Joint Appointment Guidelines

A Joint Appointment may be established when an employee’s time is allocated between two or more entities, with position funding and appropriate resources needing a formal agreement.  It is most often used as a means to engage in multidisciplinary teamwork where the individual and the entities benefit from the shared appointment. Supervisors and employees are encouraged to use such agreements whenever they believe it is appropriate.

Thoughtful consideration should be given to the roles and responsibilities of the employee, his/her supervisors, and entity management before embarking on a joint appointment.  There should be mutual understanding with regard to the functional role of the appointee, administrative and other such arrangements, responsibility for attending entity meetings and other entity participation, and there should be a periodic review of the appointment success and conditions.

When developing a Joint Appointment, the appointing entities should complete a Memorandum of Understanding (MOU) that is endorsed by the appropriate Directors.  The purpose of the MOU is to uphold the UCAR policy to ensure equitable and sufficient oversight for employees The MOU should include these items, as further described in these guidelines.

1. Statement of work, or a Position Description

2. Home organization, secondary and tertiary organizations

3. Duration of the appointment

4. Allocation of the employee’s time (FTE) in each Division/Program

5. Funding sources for the appointment, and

6. Other required resources, e.g., office space, scientific, technical and administrative support that each entity will provide

7. Supervision

Primary Work Organization

The Joint Appointee will have a designated home entity in UCAR that will provide oversight of the employment arrangement.  Typically, workload for each Division/Program is in direct proportion to funding resources and priorities.

Funding and Resources

Within the Joint Appointment MOU the following should be specified:

1. Source of funds for the appointment  

2. Account keys to charge salary and planned percent of time to charge to each key

3. Source and amount of support for:

1. Non-labor costs, e.g. travel and equipment

2. Systems administration

3. Administrative, technical and other personnel assistance

4. GAU’s (General Accounting Units for facility computer time)

5. Office space
   
4. Responsibility for FTE appropriate to each entity should the funding source change

Should the Joint Appointee write funding proposals, the entity intended to provide the primary service to the potential funding organization will normally manage the proposal and funding process.

Supervision

At the beginning of the Joint Appointment it is recommended that a meeting between the supervisors and employee occur to ensure a mutual understanding of the arrangements and expectations.  The home entity will provide primary supervision.  It is important that supervisors maintain regular communication with each other and with the employee regarding work expectations, workload, and performance.  The employee should discuss concerns with his/her supervisors.

Annual Performance Appraisal

The home entity will be responsible for ensuring completion of an annual performance appraisal.  The secondary (and tertiary) group(s) will provide a written evaluation of activities, to be incorporated into the overall appraisal.  The appraisal should provide an evaluation of work performed in relation to expectations, and an outline of expectations for the coming year.

Eligibility

All employees in good standing are eligible for a Joint Appointment.  The work to be performed should be consistent with the employee’s current classification.

When the opportunity for a Joint Appointment creates a new position and/or a promotional opportunity for candidates, the job should be competed according to UCAR’s Employee Search and Selection Policy.

Appointment Duration

The duration of a Joint Appointment is determined by the funding and project requirements, and outlined in the MOU at the beginning of the appointment.  The agreement may be amended at any time after the appointment has been made when the work or funding indicates other arrangements are needed.  The appointment may be terminated early when, for example, the parties believe the appointment is no longer mutually beneficial or there is a change in funding.

The MOU must specify the arrangements for employment beyond the expected term of the joint appointment.  Normally the employee will resume their work with the originating entity.  Funding for the FTE should be forecasted and integrated into the appropriate budget so that, under normal circumstances, the joint appointee’s job continues beyond their period of joint appointment.  A Joint Appointment is expected to be a neutral factor for the employee when an entity considers its program priorities for budget purposes; however, no employee has any guarantee of employment.

Compensation

Pay for the Joint Appointee is determined by the employing entities, and with the concurrence of the Human Resources department.  The recommendation for annual increases resides with the home entity, and with concurrence of the associated entities.

Career Considerations

- Scientific Appointments (Scientist I, II, III and Senior Scientist)

When engaging in a Joint Appointment consideration must be given to support the Scientist’s work in relation to NCAR Scientific Appointments Policies and Procedures.  This includes opportunities for internal and external leadership and service, and the time to prepare research results for publication purposes.  It is incumbent upon the Scientist and supervisors to re-negotiate work assignments if existing arrangements do not support these required activities.

 - Classification and Reclassification

Responsibility for formally requesting a reclassification or promotion rests with the home entity; however, either employing entity may initiate the reclassification process.   Agreement among employing entities is expected prior to request for reclassification.

External Appointments/Collaboration

External appointments can provide for collaboration with those outside of UCAR, consistent with UCAR/NCAR/UOP goals.  Joint Appointments are a mechanism for use within UCAR; however, there are a number of alternatives available to facilitate external collaboration. These include Intergovernmental Personnel Agreements (IPAs), Memorandums of Understanding (MOUs) and Subcontracts.  Such agreements typically provide for “no loss, no gain” in compensation and benefits.

Joint Appointments are subject to all UCAR Policies and Procedures, including satisfactory employee performance and funding to support program activities.