A.
To encourage and facilitate the resolution of employee complaints in a prompt manner,
an individual may request administrative review of any complaint regarding a specific
management action which adversely affects the employee's terms and conditions of
employment. These complaints include, but are not limited to, those regarding: selection
for transfer or promotion, release from at-will employment, salary actions, a performance
evaluation, disciplinary probation and suspension.
B.
An employee who has a complaint will discuss it with the immediate supervisor who will
have an opportunity to resolve the complaint informally. If the complaint is not resolved,
the employee may request administrative review by the MAU human resources office.
The director or designee may conduct a review, decline a review, or refer the matter to an
administrative process.
(06-20-97)
P04.07.060. Termination for Cause.
A.
B.
Regular employees may be terminated from employment for cause. In the event of a
decision to terminate an employee for cause, the supervisor will provide the employee:
1.
a written statement of the reason for the planned action;
2.
a statement of the evidence supporting the reason for the planned action; and
3.
notice of the employee's right to request a hearing in accordance with the
procedure for consideration of a termination for cause as set forth in the university
grievance procedure in P04.08 and R04.08.
Copies of the notification under A. of this section will be sent to the regional human
resources office for placement in the official personnel file and to the offices of the
general counsel and statewide human resources.
(05-04-99)
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P04.07.080. Resignation.
The provisions for resignation will be set forth in university regulation.
(06-20-97)
P04.07.090. Retirement.
A.
The university will comply with applicable laws regarding age discrimination, including
Alaska Statute 18.80.220.
B.
Retirement eligibility will be governed by the Public Employees Retirement System or
Teachers Retirement System of the State of Alaska, or any applicable Optional
Retirement Plan.
(06-09-00)
P04.07.100. Nonretention.
The university may discontinue or not renew an existing employment relationship through
nonretention. Nonretention does not reflect discredit on an employee. If notice of nonretention is
required by university regulation, the notice will be in writing and will comply with university
regulation adopted under this section. The university may not use nonretention to terminate
tenured faculty.
(06-09-00)
P04.07.110. Layoff, Recall, and Release.
Provisions regarding layoff, recall, and release of university employees will be set forth in
university regulation.
(06-09-00)
P04.07.120. Exit Interviews.
Prior to termination from employment, the department and the employee will contact the
regional human resources office to receive information regarding university human resources
programs as appropriate; and the employee will be given the opportunity to communicate in
writing any comments or suggestions for improvement within the workplace.
(09-30-94)
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UNIVERSITY REGULATION
PART IV - HUMAN RESOURCES
Chapter 04.07 - Employee Relations
R04.07.010. Employee Orientation.
In a combination of regional human resource services and departmental orientations, new
employees will be apprised of University of Alaska human resources programs, policy and
regulation, and other general workplace information. The Statewide Office of Human Resources
will provide a list of topics which must be covered in orientation. Regional human resources
offices and departments will augment the list with additional information relevant to individual
campus and department processes and procedures.
(09-30-94)
R04.07.020. Probationary Status.
A.
Newly hired regular exempt and nonexempt staff will serve a 6-month probationary
period which may be extended at the sole discretion of the supervisor, with the approval
of the regional human resources officer. The probationary period excludes periods of
leave. Persons rehired after a 10 working day break in service, those transferring from
temporary or extended temporary jobs into regular or term positions, and employees who
have been promoted from a position in one salary grade to a position in a higher grade
serve a new six month probationary period.
Employees promoted through
reclassification do not serve a probationary period in the new classification.
B.
Employment during the probationary period or during an extension of the probationary
period is at-will. In addition to proceedings for termination for cause set forth in
R04.08.080, employment may be terminated during the period of probation for any
reason not prohibited by law, or for no reason. Notice of termination of probationary
employment shall be given as set forth in R04.01.050.A. No period of notice prior to
termination is required.
C.
Termination during a promotional probationary period requires prior approval of the
regional human resources director. The employee will be given layoff recall rights and
layoff benefits and privileges.
D.
Except when the university elects to pursue termination for cause, decisions to terminate
probationary employment are subject to review only as set forth in R04.01.050.A.1-4.
R04.07.030. Performance Evaluation.
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The performance of each employee will be evaluated annually. A regular employee will have a
performance evaluation completed annually, at least two weeks in advance of his/her leave
accrual date. Appropriate salary step increases will be accompanied by completed performance
evaluations.
Failure by the supervisor to evaluate a subordinate will result in a notice of failure to evaluate
being placed in the supervisor’s official personnel file. Responsibility for the monitoring and
issuance of notices of failure to evaluate will be determined by the regional human resources
office. A variety of forms and processes appropriate to the job being performed may be used to
evaluate an employee.
Assistance for supervisors in conducting job evaluations is available through the regional human
resources office and the Statewide Office of Human Resources. General training in performance
evaluation will be offered on a periodic basis.
(04-07-05)
R04.07.080. Resignation.
A.
An employee wishing to resign from employment with the university generally should
file with the appointing authority a written resignation stating the date it will be effective
and the reason for leaving. Verbal resignations may be confirmed in writing by the
appointing authority. Employees holding nonexempt positions are expected to give
notice of resignation at least two weeks in advance of the last day of work. Other
employees are expected to provide notice adequate to allow for their orderly replacement.
Notice requirements may be waived at the discretion of the supervisor. A resignation
may be withdrawn only with the written approval of the appointing authority.
B.
A person whose resignation has become effective who wishes to be rehired must comply
with normal hiring practices, including Equal Employment Opportunity and Affirmative
Action requirements prior to rehire in any position. The university may consider as
grounds for refusal to employ a person the fact that the person did not give adequate
notice when the person resigned from earlier employment with the university.
Resignation does not place the employee in a position of advantage or disadvantage when
seeking re-employment. Sick leave accruals are not reinstated upon rehire after a
resignation.
C.
An unauthorized absence from work for a period of five consecutive working days may
be considered by the appointing authority as abandonment of the job and a presumed
resignation. Before terminating an employee as a presumed resignation, the appointing
authority will make a reasonable effort to contact the employee. A summary of the steps
taken to contact the employee will be submitted to the human resources office when the
presumed resignation is processed.
(02-22-01)
R04.07.090. Retirement
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Eligibility to receive retirement benefits is determined, as applicable, by the State of Alaska
administered Public Employees Retirement System or Teachers Retirement System, or in
accordance with the University of Alaska Pension or Optional Retirement Plan. Employees
planning to retire will notify their supervisor as soon as possible prior to the anticipated
retirement date. There is no mandatory retirement age at the University of Alaska.
(02-22-01)
R04.07.095. Emeritus Status, Staff
Emeritus status may be conferred upon non-academic employees as provided in Regents’ Policy
and University Regulation 04.04.070.
08-02-11)
R04.07.100. Nonretention.
If the University elects to discontinue employment through nonretention under Regents' Policy
04.07.100, written notice shall be given as required by this section. Provisions of this section do
not apply to termination of employment pursuant to other provisions of Regents' Policy or
University Regulation, nor do they apply to employees covered by collective bargaining
agreements. At the election of the University, the employee may be given pay in lieu of notice.
A.
B.
Notice Periods
1.
Exempt (administrative/professional/technical or APT) staff will receive at least six
(6) calendar months notice of nonretention.
2.
Non-exempt (classified) staff will receive at least four (4) calendar weeks notice of
nonretention.
3.
Faculty members non-covered by collective bargaining agreements will receive
notice of nonretention to the extent required by Regents’ Policy 04.04.047.B.
Term Employees
Term employees are employed for the duration of a project, grant, or contract, or for a
specified length of time. The University is not required to give notice of nonretention at
the conclusion of the project, grant, or contract, or the specified length of time.
Employment ends automatically at the conclusion of the project, grant, or specified length
of time unless a new employment agreement is entered into. Term employees may be
nonretained during employment, with notice as provided above. Such notice period,
however, will not exceed the duration of the project, grant, or contract, or the specified
length of time.
C.
Written Notice
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Written notice of nonretention will be considered given when such notice is sent by
certified mail to the last known mailing address of the employee, or when actually received
by the employee, whichever is earlier.
(02-22-01)
R04.07.110. Layoff, Recall, and Release
The University may elect to discontinue an existing employment relationship through layoff.
Layoff does not reflect discredit on the employee's performance. The provisions of this section
do not apply to terminations of employment pursuant to other provisions of Regents' Policy or
University Regulation.
A.
Layoff
Layoff may be used when there exists within the employing administrative unit or
department either:
B.
1.
a lack of or reduction in available work;
2.
a lack of sufficient available funds;
3.
a good faith reorganization; or
4.
another reason, not reflecting discredit upon the affected employee(s), which has
been approved in the particular circumstances by the chancellor or president of
the university, as appropriate; or
5.
Any combination of the preceding reasons.
Notice of Layoff
1.
2.
Nonexempt Employees
a.
Notice of the layoff of an employee will be given four calendar weeks
prior to the effective date of the layoff.
b.
Four weeks pay may be given to the employee in lieu of four weeks
notice, but only with the prior approval of the appropriate chancellor or
president of the university.
Exempt Non-faculty Employees
a.
Notice of the layoff of an employee will be given six calendar months
prior to the effective date of the layoff.
b.
Six months pay may be given to the employee in lieu of six months notice,
but only with the prior approval of the appropriate chancellor or president
of the university.
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C.
3.
All layoff actions will be coordinated through the appropriate human resources
officer prior to notification being issued to any employee.
4.
In the event pay in lieu of notice is approved, the effective date of the layoff is the
last day the employee is actually at work.
Selection for Layoffs
1.
2.
D.
The selection of the individual employees to be laid off will take into
consideration the following factors in comparison to other affected employees in
the unit:
a.
employee length of service;
b.
employee ability to do the work remaining in the unit affected by the
layoff;
c.
employee status as temporary, probationary or regular, with preference
being given to the regular over the others, and preference being given to
probationary over temporary;
d.
employee past performance;
e.
source and specific nature of funding; and
f.
affirmative action goals and objectives.
The final determination of the order for layoff will be made jointly by the
administrative unit or department head and the appropriate human resources
officer, subject to review by the chancellor or president of the university, as
appropriate.
Alternatives to Layoff
1.
A potential layoff employee may be transferred, contingent upon qualifications
and the ability to perform the work available, to other positions, to be determined
in the following order of priority:
a.
To a vacancy in the same classification in the same or another
administrative unit or department within the same MAU.
b.
To a vacancy in another classification in the same pay grade in the same or
another administrative unit or department within the same MAU.
c.
To a vacancy in a classification assigned to a lower pay grade in the same
or another administrative unit or department within the same MAU.
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E.
2.
The appropriate human resources office will endeavor to assist an employee in
layoff status to find suitable employment within the university system.
3.
The salary of any employee accepting an alternative to layoff as provided by this
subsection will be governed by existing policy and regulation concerning position
movement. However, the salary of an employee shall not be reduced during the
layoff notice period.
Conditions Governing Benefits and Privileges While in Layoff Status
Layoff status expires one year after the effective date of layoff. An employee in layoff
status:
1.
remains covered by the University health plan through the remainder of the
calendar month in which the layoff becomes effective. The employee will be
provided notice of his/her opportunity to continue health coverage as required by
law. Other benefits, including life insurance, long-term disability, and optional
survivor benefits, will cease on the effective date of the layoff;
2.
may apply for conversion of health insurance, life insurance, and/or long-term
disability insurance during the first 31 days following the effective date of the
layoff;
3.
if participating in the tuition waiver program, may complete those courses in
which he/she is enrolled at the time of layoff, and is eligible for additional tuition
waiver of up to 13 credits in any semester, to be used on any university campus,
for a period not to exceed one year from the effective date of layoff. The total
credits available will not exceed 26;
4.
will not contribute to the retirement system or ORP and will not accrue retirement
service credit;
5.
will not accrue annual or sick leave;
6.
will receive compensation for any accrued annual leave as of the effective date of
layoff;
7.
will not receive holiday pay;
8.
may not claim sick leave; and
9.
is eligible to be considered for any other university position, if qualified but will
receive no special consideration.
10.
will receive only those benefits provided in this sub-section.
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F.
Recall
In the event that the reason for the layoff of a regular employee abates within one year of
the date of layoff, and the university decides to recall an affected employee to fill the
same position within an administrative unit or department, the following procedures will
control:
G.
1.
Recall will apply only to a job within the department or unit from which the
employee was laid off.
2.
The order of recall within an administrative unit or department for affected
employees having the same job class and pay will be the reverse order of the
layoff within the administrative unit or department.
3.
If all employees within the administrative unit or department and with the same
job class and pay decline to return, all applicable recruitment procedures will be
observed in filling the vacancy.
4.
A recalled employee will return to the same pay, placement, and leave accrual
rate as applied to the employee prior to layoff. Sick leave will be reinstated to the
same balance the employee had accrued prior to layoff.
Layoff and Recall Notification
Employees selected for layoff or recall will be notified in writing. The notice will state
the basis for the action, specify the procedures followed and refer the employee to the
appropriate human resources office for assistance.
Notice of layoff or recall will be considered given when sent by certified mail to the last
known mailing address of the employee or when actually received by the employee,
whichever is earlier.
Recall rights expire and the recalled employee will have no further benefits under this
section if the employee's written acceptance of the position is not received by the
appropriate human resources office within 15 calendar days of the date notice was given.
H.
Review of Layoff or Recall Decision
Any employee who disputes a layoff or recall decision may grieve such decision in
accordance with the policy and regulation governing grievance procedures, subject to the
following limitations:
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1.
To be valid, a written grievance must be filed with the appropriate human
resources office within 10 working days of the date notice of layoff or recall was
given, in accordance with sub-section G., above.
2.
The scope of the grievance will be limited to whether the aggrieved employee can
establish that:
a.
the procedures provided by the layoff, recall and release policy and this
regulation have not been followed in deciding to layoff or not recall the
aggrieved employee;
b.
the decision to lay off or not to recall the aggrieved employee was based
on a reason prohibited by law; or
c.
there was no reasonable basis for determining that the layoff of the
aggrieved employee or a decision not to recall the aggrieved employee
was authorized under this regulation.
3.
The hearing officer will make his/her recommendation on the matter within five
working days of the filing of the written grievance. The hearing officer will make
his/her recommendation to the chancellor, or, in the case of Statewide
Administration employees, to the chief human resources officer. The chancellor,
chief human resources officer, or designee, will render a decision within five
working days.
4.
Except in the case of a written agreement between the parties, the time limits
provided hereunder will be extended only for compelling reasons as determined
by the chancellor, the chief human resources officer, or designee, as appropriate.
An aggrieved employee's failure to receive a final decision in a grievance
proceeding will not delay the effective date of any planned layoff or recall
(02-22-01)
R04.07.120. Exit Interviews.
Upon notification of the termination of the employment relationship, the department must inform
the regional human resource office as soon as practicable. The employee is responsible for
arranging the exit interview appointment prior to his/her termination date. In the event the
employee is unavailable, appropriate information will be mailed to the employee's last known
address. Documentation of the information mailed must be recorded in the employee's official
personnel file.
The exit interview must, at minimum, contain information pertinent to COBRA, the employee's
retirement and pension programs, and other relevant human resource programs. The Statewide
Office of Human Resources will provide a list of topics which must be covered in the exit
interview. Regional human resource offices and departments will augment the list with
additional information relevant to individual campus and department processes and procedures.
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(06-20-97)
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REGENTS’ POLICY
PART IV – HUMAN RESOURCES
Chapter 04.08 - Dispute and Grievance Resolution
P04.08.010. General Statement.
It is the objective of the university to treat its employees in a fair and consistent manner. The
university recognizes that a dispute and grievance resolution process is an important mechanism
in identifying and resolving problems. In the event of an employee grievance, it is the objective
of the university to accomplish the prompt, fair, and equitable resolution of the grievance at the
earliest possible time. Procedures for dispute and grievance resolution will be established by
university regulation.
(05-04-99)
P04.08.020. Effect of Failure to Seek Review.
A.
The failure of any party to exhaust administrative remedies by seeking review of a
decision under the grievance procedure by the first or next higher level within the time
limits established by the grievance procedure will be deemed to constitute acceptance of
that decision by the party and will constitute a resolution of the grievance.
B.
It is the employees' responsibility to be familiar with the Dispute and Grievance
Resolution time frames and deadlines included in regents’ policy and university
regulation. Failure to receive a response within the established time frame will not
relieve an employee from proceeding within the time allowed to a subsequent step in the
grievance process.
(05-04-99)
P04.08.030. Time Limits.
Time limits will be established in university regulation.
(05-04-99)
P04.08.040. Reprisal Prohibited.
A.
No grievant, respondent or witness will be subject to harassment, reprisal, or retaliation
for good faith participation in the dispute and grievance resolution process.
B.
The dispute and grievance resolution process is intended to afford employees a
meaningful opportunity to resolve good faith employment-related disputes within the
structures of the university. Its success depends on the good faith efforts of all employees
to implement the regents’ policy and university regulation for this purpose.
C.
Grievants or administrators who utilize the process to harass other employees or who
pursue vexatious or repetitive grievances that are determined to be without merit are
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subject to disciplinary action. A hearing officer may recommend disciplinary action
against persons using the process for other than the intended purpose.
(05-04-99)
P04.08.050. Abuse of Process.
Sanctions or costs may be imposed and awarded in the grievance process for dishonest, bad faith
or vexatious actions during the grievance process on the part of any grievant or administrator.
(05-04-99)
P04.08.060. Definitions.
Definitions will be established in university regulation.
(05-04-99)
P04.08.070. Dispute and Grievance Resolution Process.
The process for dispute and grievance resolution will be established in university regulation.
(05-04-99)
P04.08.080. Review of a Proposed Termination for Cause.
The process for review of a proposed termination for cause will be established in university
regulation.
(05-04-99)
P04.08.090. Applicability to Other Policy and/or Regulation.
The applicability to other regents’ policy and university regulation will be established in
university regulation.
(05-04-99)
P04.08.100. Appeal of Final Decisions Issued Under This Chapter.
The process for appeals of final decisions issued under this chapter will be established in
university regulation.
(05-04-99)
P04.08.110. Reporting of Grievances to the Board of Regents and Governance Office.
The statewide office of human resources, in coordination with the vice chancellors for
administration, provosts, and university general counsel, will prepare an annual report of the
grievance process which will be distributed to the board and to the system governance office.
The report will include data, by campus, including the number and type of grievances, and
recommendations for changes, additions or modifications to the grievance policy. No
individually identifiable information will be included as a part of the report.
(05-04-99)
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UNIVERSITY REGULATION
PART IV - HUMAN RESOURCES
Chapter VIII - Dispute and Grievance Resolution
R04.08.030. Time Limits
The deadline for filing a grievance at Step 3 is 45 days from the date the grievant learned of, or
should reasonably have learned of, the act or omission giving rise to the grievance, whichever is
earlier. Actions should be initiated by the grievant at Steps 1 and 2 in sufficient time to allow
processing prior to the Step 3 deadline.
The time periods established in this regulation should be enforced under normal circumstances.
The decision-maker to whom a matter is addressed at Step 4 or above has discretion to extend or
waive the deadlines to accommodate schedules or promote justice. All time limits specified in
this regulation may also be extended by mutual agreement of all parties to the grievance. Any
waiver must be in writing. The respondent's representative is never required to extend or waive
deadlines.
(11-19-99)
R04.08.060. Definitions
Unless expressly stated otherwise, the following terms in this chapter will be given the following
specific meanings.
A.
Chancellor
Wherever the word "chancellor" appears, it is understood to mean a chancellor of the
grievant's MAU unit or a person specifically designated in writing by the president to
handle a matter or issue within the grievance process.
B.
Day
A "day" is a day the MAU from which the grievance arises is open for business, even if
classes are not scheduled.
C.
Dispute
A "dispute" is a disagreement or complaint related to employment by an employee or
group of employees of the university that may or may not constitute a grievance.
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D.
Employee
An "employee" includes anyone hired and placed on the university payroll to perform
work for pay for the university, including faculty, staff and student employees. To be an
"employee" an individual must meet the definition of employee at the time the grieved
act or omission occurred.
E.
Final Decision
A "final decision" is a decision of a chancellor or the president on a matter which is not
subject to further university review and which explains or is followed by written
notification that review may be had by filing an appeal with the superior court of the
State of Alaska within 30 days of the issuance of the decision in accordance with Alaska
Appellate Rule 602(a)(2).
F.
General Counsel
"General Counsel" means the general counsel of the university or a person specifically
designated in writing by the general counsel or president to handle a matter or issue on
behalf of the general counsel.
G.
Grievance
A "grievance" is an allegation or complaint related to employment by an employee or a
group of employees of the university that there has been a specific violation of a Regents'
Policy or a University Regulation, or a clear abuse of discretion arising from the
application or administration of such policy or regulation, which directly and adversely
affects the employee or group of employees.
H.
1.
Respondent in all disputes is the university.
The following are excluded from the definition of a grievance and cannot be processed under
this Chapter:
a.
complaints or disputes other than those defined above as grievances;
b.
complaints or disputes which do not arise out of the employment
relationship between the grievant or grievants and the university;
c.
actions of the Board of Regents;
d.
complaints or disputes relating to a failure to appoint an employee to a
position within the university;
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e.
2.
complaints or disputes related to the application or administration of a
process that is subject to superior court appellate review. Such complaints
or disputes will be resolved as part of such process.
The following are governed by alternate processes and cannot be processed under
this chapter:
a.
allegations or findings that an employee of the university has engaged in
unlawful discrimination or sexual harassment (see Regents' Policy and
University Regulation 04.02.020);
b.
complaints and disputes related to faculty promotion, renewal and/or
tenure (see Regents' Policy and University Regulation 04.04.050);
c.
complaints or disputes which may be grieved under a collective bargaining
agreement;
d.
complaints and disputes related to job classification (see Regents' Policy
and University Regulation 04.05.030);
e.
Student allegations and complaints (see Regents' Policy and University
Regulation 09.03.02);
f.
Complaints and disputes related to dismissal of at-will employees (see
Regents' Policy and University Regulation 04.01.050 and 04.07.020).
The following are covered by this chapter with modification to one or more of the
provisions herein:
a.
complaints or disputes related to layoff (see Regents' Policy and
University Regulation 04.09.050);
b.
complaints or disputes related to financial exigency (see Regents' Policy
and University Regulation 04.09.080 and 04.09.090);
c.
complaints or disputes related to reasonable accommodation for people
with disabilities (see Regents' Policy and University Regulation
04.02.030);
d.
complaints or disputes related to "for cause" actions (see Regents' Policy
and University Regulation 04.07.060 and 04.08.080).
Subject to a contrary agreement of the parties, grievances of an employee which are
being processed when a notice is issued to an employee of intent to terminate will be
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consolidated with and considered and decided as part of the pre-termination proceeding.
The record of such proceeding will be part of the pre-termination proceeding.
H.
Grievant
A "grievant" is the employee or group of employees asserting a grievance.
I.
Hearing Officer
The "hearing officer" is an individual, who has the experience necessary to adjudicate
disputes, is appointed by the general counsel, conducts the grievance hearing and makes a
recommendation to the chancellor or president.
J.
Mediator
A "mediator" is any appropriate neutral individual voluntarily chosen jointly by the
parties to assist them in reaching a mutually acceptable resolution of the dispute or
grievance.
K.
Party or Parties
The "parties" to the grievance are the grievant(s) and the respondent.
L.
President
Wherever the word "president" appears, it means the president of the University of
Alaska.
M.
Respondent
The "respondent" in all grievances is the University of Alaska. A grievance may not be
directed against another employee in their individual capacity. The respondent's
representative will be determined from time to time by the applicable chancellor, senior
administrator, or the president, and this decision may not be contested in the grievance
proceedings and is not grievable.
N.
Supervisor
The "supervisor" is the individual with direct supervisory authority over the employee
whose act or omission is being grieved.
(11-19-99)
R04.08.070. Dispute and Grievance Resolution Process
The following process will be used for the resolution of employment-related grievances as
defined in this chapter.
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In order to eliminate multiple proceedings and to expedite resolution of all related complaints,
grievances that have not been finally decided when a notice of intent to discharge for cause is
issued to an employee will be considered and decided as part of the pre-termination proceeding.
A.
Step 1: Informal Dispute Resolution
The grievant should notify the person responsible for the occurrence of the dispute and
attempt resolution at the lowest administrative level having the authority to resolve the
matter. The parties may use the assistance of a facilitator or mediator.
B.
Mediation
Any party to the grievance may request that an appropriate individual mutually agreed to
by the parties assist the parties to reach resolution of the grievance. No party is required
to participate in mediation. Mediation should normally occur at an early stage of a
grievance; however, requests for mediation will be considered at any step of the process.
Efforts at mediation will not preclude the processing of the grievance in the manner
provided by this procedure. Nor will participation in mediation excuse compliance with
grievance timelines absent agreement of both parties. The mediator will have no power
to compel any action by any party.
Prior to mediation, the participants and the mediator are encouraged to reach a written
agreement regarding confidentiality of the mediation process. The university will
provide a sample confidentiality agreement on request and will abide by an agreement
making the mediation confidential for purposes of the grievance process to the extent
allowed by law.
C.
Step 2: Review with Supervisor
If the dispute is not resolved in Step l and the grievant elects to proceed, the grievant should
discuss the dispute informally with the immediate supervisor of the person responsible for
the action. If the grievant's immediate supervisor is a chancellor or the president, the grievant
should only discuss the dispute with the supervisor if the grievant consents to further
participation by such decision-maker in the grievance process.
D.
Step 3: Grievance
1.
Filing
a.
If the dispute is not resolved in Steps 1 or 2, the matter involves a
grievance as defined above, and the grievant elects to proceed, the
grievant must file a written grievance within 45 days of the date on which
the grievant learned, or should reasonably have learned, of such act or
omission, whichever is earlier.
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b.
2.
The written grievance must be filed with the supervisor of the person
responsible for the act or omission. If the grievance concerns an action or
failure to act of a chancellor or the president, the grievance must be timely
filed with the chancellor or president, respectively, who will be considered
"supervisors" for the purposes of this section.
Contents of Grievance
At a minimum, the written grievance must include:
3.
a.
The name, title, address and work phone number of the grievant;
b.
The name and title of the person responsible for the act or omission being
grieved;
c.
A description of the act or omission being grieved, including a clear and
concise statement of the facts giving rise to the grievance, the date of the
occurrence and the date the grievant learned of the occurrence;
d.
A citation of the specific policy and/or regulation believed to have been
violated, misinterpreted and/or improperly applied, and an explanation of
how the policy or regulation has been violated, misinterpreted or
improperly applied;
e.
A description of the relief sought; and
f.
The grievant's signature and the date.
Process
If the grievant has not complied with Steps 1 and 2, the Step 3 supervisor may
notify the grievant in writing that processing will be delayed for up to 10 days to
provide an opportunity for informal dispute resolution.
If the grievance is not resolved informally, the Step 3 supervisor will investigate
the grievance as he/she deems appropriate and respond to the grievant in writing
within 10 days from the date the grievance was presented, or the end of any
informal dispute resolution period provided by this paragraph, whichever is later.
If the supervisor does not respond within such period, the grievance is deemed
denied.
E.
Step 4: Request for Hearing
1.
Grievant Responsibilities
If the grievance is not resolved at Step 3, the grievant may proceed with the
grievance only if the grievant requests a hearing as set forth in this paragraph
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within 10 days of the receipt by the grievant of the supervisor's decision at Step 3,
or of the date the decision was due, whichever is earlier.
The grievant will present a written request for a hearing, including a copy of the
written grievance and the supervisor's response, if any, to the following senior
administrator:
--
the provost or MAU equivalent, if the respondent’s reporting line is
academic;
--
the chief student affairs officer or MAU equivalent, if the respondent’s
reporting line is student affairs;
--
the vice chancellor for administration or MAU equivalent, if the
respondent’s reporting line is administrative;
--
the statewide chief human resources officer if the grievant is a statewide
employee.
If the grievance concerns an action or failure to act of the person with whom the request
would be filed at Step 4 as set forth above, the request for hearing will be filed with the
respective chancellor or, in the case of statewide employees, with the president.
If the grievance concerns an action or failure to act of a chancellor or the president, the
request for hearing will be filed with the president.
2.
Senior Administrator Responsibilities
The person with whom the request for hearing is to be filed at Step 4 will:
a.
Promptly provide a copy of the request for hearing and all other
documentation submitted with the request to the person alleged to be
responsible for the act or omission, the general counsel, the applicable
campus human resources director, and the statewide chief human
resources officer.
b.
Determine, within 10 days of receiving the request for a hearing, whether
there is a reasonable possibility that the matter complained of was a
violation of a policy or regulation or clear abuse of discretion arising from
the administration of such policy or regulation as applied to the grievant,
and whether the matter is grievable and has been properly filed and
processed under this policy.
c.
Grant a hearing unless a determination is made that:
(1)
there is no reasonable possibility that there has, in fact, been a
violation or clear abuse of discretion arising from the
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administration of a policy or regulation as applied to the grievant;
or
(2)
the matter is not grievable or not properly filed and processed
under this Chapter, within deadlines imposed upon the grievant by
Regents' Policy and University Regulation.
Base the determination as to whether a hearing will be granted on a review
of the written request for a hearing, all other documentation and responses
submitted by the grievant, and the written responses and documentation
submitted by the person alleged to be responsible for the act or omission
and/or that person's supervisor. Questions may be directed to the parties
to assist in the determination.
d.
Provide a written explanation of the determination to the grievant, the
person alleged to be responsible for the act or omission at issue, and the
chancellor or president as applicable. Any delay in making and/or issuing
this determination will not affect the outcome of the process, but a written
explanation of the reason(s) for the delay will be provided.
If the Step 4 decision is to dismiss the matter, notification of the dismissal
will state the basis of the decision and will be transmitted to the parties
and the general counsel within 5 days of the decision.
The general counsel may overrule a determination dismissing a grievance
without a hearing within 20 days of receipt of the determination, whether
or not requested to do so by the grievant. If the general counsel overrules
dismissal of a grievance without a hearing, a Step 5 hearing will be held.
Notification of a Step 4 decision to hold a hearing, along with a request to
the general counsel to appoint a hearing officer, will be transmitted by the
person making the determination to the parties and the general counsel
within 5 days of the decision.
The general counsel may give the parties notice of an intent to overrule a
Step 4 determination and dismiss a grievance without a hearing within 5
days of receipt of the Step 4 determination, whether or not requested to do
so by a party.
If the general counsel gives the parties notice of intent to overrule a Step 4
determination and dismiss a grievance without a hearing, the parties may
respond within 5 days. If no response is submitted within 5 days, the
grievance will be considered finally dismissed by the university at that
point. If a response is received, the general counsel will decide the matter
within 5 days. If the general counsel consults with the president
concerning whether a hearing should be held that will not disqualify the
president as a decision-maker. A decision of the general counsel to
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dismiss a grievance without a hearing is the final decision of the
university.
e.
Appointment of the Hearing Officer
If the final determination is to hold a Step 5 Hearing, general counsel will
appoint a hearing officer.
f.
Disqualification of a Hearing Officer
Any party may seek the disqualification of any hearing officer assigned to
consider a grievance. To be valid, a request for disqualification of a
hearing officer must be made at the earliest possible time. The hearing
officer will consider all requests for disqualification and will rule on the
question as soon as reasonably practicable.
Rules pertinent to
disqualification requests include:
(1)
In the absence of written consent of the grievant, current service as
a representative of the university in an adversary proceeding will
require disqualification of the hearing officer.
(2)
In the absence of written consent of the grievant, past or current
service as a representative or advisor to the university pertaining
specifically to the grievant will require disqualification of the
hearing officer.
(3)
Past or current service as a hearing officer or advisor to a
university administrator while acting as an adjudicator will not be
grounds for disqualification.
(4)
Past service as a representative of the university in an adversary
proceeding will not be grounds for disqualification if the service
has been completed.
(5)
A request for disqualification may be denied based upon delay,
especially if the delay caused detriment to a party.
(6)
If a timely request for disqualification claiming lack of impartiality
is made, the hearing officer will disqualify him/herself unless
he/she expressly determines that he/she is and will be impartial.
(7)
Knowledge of circumstances or facts giving rise to the grievance is
not sufficient to justify disqualification unless it precludes the
hearing officer from being impartial.
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F.
(8)
The general counsel may, with or without a request to do so,
disqualify a hearing officer for any reason or no reason prior to a
ruling on a matter of importance in the proceeding.
(9)
The president may disqualify a hearing officer at any time.
(10)
If the general counsel consults with a chancellor or the president
relative to disqualification of a hearing officer, that will not
disqualify the chancellor or president from acting as decisionmaker.
Step 5: Hearing Process
1.
Hearing Officer Responsibilities
The hearing officer will conduct a formal hearing that may be preceded by pre-hearing
proceeding(s). The process set forth with respect to Step 5 may be amended or supplemented
by written agreement of the parties. The hearing officer may construe or reject any
modifications of the process which are not clear and unambiguous.
Otherwise, the procedures for the hearing:
a.
will be determined by the hearing officer;
b.
will be made known to the parties;
c.
will afford all parties to the hearing a meaningful opportunity to present
their cases; and
d.
may include an opportunity prior to an oral presentation of evidence to
decide, in whole or in part, the merits of the case where the hearing officer
determines there are no issues of material fact.
Within 5 days of the conclusion of the hearing or submission of any briefing
ordered by the hearing officer, whichever is later, the hearing officer should
submit his/her recommended findings of fact and conclusions of law for the
resolution of the matter in writing, along with all materials considered by the
hearing officer in reaching his/her recommendations, to the chancellor or
president. A failure of the hearing officer to do so within 5 days will not affect
the outcome of the process, but a written statement of reasons for the delay will be
submitted by the hearing officer to the chancellor or president before or with the
findings and recommendations.
The hearing officer will submit a copy of the explanation for any delay and the
recommended findings and conclusions to the grievant, the person responsible for
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the act or omission complained of, the respondent's representative and the
university general counsel.
2.
The hearing officer's recommendations will include a statement of the grievance,
the procedural history of the grievance, a statement of the issues considered by the
hearing officer, the reason for the recommendation, the statement of remedy, and
timelines for implementing the remedy.
Conduct of Hearings
a.
Pre-Hearing Conference
Not less than 5 days before the hearing, the hearing officer may convene
the parties for a pre-hearing conference if, in his/her judgment, such a prehearing conference would be beneficial to the parties or to the hearing
officer. During the pre-hearing conference, the hearing officer may:
b.
(1)
consider requests for disqualification of a hearing officer;
(2)
clarify and, where possible, simplify the issues to be heard;
(3)
frame the issues and allocate burden of proof;
(4)
establish the facts, to the extent possible;
(5)
provide for the exchange of documents and other information;
(6)
arrange for witnesses and representatives or advisors;
(7)
establish deadlines for providing appropriate materials;
(8)
determine whether the hearing will be open or closed in
accordance with e. below;
(9)
review the procedures for conducting the hearing; and
(10)
conduct other appropriate business to ensure a fair, effective, and
expeditious hearing.
Hearing
The hearing will be conducted in such a manner as to permit the parties a
reasonable opportunity to present their perspectives on the issues in
dispute and to provide sufficient information for the hearing officer to
make a recommendation.
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Parties to the grievance will be afforded a reasonable opportunity to call
and examine witnesses, introduce exhibits, and ask questions of the
opposing party and witnesses for the opposing party.
The technical rules of evidence will not apply to the hearing. Any relevant
evidence may be admitted if it is the sort of evidence on which responsible
persons rely in the conduct of serious affairs. Irrelevant or unduly
repetitious evidence may be excluded. The rules of attorney/client
privilege apply to the same extent as in civil actions.
c.
Representatives or Advisors
Any party may, but need not, be represented by any person including legal
counsel. Parties using representation will be responsible for payment of
all associated fees.
d.
Record of Proceedings
Hearings will be recorded by the hearing officer; however, the hearing
officer will not be responsible for technical problems, and such technical
problems will not affect the outcome and will not form the basis for
challenge as to the adequacy of the proceedings. Any party may request
copies of the tape recordings at cost. Any party may tape record the
proceedings at the party's expense, provided that such recording does not
unduly disrupt the proceedings.
e.
Public and Witness Access
Hearings conducted under these procedures will normally be open to the
public. The hearing officer will close the hearing to the public only upon
a finding that a closed hearing either is legally required or would result in
a fairer and more just hearing process. The hearing officer may direct that
witnesses, but not the parties and their representatives, be excluded from a
hearing except while providing testimony. The deliberations of the
hearing officer will be closed to the public and the parties to the grievance.
f.
Burden of Proof
The grievant bears the burden of proof in all hearings by a preponderance
of the evidence. If, however, the respondent has evidence about the facts
giving rise to the grievance which are not known by the grievant, the
respondent may be allocated the burden of producing such evidence. The
grievant bears the burden of persuasion on all issues.
g.
Cooperation
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All university personnel have the responsibility to cooperate with the
grievance process and may not refuse a lawful direction of the hearing
officer to disclose information.
G.
Step 6: Decision of the Chancellor or President
The chancellor or president will review the recommendations of the hearing officer and
adopt them in whole or in part and/or render a separate written decision within 15 days of
the receipt of the recommendations. Should findings or recommendations of the hearing
officer not be accepted, the decision will indicate the reasons for rejection or reversal.
The decision of the chancellor or president and a copy of the recommendations of the
hearing officer will be furnished to the parties, the hearing officer and the university
general counsel. In the case of a grievance filed against the president, these materials
will also be provided to the chair of the Board of Regents. A decision by the president is
the final decision of the university.
The written decision of the chancellor or president may:
H.
1.
grant relief requested by the grievant in whole or in part; or
2.
deny relief requested by the grievant; or
3.
award such other relief as is suitable to the matter; and/or
4.
return the matter to the hearing officer for clarification or for the taking of further
evidence as to specified issues.
Step 7: Discretionary Review by the President
A grievant not satisfied with a decision of a chancellor may request discretionary review by
the president. Such request must be in writing and must be submitted to the president within
10 days of the issuance of the decision of the chancellor. The president has no obligation to
accept review or to follow any particular process if review is accepted.
If the president does not grant a request for review within 20 days of the issuance of the
decision of the chancellor, the decision of the chancellor becomes the final decision of the
university on the 20th day.
If the president notifies the grievant within 20 days of the issuance of the decision of the
chancellor that the president will review the chancellor's decision, the president will consider
the record of the grievance before the hearing officer and before the chancellor and take such
action as the president deems appropriate.
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Both the decision of the president with respect to whether to review the chancellor's decision
and the president's substantive decision are final decisions and may not be grieved. A failure
of the president to accept review of a decision of a chancellor may not be reviewed.
(08-17-01)
R04.08.080. Review of a Proposed Termination for Cause
A.
Procedure
1.
Written Statement
In the event of a decision to terminate an employee for cause, the supervisor will provide the
employee with a written statement of:
2.
a.
the reason(s) for the planned action;
b.
a statement of the evidence supporting the reason(s) for the planned
action; and
c.
notice of the employee's right to request a hearing in accordance with
policy and regulation at the time the employee is notified of the
university's intention to terminate the employee's employment.
Request for Hearing
Within 5 days following receipt of the notice, the employee may request a hearing to contest
the termination by submitting a written request to the regionalrhuman resources officer for
the unit at which the individual is employed, or to the statewide chief human resources
officer in the case of the termination of a statewide employee. The written request for a
hearing may either be hand delivered, mailed, transmitted by facsimile or by electronic mail,
but must be received within the specified time limit.
3.
Hearing
If a timely request is received, a hearing will be scheduled not less than 3 days
from the date of the request before a hearing officer appointed by the university
general counsel.
At the hearing, the university will have the burden of proof of demonstrating by a
preponderance of the evidence that just cause exists for the termination of the
employee. The employee will be afforded an opportunity to present testimony
and other evidence as to why the action should not be taken and may be
represented by legal counsel or another advisor of the employee's choosing.
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The hearing will be recorded. Additionally, the other specific provisions of this
Chapter will apply as appropriate to the hearing, except that continuances granted
at the request of the employee will not necessarily delay the implementation of
the proposed termination.
4.
Hearing Officer Responsibilities
5.
The hearing officer will consider the evidence presented and the proposed action
and submit a recommended decision within 5 days of the close of the hearing to
the chancellor for the unit at which the individual is employed, or to the statewide
chief human resources officer in the case of the termination of a statewide
employee. The time may be extended by the hearing officer with the agreement
of the parties. Absent such agreement, failure of the hearing officer to comply
with this time limit will not affect the validity of the process if the employee
remains in pay status.
Decision
The chancellor or statewide chief human resources officer, as appropriate, will consider the
recommendation of the hearing officer and issue a decision in the matter.
B.
Termination of Pay
Employees will normally remain in pay status until the decision of the chancellor or
statewide chief human resources officer, as appropriate, is made unless a prior proceeding
affording minimum due process has been made available.
Additionally, nothing in this provision will be construed to preclude the university from
suspending an employee with pay pending the outcome of this review process.
C.
Appeal of Termination Decision
A party not satisfied with the decision of the chancellor or statewide chief human
resources officer, as appropriate, may appeal the decision in writing to the president.
Such appeal must be submitted within 10 days of the issuance of the decision.
The president will consider the record before the hearing officer, the decision on appeal,
and the appeal and take such action, as the president deems appropriate. The decision of
the president is final.
(11-19-99)
R04.08.100. Appeal of Final Decisions Issued Under This Chapter
Pursuant to Alaska Appellate Rule 602(a), a final decision issued under this chapter may be
appealed to the superior court for the State of Alaska within 30 calendar days of the date on
which the decision was issued. (05-04-99)
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REGENTS’ POLICY
PART IV – HUMAN RESOURCES
Chapter 04.09 - Financial Exigency
P04.09.010. Financial Exigency: Controlling Policy.
Notwithstanding any other regents’ policy, university regulation or university or campus practice
or procedure, if the board determines that a condition of financial exigency exists either in the
university generally, or in a major administrative unit or an academic or other unit of a major
administrative unit, then the layoff or termination of tenured faculty, non-tenured faculty and
other employees before the end of their employment term will be handled in accordance with this
financial exigency policy. As used herein, the term "unit" means any identifiable component of
the university at any level of its organization that has an annual budget for the operation of such
component.
(06-20-97)
P04.09.020. Determination of Financial Exigency.
A.
Financial exigency exists when the board determines that a shortfall in projected revenues
for general operations, as compared with projected expenditures over the same period,
will have a material adverse effect on the operation of the university generally, or on a
major administrative unit or an academic or other unit of a major administrative unit.
B.
In the event of reduced appropriations, declining enrollments, or other actions or events
that compel a reduction in the operating budget of the university generally, or in an MAU
or an academic or other unit of an MAU, the board may, in the exercise of its educational
and fiscal responsibility, decide to reduce the operation of, to modify, or to close one or
more MAUs or an academic or other unit of an MAU. Such reductions, modifications, or
closures may require the unilateral reduction of salaries; modification of terms of
employee appointments, including the duration of appointments, layoffs or terminations
of tenured faculty, non-tenured faculty, or other university employees before the end of
their employment term. The board will not be required to reallocate resources from one
unit to another to avoid a determination of financial exigency in an MAU or an academic
or other unit of an MAU. Any action taken by the board and university in response to a
financial exigency will be developed with the understanding that the action will be
consistent with the basic mission of the university to provide quality education for its
students.
C.
Within the limits of the budgetary constraints, the university will make reasonable efforts
to ensure that students affected by a financial exigency determination will be allowed to
complete their programs at the affected unit or by transfer to another unit of the
university.
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D.
The determination of the existence and extent of financial exigency affecting the
university generally, or any MAU or an academic or other unit of an MAU is the sole
responsibility of the board, but the president of the university may request such a
determination by the board. When such determination is made, this policy and university
regulation will take precedence and control over those applicable regents’ policy,
university regulation and other practices and procedures which govern normal operating
procedures.
(06-20-97)
P04.09.030. Declaration of Financial Exigency.
In the event the board determines that a condition of financial exigency exists either in the
university generally, or in an MAU or an academic or other unit of an MAU, it will make a
declaration of financial exigency. The declaration of financial exigency will:
A.
contain a statement that a bona fide financial exigency exists and the reasons for the
financial exigency;
B.
specify which units of the university are affected and provide an explanation of the
appropriateness of the choice;
C.
specify the level of cost reductions judged to be necessary to deal adequately with the
financial exigency; and
D.
specify whether services, programs or positions, or a combination thereof, are to be
reduced or eliminated in order to produce the necessary cost reductions; if any positions
are to be reduced or eliminated, the declaration will describe the efforts taken in the
current and prior fiscal years to reduce costs without the reduction or elimination of filled
positions.
(06-20-97)
P04.09.040. Priority in Cases of Position Elimination Resulting from Financial Exigency.
A.
In the event of a declaration of financial exigency that calls for the elimination of
positions, the order in which employees in an affected unit will be terminated will be as
follows:
1.
employees on overload or additional assignments, but only to the extent of the
overload or additional assignment;
2.
part-time employees on temporary appointments;
3.
full-time employees on temporary appointments;
4.
part-time employees on regular appointments;
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5.
full-time employees appointed for terms tied to specific events or projects or grant
expirations (term appointments), full-time regular employees, and non-tenured
faculty; and
6.
tenured faculty.
B.
The president or a chancellor designated by the president may depart from the priority
order for position elimination resulting from financial exigency specified above if after
consultation with the affected units and consideration of the educational mission of the
units the financial savings to be realized, the need for continuity, and the qualifications of
the remaining employees to perform the necessary tasks, the president or chancellor
designated by the president determines that the best interests of the university as a whole
so requires.
C.
An exempt employee whose position is eliminated because of financial exigency will be
entitled to a minimum of 8 calendar weeks of notice in advance of the cessation of
employment.
D.
A nonexempt employee whose position is eliminated because of financial exigency will
be entitled to a minimum of 4 calendar weeks of notice in advance of the cessation of
employment.
(06-20-97)
P04.09.050. Re-employment After Position Elimination Resulting from Financial Exigency.
Provisions for re-employment of individuals who have been terminated because of position
elimination resulting from financial exigency will be established by university regulation.
(06-03-94)
P04.09.060. Grievances Challenging a Financial Exigency Declaration.
A.
A declaration of financial exigency may be the basis of a grievance only if the grievance
challenging the declaration of financial exigency is filed within 15 calendar days after the
declaration of financial exigency and only on the grounds that one or more of the four
statements required to be contained in the declaration of financial exigency is clearly
erroneous and that the error materially affects the declaration.
B.
The burden of proof will be on the grievant to prove by a preponderance of the evidence
that one or more of the determinations stated in the declaration of financial exigency is
clearly erroneous and that the error materially affects the declaration. If the grievant
meets this burden, the university will then have the burden of establishing that the weight
of the overall evidence nonetheless supports the finding of a bona fide financial exigency.
C.
Notwithstanding the provisions of P04.08 and R04.08, any grievance challenging a
declaration of financial exigency will be filed pursuant to the university's grievance
procedure, but will be initiated at the Step 3 level as a grievance against the president and
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will be joined for purposes of the grievance review and final determination with all other
grievances challenging the financial exigency declaration.
(05-04-99)
P04.09.070. Grievance Arising from Position Elimination Resulting from Financial
Exigency.
A.
Any grievance arising out of the termination of an individual pursuant to position
elimination arising from financial exigency, or that may arise relative to the treatment of
an individual as a result of position elimination resulting from financial exigency, must
be initiated by filing the grievance in the manner provided by P04.08 and R04.08 at the
Step 3 level as a grievance against the president within 15 calendar days of the time the
employee is notified by the university, or within 15 calendar days from the time the
employee knew, or reasonably should have known, whichever occurs first, that the
employee's interests may be adversely affected by the proposed position elimination
resulting from financial exigency.
B.
Any grievance hearings that result from the filing of grievances under this procedure may
be consolidated if deemed appropriate by the hearing officer.
C.
The existence of financial exigency and the designation of the units to which it applies
are not subject to review in grievances brought under this policy.
(05-04-99)
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UNIVERSITY REGULATION
PART IV - HUMAN RESOURCES
Chapter 04.09 - Financial Exigency
R04.09.050. Re-employment After Position Elimination Resulting from Financial Exigency.
For a period of three years following position elimination resulting from financial exigency, an
employee terminated as a result of position elimination who is not otherwise employed in the
university in the same or a comparable position will be offered re-employment in the position
previously held should the position be reestablished in the same department or unit from which
the employee was terminated.
Where two or more former employees qualify for an offer of re-employment for the same
vacancy, priority will be given to the last employee terminated. Notice of an offer of reemployment is considered given when the notice is mailed by certified mail to the employee's
last known mailing address, or the notice is received, whichever is earlier. Re-employment
rights expire if the employee's written acceptance of the position is not received by the
appropriate human resources office within 15 calendar days of the date notice is given. If the
offer of re-employment is not accepted, the former employee will receive no further special
consideration for re-employment. If the offer of re-employment is accepted, the former
employee will receive the following benefits to the extent permitted by applicable laws, policy
and regulation:
A.
Appointments
An employee who held a continuing appointment on the date of termination by reason of
position elimination resulting from financial exigency and who is re-employed in the
same position will resume a continuing appointment. An employee who held a tenured
appointment on the date of termination by reason of position elimination resulting from
financial exigency and who is re-employed in the same position will resume a tenured
appointment.
B.
Sick Leave
An employee will be credited with the sick leave accruals held by the employee on the
date of termination by reason of position elimination resulting from financial exigency.
(02-22-01)
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REGENTS’ POLICY
PART IV – HUMAN RESOURCES
Chapter 04.10 - Ethics and Conduct
P04.10.010. Scope and Conduct of Outside Activities; Compliance with State Law.
A.
In this section, “outside activities” means work or activities that are not within the scope
of the regular employment duties of the university employee, including any secondary
assignment(s) at the university for which the employee is compensated
B.
Outside activities that will increase the effectiveness and broaden the experience of
employees in relation to their functions at the university or that will be of service to the
community or the state, are encouraged, provided the outside activities do not interfere
with the performance of the employee's regular university duties; and provided the
outside activities do not involve the appropriation of university property facilities,
equipment, or services.
C.
Employees of the university must comply with the applicable provisions of AS 39.52
(Alaska Executive Branch Ethics Act). To the extent that applicable law is more
restrictive than regents’ policy or university regulation, the law governs. Among other
things, AS 39.52 prohibits official action when personal or financial interests are
affected, misuse of official position, abuse of subordinates, misuse of university
resources, and misuse of information. It also restricts gifts, outside employment, and
interests in university grants, contracts, leases or loans. Employees should contact the
university’s designated ethics supervisor for additional information.
(06-06-07)
P04.10.020. Abuse of Office for Political Purposes.
A.
No university employee may assert or imply that the employee is officially representing
the university or its policies, unless expressly authorized to do so by the president.
B.
An employee who acquires a state, federal, or local public office that may not legally be
simultaneously held by a university employee will resign from university employment.
Where there is no legal prohibition on simultaneous office holding, the employee need
not resign, but will remain subject to the university regulation that apply to outside
activities.
C.
Any employee who wishes to campaign for or hold any political office or to serve as a
registered state or federal lobbyist will come under the university regulation that applies
to outside activities.
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D.
University funds or resources may not be used to support partisan political activity.
Letters constituting partisan political activity may not be written on university stationery
unless expressly authorized by the president.
(06-20-97)
P04.10.030. Conflict of Interest.
A.
Any action, without actual authority to do so granted specifically by the board or the
university president, by an officer or employee of the university that either: (1) has
allowed any person, firm, or company to derive an advantage or benefit which has not
been made available to all persons, firms, or companies on the same or equal basis; or (2)
exposes the university to contractual obligation or public liability, will be considered
improper and in conflict with the proper discharge of official duties in behalf of the
university.
B.
An officer or employee of the university may not, directly or indirectly, do any of the
following:
1.
engage in or accept employment from or render services for any public or private
interest when such employment or service may reasonably be expected to give
rise to conflict with the proper discharge of official duties on behalf of the
university;
2.
in behalf of the officer or employee or another, solicit, negotiate for, or agree to
accept employment or anything of substantial value from, any person, firm or
company with which the officer or employee and the officer or employee’s budget
request unit is engaged in the transaction of business on behalf of the university,
or that may be affected by the officer or employee’s official action;
3.
hold any investment or engage in any financial, business, commercial, or private
transaction that creates a conflict with the proper discharge of official duties;
4.
use information peculiarly within the officer or employee’s knowledge or purview
concerning the students, employees, property, government, or affairs of the
university to advance the financial or other private interest of the officer or
employee or another;
5.
accept any form of gift, loan, consideration, or any gratuity for the performance
of the officer or employee’s duties other than that afforded by the university,
unless the gift, loan, consideration, or gratuity is received for the exclusive benefit
of the university;
6.
receive payment or other consideration for activities, or the products of activities,
created or performed while acting as a university employee, other than that
provided by the university;
7.
be a party to the purchase or sale of, or influence the purchase or sale of, goods or
services for the use of the university by any person, firm, company, or business in
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which the officer or employee has substantial financial interest unless approved in
advance by the president of the university; the transaction will be approved only if
the president finds it to be in the best interests of the university; the approval will
be in written form and be open to inspection by the public at the Office of the
President;
8.
engage in any business or transaction, or own a financial or other private interest,
that is in conflict with the proper discharge of official duties.
C.
A university officer or employee will be considered to have done "indirectly" the things
prohibited by subsection B. of this section whenever any part of the prohibited acts are
accomplished by or through “an immediate family member,” which includes the spouse,
cohabitant, child, parent, sibling, grandparent, aunt, and uncle of the university officer or
employee, and parent or sibling of the officer or employee’s spouse, or by an association,
trust, or corporation in which the officer or employee or an “immediate family member”
has a substantial interest; or through any device or artifice intended to evade the effect of
the regents’ policy.
D.
In cases in which a faculty member produces a published work or an invention as a part
of the faculty member’s paid research or public service assignment for the university, and
such published work or invention is not a "commissioned work" as defined in
P10.07.050(a), the fact that the faculty member may receive payment for royalties or
similar remuneration will not alone constitute a violation of this policy.
E.
If an officer or employee is uncertain whether a conflict of interest exists in an actual
situation, the officer or employee may:
1.
through appropriate channels, fully and fairly inform the president in writing of
the specific facts surrounding the possible conflict of interest; and
2.
request a determination of whether the situation as presented constitutes a conflict
of interest.
In such instances, the president may rule on the question of whether the situation as
presented constitutes a conflict of interest. If the president decides whether the situation
as presented constitutes a conflict of interest, the decision will be conclusive as to the
situation as presented. The officer or employee who requests the decision will have a
continuing duty to inform the president in writing fully, fairly, and in good faith, in
advance of changes in circumstances that might alter the situation so as to cause the
president to change the decision. The president may reconsider a decision at any time.
F.
Additional restrictions and exceptions may be provided by university regulation.
(06-20-97)
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P04.10.040. Nepotism.
A.
Candidates will not be prohibited from appointment on the basis of their relationship with
current employees of the university. However, no employee of the university may
supervise or participate in employment, grievance, retention, promotion, salary, leave or
other personnel decisions concerning members of the employee’s immediate family.
B.
“Immediate family” includes an employee's spouse, child or stepchild, parent, sibling or
immediate in-laws.
C.
It is not a violation of this policy for a faculty member to have an immediate family
member as a student enrolled in the faculty member’s class, provided that the chancellor
has approved an alternative means of evaluating the student’s academic performance.
The faculty member may not be directly involved in the alternative form of evaluation.
D.
Any exception to this policy requires the prior written approval of the president. The
president will advise the board of all granted exceptions.
E.
Any change in family status that may create a nepotism situation must be disclosed within
ten days to the MAU Ethics Representative.
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REGENTS’ POLICY
PART IV – HUMAN RESOURCES
Chapter 04.11 - Collective Bargaining
P04.11.010. Recognition of Collective Bargaining Agents.
A.
B.
Agents will not voluntarily be recognized for purposes of collective bargaining with
employees of the university unless they seek to represent bargaining units that:
1.
are statewide in scope;
2.
do not violate the standards set by state law; and
3.
contain as large a number of employees as possible.
The board favors recognition only of collective bargaining agents that are representative
of suitable and appropriate bargaining units. The president shall determine what
bargaining units conform to this policy and may recognize representative bargaining
agents as exclusive bargaining agents for purposes of collective bargaining.
(10-27-78)
P04.11.020. Exclusions and Agreements.
A.
Personnel represented by a recognized exclusive collective bargaining agent will not be
included in pay increases, but will receive changes in their compensation and benefits as
provided by the collective bargaining process.
B.
No collective bargaining agreement shall be binding upon the board without prior
approval of the entire agreement by the board.
(02-18-00)
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UNIVERSITY REGULATION
PART IV - HUMAN RESOURCES
Chapter 04.10 – Ethics and Conduct
R04.10.010. Scope and Conduct of Outside Activities; Compliance with State Law.
A.
Scope
1.
Serving on advisory bodies and university governance groups, teaching, research,
application of research findings, preparation and publication of articles and books
(whether for royalty or not), preparation and delivery of lectures, memberships
and activities in professional societies, participation in artistic performances or
activities, when said activities are related to staff members' professional fields and
no compensation or honorarium (other than royalties from publication) is
received, are considered to be within the regular work duties of university
employees and are supported by the university.
Examples of activities considered to be outside the regular work or duties
are:
a. consulting for or providing other services to individuals or firms,
serving on boards of directors, or as officers of business
organizations, and engaging in commercial operations and practice
except as noted above,
b. working as an adjunct or in another compensated position for the
university
2.
Outside activities may be of a one-time nature, intermittent or occasional, or
regularly recurring. They may involve little or considerable amounts of
compensation.
4. For purposes of this regulation, "employee" is intended to include all personnel of the
university, including both staff and faculty enrolled on the university payroll records
and receiving compensation from the University of Alaska, no matter what the basic
fund source, for the performance of regular staff or academic duties. It includes parttime as well as full-time employees. Nothing contained herein will be considered
applicable to any outside activities of employees during the period of time for which
they are compensated as university employees, except insofar as the use of university
name, property, equipment, etc., is concerned.
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B.
Conduct of Outside Activities
1.
2.
Prior to engaging in any outside activity as defined herein, the employee
concerned will secure approval of his/her immediate supervisor. Department
heads, deans, and directors or equivalent level are designated as representatives of
the university to grant such approval for employees under their jurisdiction. If the
approval is denied, the individual will have the right to appeal the decision as set
forth below.
a.
In making these determinations, the chief consideration will be whether
the employee's current or proposed outside activities, taken individually or
cumulatively, would substantially interfere with the performance of
his/her regular duties. The fact that the outside activity involved
compensation or the amount of such compensation will not be a reason for
a refusal.
b.
In some cases the outside activity of an employee may be in the interest of
the university or contribute to a significant enhancement of the employee
professional standing or competence, even though engaging in the outside
activity would substantially interfere with the employee's performance of
his/her regular duties. In some cases the university may, upon
consideration, determine that a re-allocation of the employee's duties is
justified. Heads of departments and offices must process such cases
through regular channels for approval.
Review
Heads of offices, departments, deans and other supervisors may, from time to
time, review a case if, in their judgment, reasonable evidence suggests that:
3.
a.
The outside activity or activities, individually or cumulatively constitutes
in fact a substantial interference with the satisfactory accomplishment of
the employee's regular university duties; or
b.
The employee may otherwise be violating the provisions of this policy.
Community, State and Governmental Service
Community, state and governmental service is encouraged by the university as a
function of citizenship, provided it does not constitute detrimental interference
with the employee's discharge of his/her regular work duties. If community, state
or governmental service duties, whether compensated or not, in fact substantially
interferes with the employee's discharge of his/her regular work duties, it then
becomes an outside activity.
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4.
5.
Use of the University Name
a.
In conducting outside activities for compensation, the employee will make
it clear to his/her employers or associates that he/she is serving in an
individual capacity and that the university accepts no responsibility in
connection with the outside activities.
b.
Official stationery of the university will not be used in connection with
consultant's reports, bills for services or correspondence relating to the
fulfillment of the staff member's performance of the outside activity.
c.
Employees whose names are included in commercial listings or other
public documents, the purpose of which is to draw attention to the
employee's availability for compensated services, will not list university
buildings as an address, or list a university telephone number.
Purchases Through the University for Private Purposes
Individuals are not permitted to purchase supplies or equipment for personal use
through institutional channels.
6.
Use of University Property, Equipment, Facilities, or Services
The use of university property, equipment, facilities, or services by employees for
purposes not directly related to university duties is prohibited. Exception will be
made for the use of specialized equipment not available to industry or individuals
through any private source within the state for which a pre-determined fee or rate
has been established. The individual staff member may use such equipment on the
same basis as other members of the public.
(07-01-89)
R04.10.020. Abuse of Office for Political Purposes
Any employee seeking an elected public office will campaign completely on his/her own time,
without adversely affecting his/her duties at the university; and be subject to any general
university procedures governing appearances and activities of political candidates on the campus.
Any employee who acquires a state or federal public office or a full-time local government office
which is legally not permitted to be held by a university employee, will resign from university
employment. Such resignation will be without prejudice if adequate notice has been given by the
employee and mutually satisfactory arrangements have been made concerning possible
replacement of the employee.
(07-01-89)
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R04.10.030. Conflict of Interest
A.
Notice
Regents' Policy and this regulation regarding conflicts of interest will be communicated
to all affected persons - regents, employees and other university representatives. Policy
and regulation will be enforced in a timely and consistent fashion. Units of the
University of Alaska are directed to post, permanently, copies of Regents’ Policy
04.10.030 and this regulation on appropriate bulletin boards.
B.
Purpose and Scope
Regents’ Policy 04.10.030 and this regulation apply to and provide guidance for all
persons employed by the university, regardless of position.
Regents’ Policy 04.10.030 applies to individual members of the University of Alaska
Board of Regents as "officers" and "representatives" of the university when applicable.
C.
Rationale
In order to maintain the highest ethical standards in all associations and activities with
outsiders that take place on behalf of the university, every employee of the university is
expected to accord the university his/her primary professional loyalty and to arrange
outside obligations, financial interests and activities so as not to conflict or interfere with
this over-riding commitment. All university employees will conduct both university
business and their individual activities in a manner which will withstand the sharpest
scrutiny and avoid even the appearance of impropriety.
D.
Disclosure
All university employees will follow the practice of full prior disclosure, in writing, of
the precise nature of any association, relationship, business arrangement or circumstance
that might suggest that decisions were made contrary to the best interests of the university
and/or for an employee's personal gain or the gain of an employee's family, close friends
or business associates. All such prior disclosures will be done through organizational
channels to the university president in case of employees, or to the board president in the
case of regents.
E.
Areas of Potential Conflict
The following activities and situations present conflicts of interest or commitment.
l.
Use of University Resources
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The unauthorized use of any university resources by a university employee,
including equipment or services of university employees, for his/her own personal
benefit.
2.
Disclosure of Privileged Information
The unauthorized disclosure or release of any data of a confidential nature by a
university employee, secured through one's employment, such as educational,
medical, personnel, security records of individuals; anticipated material
requirements or price actions; possible new sites for university actions;
knowledge of forthcoming programs or of selection of contractors or
subcontractors in advance of official announcements; results, materials, records of
information stemming from university activity that are not generally available.
3.
Acceptance of Gifts
Direct or indirect acceptance by a university employee of a loan, gift or favor of
more than nominal value from any organization or person doing or seeking to do
business with the university. Nominal value is generally considered to mean low
cost advertisement items, i.e., calendars, cups, pens, etc. This subsection should
not be deemed to prohibit normal loans made in the ordinary course of business
from banks or financial institutions that have or expect to have relations with the
university.
4.
Provision of Gifts
Direct or indirect provision by a university employee of a gift or favor of more
than nominal value to any organization or person doing or seeking to do business
with the university.
5.
Interest in Supplier or Contractor
Direct or indirect interest by a university employee in any organization that has,
or is seeking to have, business dealings with the university where there is an
opportunity for preferential treatment to be given or received except (a) with the
knowledge and written consent of the board or university president, or (b) in any
case where such an interest consists of securities in widely-held corporations that
are quoted and sold on the open market, or in private corporations where the
interest is not substantial, e.g., not more than 5 percent of the voting stock or
controlling interest of such organization.
6.
Competition with University
Direct or indirect engagement by a university employee in any other enterprise for
remuneration when the activity is in direct competition with the university, except
with the knowledge and prior written consent of the president or his designee.
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7.
Sale or Lease of Property
Direct or indirect selling or leasing by a university employee of any kind of
property to or from the university or to any organization or person that is, or is
seeking to become, a supplier of goods, services or property to the university,
except with the knowledge and prior written consent of the president or his
designee.
8.
Employment by Supplier
Direct or indirect service by a university employee as an officer or director of, or
as a consultant to, or to be otherwise employed by any organization doing or
seeking to do business with the university, except with the knowledge and prior
written consent of the university president or his designee.
9.
Outside Activities
Devotion of so much time or creative energy by a university employee to
extramural activities that the employee compromises the amount of quality of
his/her participation in the instructional, scholarly or administrative work for
which the employee was hired. No more than 20 percent of an employee's total
professional effort may be directed to such extramural activities.
10. Research
Direction of students by a university employee into a research area from which the
employee hopes to realize financial gain.
A university employee will be considered to have done indirectly the things or activities
described in subsection E whenever any part of the actions or things are accomplished by
or through the spouse, child, parent or sibling of the employee or by an association, trust
or organization in which the employee or the employee's spouse, child, parent or sibling
has a substantial interest; or through any device or artifice intended to evade the effect of
the regulation.
F.
Activities that are Permissible
The following activities present no conflict of interest:
1.
Acceptance of royalties for published scholarly works and other writings or of
honoraria for commissioned papers and occasional lectures, provided, however,
that such published work is not a "commissioned work" as defined in Regents'
Policy 10.07.050.
2.
Service as a consultant to outside organizations provided that (a) the time and
energy devoted to the task is not excessive, (b) the arrangement in no way inhibits
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publication of research results obtained within the university and (c) the
arrangement violates no portion of subsection E.
3.
G.
Service on boards and committees of organizations, public or private, provided
that (a) such service does not compromise the amount or quality of the employee's
work and (b) the service does not otherwise violate the provisions of subsection E.
Method of Resolving Conflict
The procedures listed below will be followed to determine when a conflict of interest
could or does exist, and to avoid or remove such conflict. If there is any question about
the propriety of any business dealings contemplated or engaged in currently, or if an
employee is uncertain whether a conflict of interest situation exists, this procedure will be
followed.
H.
1.
Through appropriate university channels, the employee will fully and accurately
inform the president of the university, or the president of the Board of Regents in
the case of regents, in writing, of the specific facts and circumstances surrounding
the possible conflict of interest.
2.
The employee or regent will then request a determination of whether the situation,
as presented, constitutes a conflict of interest.
3.
If any activity is interpreted as an existing or potential conflict of interest, the
university president, or president of the Board of Regents in the case of regents,
will determine what action is necessary to eliminate or avoid any conflict of
interest.
Sanctions
Failure of an employee to follow the requirements of this chapter or comply with
related directives from the president or his designee will be grounds for
suspension or dismissal of the employee and/or other sanctions as may be deemed
appropriate by the university president.
(06-20-97)
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REGENTS’ POLICY
PART IX – STUDENT AFFAIRS
Chapter 09.05 - Employment of Students
P09.05.010. General Statement: Employment of Students.
A.
The University of Alaska will provide opportunities appropriate for employment of its
students.
B.
Students will be accorded fair and equal opportunity to enter into and continue in
university employment on the basis of eligibility, qualifications and performance.
C.
Employment opportunities specifically made available for students are intended to
supplement other sources of a student’s financial support and promote academic and
career development.
D.
The chancellor of each MAU after conferring with student government, will establish
rules and procedures which encourage the creation of opportunities for student
employment and which recruit, screen, select and employ students to appropriate
positions.
E.
Student positions such as fellowships, graduate assistantships, internships, resident
firefighters, campus security officers, or employment directly related to a program of
study may require other pay type or terms and conditions not covered by this policy.
(04-17-98)
P09.05.020. Terms and Conditions of Student Employment.
A.
Student employment status will be defined as nonexempt, temporary employment that is
non-continuous and variable as necessitated by both department requirements and student
academic schedules.
B.
Student employment has been designated as at-will employment. Because of the at-will
nature of student employment, the student employee or the university may terminate
employment at any time for any reason or no reason. Notice of termination initiated by
either the student or the university must be made in writing. A student may appeal a
decision to terminate to the director of the MAU human resources office. This review
and determination is the university’s final decision and is the exclusive remedy. Where
applicable, the notification of final decision will also state that further redress of a final
decision may be had only by filing an appeal with the Superior Court of Alaska in
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accordance with Alaska Appellate Rule 602(a)(2) within thirty (30) days from the date of
the final decision.
C.
To be eligible for student employment, an applicant must:
1.
be enrolled in the university system with a minimum of six credit hours in the
current semester of employment; or
2.
have been enrolled the preceding semester for six or more credit hours and
demonstrate plans to enroll for six or more credit hours in the next semester for
employment between semesters; and
3.
have at least a 2.0 cumulative grade point average (GPA) or approval from the
chancellor or the chancellor’s designee.
D.
Students enrolled in non-traditional programs of study will be considered eligible for
student employment with the approval of the Senior Student Services officer.
E.
An applicant must provide evidence of enrollment as outlined above to substantiate
employment eligibility.
F.
Individual campuses may implement more stringent eligibility requirements than those
set out in C-E of this section. Regional human resources offices will make information
regarding eligibility criteria available to students, faculty, and staff.
G.
Because employment must not interfere with class attendance, a student will not be
eligible for student employment when the defined hours of work would interfere with the
student’s academic schedule.
H.
High school students who are enrolled or who intend to enroll with the university may be
eligible for student employment. Requests must be in writing and forwarded to the MAU
human resources office for review and consideration.
(04-17-98)
P09.05.022. Limitations to Student Employment.
A person employed in a student employment job may not simultaneously hold a faculty or staff
position with the university.
(04-17-98)
P09.05.024. Recruitment, Screening, Selection, and Placement.
The recruitment, screening, selection, and placement procedures for employment of students are
generally defined in regents’ policy and university regulation on recruiting and staffing of
personnel. However, in order to accommodate academic requirements, administrative efficiency,
or other reasons identified in writing by the hiring authority or university, the MAU human
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resources office or affirmative action officer may approve specific processes if they are in
compliance with appropriate state and federal law.
(04-17-98)
P09.05.026. Compensation.
A.
The salary schedule for student employment will be designed to compensate for skill
level, responsibility, and experience requirements. It will take into consideration such
things as the level of supervision required and the non-monetary benefits provided:
flexibility to accommodate academic schedules, on-the-job-training, the promotion of
academic and career development, the position’s eligibility to students only, and the
advantages of working in the university community.
B.
The salary schedule and criteria for placement and movement will be set forth in
university regulation.
(04-17-98)
P09.05.028. Exemptions from Deductions Required by the Internal Revenue Service.
To be considered exempt from Social Security and Medicare tax, student employees must meet
enrollment requirements stipulated by the Internal Revenue Service. The regional human
resources offices will maintain, and make available, information regarding student taxation.
(04-17-98)
P09.05.030. Hours of Employment.
Student employment will normally not exceed 20 hours per week during a semester or 40 hours
per week between semesters or during summer sessions. Regular and reoccurring exceptions to
this schedule must be made in writing and approved in advance by the MAU chancellor or
his/her designee. Notification of approved exceptions must be sent to the MAU human resources
office.
(04-17-98)
P09.05.032. Employment Files.
Employment-related files will not be included in a student's educational record, except for that
portion of the employment experience that pertains to academic performance.
(04-17-98)
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UNIVERSITY REGULATION
PART IX – STUDENT AFFAIRS
Chapter 09.05 - Employment of Students
R09.05.020. Terms and Conditions of Student Employment
A.
Job Classification for student assistant employment and appropriate wage level
assignments are made by the regional human resources office in consultation with the
hiring authority. The nature of the need for temporary support and the non-monetary
benefits will be identified by the hiring authority. Jobs will be defined in writing using a
job form approved by the regional human resources office.
B.
Student assistant positions will be assigned at one of three grade levels based on the
following criteria:
1.
Student Assistant A
Works under direct supervision. Duties generally are routine in nature and
decision-making is limited (e.g., may make routine decisions about assigned work
in absence of immediate supervision.) May require some previous training,
experience and/or knowledge. Examples of typical work include: general office
work (e.g., reception, record maintenance, word processing, computer data entry);
general laboratory support (e.g., organizing lab supplies, animal care, setting up
equipment, maintaining simple records of experiments/projects.)
2.
Student Assistant B
Works under general or intermittent supervision. Duties are varied and require
some independent judgment. Decision-making may be required in the minor
revision of standard judgment. Typically requires previous training and
experience (e.g., one year). Some college or comparable experience may be
necessary. May require mechanical or technical ability/knowledge. Examples of
typical work include: coordinating activities for a function or project; advance
office/administrative duties; maintaining computer equipment; basic computer
programming; assisting a skilled crafts or tradesperson.
3.
Student Assistant C
Works under general direction. Duties require considerable knowledge and skills.
Exercises independent judgment and decision-making in developing new
procedures or techniques. May involve supervision of other student employees.
Examples of typical work include: performing complex computer programming,
network operations or troubleshooting; advance technical computer maintenance;
research, writing or assisting in writing technical reports; assisting in complex
technical aspects of complex projects. May be responsible for a facility, building,
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activity, or program. May coordinate the use of equipment, building space, or
programs.
(06-09-03)
R09.05.026. Compensation.
The student assistant salary schedule contains multiple steps for each grade level.
A.
Initial hire rate into a new or different position, will be at the minimum rate in the
assigned grade level. Exceptions may be considered only in cases of documented
marketplace necessity, or exceptional qualifications. Requests for exceptional step
placement must be made, in writing, to the regional human resources officer, showing
documented reasons for the exception.
B.
Salary step progression occurs annually through continued satisfactory performance by
the student in the same assigned student grade level. Two semesters of active satisfactory
performance within a twelve-month period will warrant a one step increase on their
anniversary date. Employment for at least twelve weeks during the summer will be
equivalent to one semester.
C.
Requests for approval of additional step movement will be considered under exceptional
circumstances or for extraordinary performance. Requests must be made, in writing, to
the regional human resources officer, showing justification for salary adjustment.
(06-09-03)
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REGENTS’ POLICY
PART IX – STUDENT AFFAIRS
Chapter 09.06 - Services for Students with Disabilities
P09.06.010. Prohibition Against Discrimination on the Basis of Disability.
The university will provide a learning environment in which no student will be subjected to
unlawful discrimination based on disability. No otherwise qualified individual will be denied
reasonable access to, participation in, or the benefits of, any program or activity operated by the
university because of disability. Each qualified student with a disability will be eligible to
receive appropriate academic adjustments and programmatic accommodations necessary for the
student to access educational opportunities, programs, activities, or services in the most
integrated setting possible.
(06-19-98)
P09.06.020. Definitions.
In this chapter
A.
“ADA/Section 504 Coordinator” means the person responsible for overseeing university
implementation of the requirements of the Americans with Disabilities Act of 1990, as
amended, and Section 504 of the Rehabilitation Act of 1973, as amended;
B.
“appropriate academic adjustment” means a modification to the learning environment
defined by individual documented need and directly related to a student’s academic
pursuits, as approved by the MAU disability support services coordinator; appropriate
academic adjustments may include auxiliary aids and services such as: sign language
interpreters, provision of course notes, alternative format materials, alternative testing
accommodations, assistive learning technologies, modifications in length of time needed
to complete degree requirements, substitutions for specific courses required for degree
completion, and adaptation of the manner in which specific courses are conducted;
C.
“disability support services coordinator” or “DSS Coordinator” means the individual
designated by the chancellor of each MAU to administer the provision of appropriate
academic adjustments and other programmatic accommodations to students with
disabilities for the MAU;
D.
“programmatic accommodation” means a modification or adjustment to the physical and
learning environment made to enable a student with a disability to pursue educational
goals, as approved by the MAU disability support services coordinator;
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E.
“qualified student” means a student with a disability who, with or without an
accommodation, meets the academic and technical standards requisite for admission to,
or participation in, the student’s selected educational program or activity;
F.
“student with a disability” means a person with a physical or mental impairment that
substantially limits one or more major life activities, or a person with a record of such a
physical or mental impairment, or a person who is regarded as having such an
impairment.
(06-19-98)
P09.06.030. Accommodation of Students with Disabilities.
A.
The university will strive to provide, within the limits of mission, resources, facilities,
and personnel, appropriate academic adjustments and other programmatic
accommodations to qualified students with disabilities to ensure access to educational
opportunities, programs, and activities in the most integrated setting possible. The
university will make reasonable modifications and adjustments, provided such
adjustments would not result in a fundamental alteration of the affected service, program,
or activity; lower the standards of an instructional program; result in an undue financial,
administrative or academic burden; or create a direct threat to the health or safety of
others. Regents’ policy, university regulation, and MAU rules and procedures for
accommodation of students with disabilities will be based upon principles and
requirements contained in the Americans with Disabilities Act (ADA) of 1990 and
Section 504 of the Rehabilitation Act of 1973 as amended.
B.
The university will not charge students with disabilities a fee for the provision of
approved appropriate academic adjustments and other programmatic accommodations.
The university assumes no responsibility for providing or for the cost of non-approved
academic adjustments, personal care attendants, individually prescribed devices, readers
for non-programmatic material, or other devices or services of a personal rather than
programmatic nature.
C.
Programs or activities not wholly operated by the university, but that are used in
conjunction with university-sponsored programs, must be able to provide an opportunity
for participation by qualified students with disabilities. The program sponsor must be
able to provide the university with documentation that the sponsor does not discriminate
on the basis of disability.
(06-19-98)
P09.06.040. Provision of Appropriate Academic Adjustments and Other Programmatic
Accommodations: Responsibilities of the Chancellor.
Each chancellor is responsible for ensuring that the MAU, including extended campuses and
sites, meets all legal responsibilities for students with disabilities. The chancellor will designate
an individual to serve as the MAU DSS coordinator or DSS coordinator. Each chancellor is also
responsible for ensuring that training opportunities related to awareness and understanding of the
needs of students with disabilities are made available. (06-19-98)
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P09.06.041. Provision of Appropriate Academic Adjustments and Other Programmatic
Accommodations: Responsibilities of the Disability Support Services Coordinator.
The DSS coordinator will oversee all services for students with disabilities provided within the
MAU, including the needs of the extended colleges, campuses, and other sites. The DSS
coordinator, in consultation with the chief administrative officer of an extended college or
campus, may appoint site designees to assist in the delivery of disability support services. The
DSS coordinator, or the site designee in consultation with the DSS coordinator, is responsible for
the provision of services which include:
A.
evaluating disability documentation provided by students seeking eligibility for
university services on the basis of disability;
B.
consulting with individual faculty and/or staff when required by the nature of the
disability, academic adjustment, or programmatic accommodation;
C.
authorizing appropriate academic adjustments and other programmatic accommodations
for qualified students with disabilities in accordance with regents’ policy , university
regulation , and MAU rules and procedures, and providing written instructions to faculty
and staff for their provision and coordination;
D.
providing consultation and training for faculty and staff related to awareness and
understanding of the needs of students with disabilities;
E.
resolving complaints from students, faculty, or staff regarding the provision of
appropriate academic adjustments or other programmatic accommodations for students;
and
F.
advising the chancellor about changes in MAU practices that would encourage students
with disabilities to participate in university programs and activities.
(06-19-98)
P09.06.042. Responsibilities of Students with Disabilities in Seeking Accommodation.
Students with disabilities who seek appropriate academic adjustments and other programmatic
accommodation must identify themselves to the DSS coordinator or site designee, provide
documentation of their disabling condition, and request appropriate accommodation in a timely
manner. Students will be required to submit medical and/or other acceptable documentation with
the request.
(06-19-98)
P09.06.043. Responsibilities of Faculty and Staff in Providing Accommodations for
Students with Disabilities.
A.
Faculty and staff will work with the DSS coordinator or site designee to provide the
authorized academic adjustments and other programmatic accommodations. Faculty and
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staff are responsible for understanding the university’s obligation to provide
accommodations for students with disabilities.
B.
Faculty or staff who feel a more helpful accommodation than that authorized is possible
or who have questions about the authorized accommodation should contact the DSS
coordinator or site designee. Authorized accommodations or adjustments may not be
changed without the approval of the DSS coordinator or site designee.
(06-19-98)
P09.06.044. Reconsideration of Authorized Accommodations.
The dean or director of a program affected by the authorized accommodations may also request
the DSS coordinator or site designee to reconsider if the dean or director considers the authorized
academic adjustments and other programmatic accommodations would result in a fundamental
alteration of the affected service, program, or activity; lower the standards of an instructional
program; result in an undue financial, administrative or academic burden; or create a direct
threat to the health or safety of others. The DSS coordinator or site designee will attempt to
resolve the matter informally, and, if necessary, proceed to formal resolution procedure
according to university regulation.
(06-19-98)
P09.06.050. Resolution of Complaints Regarding Accommodation of Students with
Disabilities and of Complaints of Discrimination Based on Disability.
A.
Students with disabilities who are dissatisfied with the accommodations or services
provided by the university may initiate a formal complaint in accordance with university
regulation and MAU rules and procedures only after exhausting the processes for
securing the services and accommodations and the informal means for resolving
complaints.
B.
A process will be provided in the university regulation for informal and formal resolution
of complaints from students with disabilities who have been denied services or who are
dissatisfied with the services provided, and from individuals who allege that a student has
been subjected to unlawful discrimination based on disability.
(06-19-98)
P09.06.060. Confidentiality.
The documents submitted by students seeking services to accommodate their disabilities and the
resulting file will be managed like medical and health files under the supervision of the DSS
coordinator or site designee in accordance with applicable federal and state laws.
Documentation related to a disability will not be part of a student’s academic file. Information
contained in the files will be released by the DSS coordinator or site designee only in accordance
with federal and state laws.
(06-19-98)
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UNIVERSITY REGULATION
PART IX – STUDENT AFFAIRS
Chapter 09.06 - Services for Students with Disabilities
R09.06.041. Provision of Appropriate Academic Adjustments and Other Programmatic
Accommodations: Responsibilities of the Disability Support Services Coordinator.
The DSS coordinator or site designee will review the documentation and determine eligibility for
services.
A.
If the student is eligible for services, the DSS coordinator or site designee will authorize
appropriate academic adjustments and other programmatic accommodations and provide
written instructions for the student to provide faculty and staff. The DSS coordinator or
site designee will instruct the student to report any perceived delay in the provision of
services to the coordinator or site designee for resolution.
B.
If the DSS coordinator or the site designee determines that a student is not qualified to
receive academic adjustments or programmatic accommodations, the coordinator will
inform the student of the process by which the coordinator’s decision may be contested
within the university.
(06-19-98)
R09.06.042. Responsibilities of Students with Disabilities in Seeking Accommodation.
To be considered for eligibility for appropriate academic adjustments, students must identify
themselves as having a disability to the disabilities support services (DSS) coordinator or site
designee and submit current medical, psychological, neuro-psychological, psycho-educational,
psychiatric, and/or other appropriate diagnostic evaluation(s) completed by professionals with
appropriate certification and/or licensure. Documentation must support the accommodations
requested, and may be required before authorization is made for appropriate academic
adjustments and/or other programmatic accommodations.
Acceptable documentation will be determined by the DSS coordinator or site designee. The
University of Alaska will not be responsible for, and will not bear the cost of, any evaluations
and/or documentation regarding a disability.
Students who initially request academic adjustments or other programmatic accommodations
from faculty or departmental staff will be referred to the DSS coordinator or site designee.
(06-19-98)
R09.06.043. Responsibilities of Faculty and Staff in Providing Accommodations for
Students with Disabilities.
Faculty and staff are responsible for either timely implementing the authorized appropriate
academic adjustments and other programmatic accommodations or immediately requesting the
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program dean or director to file a request for reconsideration by the DSS coordinator or site
designee. If requested to reconsider, the DSS coordinator or site designee will attempt to resolve
the issue informally with the faculty or staff member, the appropriate dean or director, and/or the
chief academic officer. If informal efforts do not result in resolution, the DSS coordinator or site
designee will consult with the MAU ADA/504 coordinator and such other persons as the
chancellor deems appropriate prior to issuing a written decision. The DSS coordinator or site
designee will also inform the student of the process for filing a formal complaint within the
university.
The authorized academic adjustments and other programmatic adjustments will remain in effect
at the discretion of the DSS coordinator or site designee until the matter is resolved.
(06-19-98)
R09.06.050. Resolution of Complaints Regarding Accommodation of Students With
Disabilities and of Complaints of Discrimination Based on Disability.
A.
A formal complaint may be filed by a student who has been denied
services by the DSS coordinator or site designee, by a student dissatisfied with the
services provided, or when a student has allegedly been subjected to unlawful
discrimination in a non-employment situation based on disability.
B.
The programmatic accommodation process must have been exhausted and informal
attempts at resolution must have been attempted before a formal complaint may be filed.
C.
Formal complaints must be submitted in writing to the senior student services officer, and
must include the following:
1.
the name, address and phone number of the person submitting the complaint;
2.
the name and title of the individual(s) toward whom the complaint is directed;
3.
a clear and concise description of the event(s) leading to the complaint and of the
complaint, itself;
4.
an explanation of the impact upon the complainant attributed to the substance of
the complaint;
5.
a summary of attempts taken to resolve the complaint informally;
6.
any other supporting documentation deemed relevant and appropriate;
7.
the remedy requested; and
8.
the complainant’s signature and the date.
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D.
The senior student services officer will assign one or more individuals knowledgeable in
the area of ADA/Section 504 compliance or disability discrimination to review the
complaint.
The reviewer(s) will determine within a reasonable period of time whether state or
federal law, Regents’ Policy, University Regulation, or MAU rules and procedures have
been violated. If so, the reviewer(s) will recommend to the MAU senior student services
officer appropriate solutions, including academic adjustments and other programmatic
accommodations. The MAU senior student services officer’s decision on the matter will
be made after consultation with the chancellor or designee and such other persons as the
chancellor deems appropriate. The MAU senior student services officer’s decision is
final within the university.
The senior student services officer will notify in writing the student, the individual(s)
against whom the complaint has been made, and the DSS coordinator (and site designee
when appropriate) of the final decision. Notification of the final decision will be made in
accordance with Regents’ Policy on rights and responsibilities regarding seeking further
redress to university decisions and actions in the court system.
(06-19-98)
R09.06.060. Confidentiality
All records within the university regarding disability information will be filed with the DSS
coordinator or site designee to ensure confidentiality. No one other than the DSS coordinator or
site designee will have immediate access to these files. Information will be released from the
files in accordance with applicable federal and state laws, Regents’ Policy, University
Regulation, and MAU rules and procedures. In general, faculty and staff will only be provided
information about a student’s disability related needs regarding academic adjustments and other
programmatic accommodations.
(06-19-98)
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REGENTS’ POLICY
PART IX – STUDENT AFFAIRS
Chapter 09.09 - Recreational and Intercollegiate Athletics
P09.09.040. Nondiscrimination and Gender Equity.
Each chancellor will be responsible for compliance with applicable non-discrimination and
gender equity mandates.
(11-20-98)
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REGENTS’ POLICY
PART IX – STUDENT AFFAIRS
Chapter 09.11 - Student Health
P09.11.010. Immunizations and Tests for Communicable Diseases.
A.
The university will encourage its students to undertake immunization and testing for
communicable diseases by making available on its campuses information regarding the
benefits and risks of such immunization and testing, and where immunizations and
testing are available.
B.
To be eligible for living in high density student residence facilities, all students and other
persons born after 1956 must furnish 1) proof of immunization against or immunity for
measles, mumps, rubella, diphtheria and tetanus in accordance with university regulation;
and 2) evidence of the absence of tuberculosis. The chancellor will designate the facilities
that are to be considered high density residences for the purposes of this subsection.
C.
Additional or expanded immunization and testing may be required when the president or
designee determines the protection afforded to the health and safety of the university
community so warrants.
D.
Students or other persons may be granted an exemption from one or more of the specified
immunization requirements based on medical or religious reasons in accordance with
university regulation.
The chancellor may also grant general exemptions to
classifications of occupants who will occupy student residence facilities less than a
semester's duration. Those persons exempted from immunization or testing for a disease
may be removed from student residence facilities should an outbreak of that disease
occur or threaten to occur.
E.
Nothing in this section is intended to impose liability upon the university for damages
resulting from immunization or testing, or the lack of immunization or testing, of any
student or other person, as required by this policy.
(04-21-00)
P09.11.020. Health and Counseling Services and Fees; Health Insurance.
A.
The university will make health and counseling services and health insurance available to
its students, taking into consideration student needs and the limits of university facilities,
resources and personnel.
B.
The level of service and associated fees will be determined by a chancellor and may vary
among the campuses. Fees will be based on the cost of the service being provided.
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C.
A chancellor may make possession of health insurance mandatory for certain categories
of students.
(04-21-00)
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UNIVERSITY REGULATION
PART IX – STUDENT AFFAIRS
Chapter 09.11 - Student Health
R09.11.010. Immunizations and Tests for Communicable Diseases
A.
Information on Benefits of Immunization and Testing
Chancellors will establish procedures to inform students regarding the benefits of
immunization and testing for communicable diseases and to encourage students to
undertake appropriate immunizations and tests. Such information will include guidelines
and recommendations published by public health agencies such as the Center for Disease
Control and Prevention, the National Coalition for Adult Immunization, and the
American College Health Association; and the locations for obtaining immunizations and
tests.
B.
Mandatory Immunizations and Tests
To be eligible for living in high density student residence facilities, evidence must be
provided of immunization or testing as specified below against the following diseases.
1.
Measles
Immunization by:
a.
two doses of live measles virus vaccine, the first dose administered on or
after the age of 12 months and the second dose administered more than 30 days
after the first dose; or
2.
b.
two doses of measles, mumps, rubella (MMR) vaccine, the first dose
administered on or after the age of 12 months and the second dose
administered more than 30 days after the first dose; or
c.
documentation of having been diagnosed by a physician as having had
measles disease; or
d.
demonstrated serological evidence of measles antibodies.
Mumps
If not covered by a measles, mumps, rubella (MMR) vaccine series,
immunization by:
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a.
at least one dose of live mumps virus vaccine administered on or after the
age of 12 months; or
3.
b.
documentation of having been diagnosed by a physician as having had
mumps disease; or
c.
demonstrated serological evidence of mumps antibodies.
Rubella
If not covered by a measles, mumps, rubella (MMR) vaccine series,
immunization by:
a.
at least one dose of live rubella virus vaccine administered on or after the
age of 12 months; or
b.
4.
demonstrated serological evidence of rubella antibodies.
Diphtheria and Tetanus
Any combination of three or more doses of either diphtheria and tetanus (pediatric
DT) and/or tetanus and diphtheria (adult Td) vaccine, with:
5.
a.
the most recent dose having been received within 10 years prior to first
living in the student residence facility; and
b.
a minimum time interval between the first and second dose of at least four
weeks; and
c.
the third or last dose having been received at least six months after the
second or previous dose of the basic series.
Tuberculosis
A negative tuberculin skin test or chest x-ray.
C.
Exemptions
Exemption from one or more of the immunization or testing requirements specified in
policy may be granted to a student or other person based on one of the following:
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D.
1.
a written statement from a physician that the immunization may be detrimental to
the health of the person; or
2.
a written statement by the person (or the parent or guardian, if the person is a
minor) detailing the objection to immunization on the ground that immunization
conflicts with the tenet and practices of a recognized church or religious
organization of which the person is an adherent or member; or
3.
stipulation in MAU rules and procedures regarding the exemption of certain
classifications of occupants, such as attendees of short conferences, who will
occupy student residence facilities less than a semester's duration.
Implementation and Enforcement
Procedures for implementation and enforcement of this policy, including grace periods,
will be set forth in MAU rules and procedures.
(04-21-00)
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