A statement of personnel policies and procedures for unclassified professional staff initially was approved in 1979. Revisions were approved by the Chancellor on March 29, 1994 and became effective on June 18, 1994. Subsequent revisions reflect changes in related University or Board of Regents policy and changes in the administrative structure of the University. This statement includes policies and procedural guidelines regarding appointment, promotion, evaluation, termination, and other matters specifically related to unclassified professional staff. Other matters that pertain to all unclassified staff are covered elsewhere in this Handbook.
Unclassified Professional Staff members of the University are those unclassified, non-student employees who are not identified as faculty or academic staff members. These staff members engage in administration, education and research in support of the mission of the institution. If a staff member also holds a regular faculty or academic staff appointment, the faculty or academic staff policies and procedures will apply.
Unclassified Professional Staff members shall be selected and appointed in accordance with prevailing University policies as administered by Human Resources and Equal Opportunity (HR/EO).
The terms and conditions of each initial appointment must be stated in writing, approved by the appropriate administrator (Chancellor, Provost and Executive Vice Chancellor, Executive Vice Chancellor for External Affairs, vice chancellor, senior vice provost, vice provost, dean, or university director), or his/her designated representative, and by HR/EO and communicated to the prospective appointee for written acceptance before the appointment is finalized. [For appointments that involve more than one budgetary unit or appointment type, see “Guidelines for Joint Appointments,” C.2.a.2. of this Handbook.]
A description for each position shall be approved by the appropriate administrator and shall meet guidelines provided by HR/EO and approved by the Provost and Executive Vice Chancellor. A written position description will be provided to the employee at the time of initial employment. This description should be reviewed annually, or, if significant changes occur, updated more frequently. The unit administration will make the final determination of the position responsibilities and priorities.
Titles for Unclassified Professional Staff members should reflect the responsibilities and qualifications of the positions and individuals covered under this policy. These titles must be approved by HR/EO.
The university recognizes the value of professional activities, such as conferences, workshops, and meetings that enhance the professional development of staff members. Such activities should be encouraged, and when appropriate and advantageous to the performance of the employee and to the unit, release time and/or reimbursement of related expenses may be approved in accordance with institutional policies and practices. Release time with pay may be granted in meritorious cases when the project or activity undertaken by the individual is considered to be appropriate to the individual’s area of competence and is in the best interests of the individual and the University.
Unclassified Professional Staff members who are appointed at least half time are afforded the following benefits: group health and hospitalization insurance, group life and disability insurance, worker’s compensation, unemployment compensation, retirement benefits, leave without pay, sick leave, bereavement leave, shared leave, vacation leave, holidays, military leave, and other privileges and general perquisites. Individuals who hold appointments of less than half time are eligible for some benefits. These benefits, described elsewhere in this Handbook and on the HR/EO website, are subject to change by the University, the Board of Regents, and state government.
Promotion of an Unclassified Professional Staff member must be in accordance with the University’s affirmative action and equal opportunity policies and must be approved by the appropriate administrator or his/her designated representative.
The University shall at all times seek to attract, retain and reward staff members who consistently perform effectively. Promotion, and the usual accompanying salary increase, are important means of acknowledging such performance. Promotions must be approved by the appropriate administrator (Chancellor, Provost and Executive Vice Chancellor, Executive Vice Chancellor for External Affairs, vice chancellor, senior vice provost, vice provost, dean, or university director) or his/her designated representative and reviewed by HR/EO. Promotion shall be made on the basis of increased responsibilities or a change of duties and shall be awarded for achievement rather than for mere length of service or as an incentive to greater effort.
Unclassified Professional Staff (UPS) Performance Evaluations Policy
Unless a more limited term of appointment has been stated in writing or timely notice of non-reappointment has been given, appointments to unclassified professional staff positions will be renewed at the beginning of the fiscal year.
Supervisors who are considering a notice of non-reappointment must consult first with HR/EO before making a recommendation of non-reappointment. Upon recommendation of the dean or director of the appropriate school or division, and after review, the Chancellor, Provost and Executive Vice Chancellor, Executive Vice Chancellor for External Affairs, vice chancellor, senior vice provost, vice provost, or university director, or a designated representative will send a written notice of non-reappointment to the appointee. The unclassified professional staff member will have an opportunity to discuss the non-reappointment with the next level of management. The written notice of non-reappointment may include information about the reason for non-reappointment.
Notice of non-reappointment is to be given as early as possible. The first three (3) years of service are considered a period during which notice must be given no later than May 17th for non-reappointment the following fiscal year or no later than 30 days prior to the end of the current appointment if appointment ends other than the last day of the fiscal year. After completion of the third full fiscal year, the individual must be provided notice no later than January 17th if he/she will not be reappointed the following fiscal year or no later than 150 days prior to the end of the current appointment if appointment ends other than the last day of the fiscal year. Such individuals may be reassigned to other duties during those months. In accordance with Board of Regents and University policy (see C.1 of this Handbook), certain members of the administrative staff serve at the pleasure of the administrator to whom they report. Appointments that have been designated as being “at the pleasure of . . .” are not subject to the notice terms specified in this paragraph nor to the grievance procedures outlined in C.4.l.3 below.
Some unclassified professional staff positions may be funded from sources such as externally supported grants and contracts. Termination of such support provides a bona fide cause for termination of appointment without the usual notice. Individuals will be informed at the time of appointment, or at the time the funding basis is changed, that the position is a limited-term appointment.
In the event of termination because of a discontinuance or reorientation of a program, or termination at any time due to budgetary constraints, HR/EO and the appropriate budgetary unit will actively assist the affected staff member in seeking transfer to other budgetary units of the University of Kansas, or to other State agencies, or in seeking other employment. If a state of financial exigency impends, no unclassified professional staff member should be terminated solely to create a position for a tenured faculty member.
A staff member who asserts that a decision to give notice of non-reappointment constitutes a violation of established procedures of the University or of the unit is entitled to appeal such decision. (See section entitled “Conflict Resolution.”) Employees given notice of non-reappointment in accordance with the standards described above may appeal only on the basis that the notice of non-reappointment constitutes a violation of established procedure.
Resignations should always be submitted in writing to the chairperson, dean, or director. Such letters will be forwarded as appropriate to the Chancellor, Provost and Executive Vice Chancellor, Executive Vice Chancellor for External Affairs, vice chancellor, senior vice provost, vice provost, dean, university director, or designated representative, who will acknowledge the resignation on behalf of the University and inform HR/EO. Unless an earlier date is requested and approved, the effective date of the resignation shall be the expiration date of the current appointment. If an earlier date is specified, the date should be established at a time that will not cause a significant interruption of the ongoing work of the department, school, or division. The resignation should be submitted as soon as possible and no less than two weeks in advance of the requested termination date.
Release Time.
Under appropriate circumstances, upon the recommendation of the unit head and the appropriate dean, senior vice provost, vice provost, vice chancellor or university director, the Chancellor, Provost and Executive Vice Chancellor, or Executive Vice Chancellor for External Affairs may authorize release time with pay from regularly assigned responsibilities. Such release time may be granted, in strictly meritorious cases, to an unclassified professional staff member when the project or activity to be undertaken by the individual is considered to be appropriate to the individual’s area of competence and in the best interest of the individual and the University. Under appropriate circumstances, professional development travel funds may be made available.
Leave Without Pay.
A staff member who applies for a leave of absence without pay may be granted such leave when it is considered to be in the best interest of the individual and the University. A leave may be granted for purposes such as extended illness, certain family-related needs, or educational/professional advancement. Leaves without pay for purposes of childbearing, child-rearing, or other family-related needs will be granted in accordance with University policy and applicable state and federal regulations. Individuals who wish to request a leave of absence without pay may consult HR/EO to obtain information about the options available to them. A written application with the endorsement of the unit head should be submitted to the dean, vice provost, senior vice provost, vice chancellor, university director, Executive Vice Chancellor for External Affairs, Provost and Executive Vice Chancellor for External Affairs, or Provost. Board of Regents’ policy states that a leave without pay for up to three years may be granted by the chief executive officer of the institution when he or she judges that such leave is in the best interests of the institution. (See the “Leave without pay” section of this Handbook for further information.)
Employees may be disciplined for reasons of inadequate performance, misconduct, violation of established policies and procedures, or cause. An employee will receive disciplinary action appropriate to the misconduct or other infractions committed, with consideration given to work history as well as the nature of the misconduct or infraction. Disciplinary action may include, but not be limited to, a warning, reassignment, reduction or elimination of merit salary increases for one or more years, administrative leave without pay, demotion, and dismissal. Supervisors are expected to consult with HR/EO in order to determine the appropriate disciplinary action.
For seriously inadequate performance or cause, the employee may be terminated at any time. In such case, the employee shall have the right to be informed in writing of the reason for action taken, shall have an opportunity to discuss the proposed action with the supervisor or designate, and may appeal the dismissal in accordance with the provisions of the “Conflict Resolution” section.
Problems of performance or conduct should be addressed in a timely manner, and when feasible, adequate time should be allotted for improvement to occur. Before any disciplinary action is taken, if possible the supervisor will first advise the employee of the misconduct or the inadequacy of his/her performance and will attempt to reach a solution to the problem. Whenever possible, problem resolution should entail a meeting between the employee and the supervisor. A summary of this meeting, including the agreement reached and the applicable time allotted for improvement, should be documented in writing and signed by both parties. Follow-up meetings between the employee and supervisor should occur to ensure that performance is improved or misconduct has not reoccurred.
When the instance of misconduct or poor job performance is determined to be of a severe nature, the reassignment, administrative leave without pay, demotion, or dismissal of an employee may occur in the absence of any prior discipline. In such case, the employee shall have the right to be informed in writing of the reason for the action taken and shall have an opportunity to discuss the proposal with the supervisor or a designate. Employees so disciplined will retain all applicable appeal rights.
A staff member who asserts that a disciplinary decision constitutes a violation of established procedures of the University, or that the decision fails to show adequate cause, should first review the proposed action with the immediate supervisor within ten working days of notification of the proposed disciplinary action. If the matter is still unresolved after this review, the employee may pursue his/her appeal. (See section entitled “Conflict Resolution.”)
The conflict resolution process described here is intended to help members of the unclassified professional staff address complaints related to the policies and procedures outlined above.
Back to TopC.4.l.1. University Ombudsman
The services of the University Ombudsman shall be available to assist both the employees and supervisors. The Ombudsman functions include: (a) receiving and attempting to resolve individual grievances of members of the University community; and (b) recommending procedural changes within the University in response to experience acquired in investigating individual cases. The University Ombudsman shall have access to all administrative officials of the University and, in accordance with law, to all University records. He or she shall not have authority to take disciplinary action, reverse decisions, or circumvent existing University rules and procedures. He or she shall supplement, not replace, other means, where they exist, for redress of grievances. All proceedings in individual cases shall be held confidential by the University Ombudsman unless otherwise authorized by the complainant.
Back to TopC.4.l.2. Specialized Procedures
The conflict resolution process described here is the sole process available to unclassified professional staff members for employment-related grievances, except that problems falling into the following areas shall be referred to the following entities:
Back to TopC.4.l.3. Grievance Procedures for Personnel Policies and Procedures
Each member of the unclassified professional staff shall have access to a procedure, which shall be the sole procedure available to unclassified professional staff for resolution of employment-related grievances except as described above in the section entitled “Specialized Procedures.”
The organizational entities that shall be required to establish and maintain grievance procedures for utilization by their subordinate units are the Office of the Chancellor, including the Office of the Executive Vice Chancellor for External Relations, and the Office of the Provost and Executive Vice Chancellor. Grievances arising in any unit reporting to the Chancellor or the Executive Vice Chancellor for External Relations shall be heard in accordance with the procedures established by the Chancellor’s Office. Those arising in any unit reporting through the vice chancellor and dean of the Edwards Campus, the senior vice provost, vice provosts, deans, or any other administrator who reports directly to the Provost and Executive Vice Chancellor shall be heard through the procedures established by the Provost and Executive Vice Chancellor. Proposed grievance procedures must be submitted to the University General Counsel, who will review them to ensure that the procedures do not conflict with existing law, rules of the Board of Regents, or rules or regulations of the University.
Back to TopC.4.l.4. Elements of Grievance Procedures
Because informal resolution at the lowest possible level is preferable, it is recommended that procedures contain a mediation phase. The staff of the Department of Human Resources and Equal Opportunity is available to assist with mediation efforts at any level. The minimal elements of grievance procedures will include:
Back to TopC.4.l. 5. Review Panel
If the grievance has not been resolved satisfactorily through the grievance procedure, either party may request in writing that the Chancellor or Provost and Executive Vice Chancellor or his/her designated representative refer the matter to a three-person panel and shall provide written statements to be considered by the review panel. The Chancellor or Provost and Executive Vice Chancellor or his/her designated representative shall notify the respondent, who shall have five working days from receipt of such notification to provide a written statement. The Chancellor or Provost and Executive Vice Chancellor or his/her representative shall appoint the panel within five working days of receipt of the request. No individual who has participated in earlier attempts to resolve the grievance or who has been involved in the case shall be appointed to the panel.
The panel will review the decision of the unit and relevant documents and any written statements provided by either party and within 10 working days of receipt of the written grievance materials shall prepare written recommendations which shall be advisory to the Provost and Executive Vice Chancellor or, in the case of disputes within the Chancellor’s area, to the Chancellor. Within ten working days, the Provost and Executive Vice Chancellor or the Chancellor or his\her designate shall issue a statement of final disposition to the parties. The disposition shall be implemented and is not appealable.
Back to TopC.4.l.6. Confidentiality
All matters discussed in the grievance process are kept in confidence, and information shall be released to only those individuals who have a legitimate reason to be informed of the information. Threats or actual incidents of retaliation, questions regarding the release of information, and breaches of confidentiality should be made known, as appropriate, to the office of the Provost and Executive Vice Chancellor or the Office of the Chancellor, as appropriate.
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