AURA Policies and Procedures

Foreword

Section A – AURA Organization, Structure, and General Policies

I. AURA ORGANIZATION
A. Mission
B. Role and Responsibilities of the Member Representatives
C. Role and Responsibilities of the Board of Directors
D. Role and Responsibilities of the Management Councils

II. ROLE, RESPONSIBILITIES, AND RELATIONSHIPS OF THE PRESIDENT OF AURA
A. Role
B. Specific Functions
C. Administrative Reporting

III. ROLE AND RESPONSIBILITIES OF THE CENTER DIRECTORS
National Optical Astronomy Observatory (NOAO) Director
A. Organizational Purpose of NOAO
B. NOAO Director’s Role
C. Specific Responsibilities

National Solar Observatory (NSO) Director
A. Organizational Purpose of NSO
B. NSO Director’s Role
C. Specific Responsibilities

Gemini Observatory Director
A. Organizational Purpose of the Gemini Observatory
B. Gemini Director’s Role
C. Specific Responsibilities
D. Additional Responsibilities of the Gemini Director

Space Telescope Science Institute (STScI) Director
A. Organizational Purpose of STScI
B. STScI Director’s Role
C. Specific Responsibilities

Large Synoptic Survey Telescope (LSST) Director
A. Organizational Purpose of the LSST Project
B. LSST Director’s Role
C. Specific Responsibilities

IV. VISITING COMMITTEES (VC)
STScI – Space Telescope Science Institute
A. Policy
B. Scope and Background
C. Policies and Guidelines
D. Functions of the Institute Visiting Committees
E. STScI Visits
F. Visiting Committee Reports to AURA

NOAO – National Optical Astronomy Observatory
A. Policy
B. Scope and Background
C. Policies and Guidelines
D. Functions of the Visiting Committees
E. Observatory Visits
F. Visiting Committee Reports to AURA

NSO – National Solar Observatory
A. Policy
B. Scope and Background
C. Policies and Guidelines
D. Functions of the Visiting Committees
E. Observatory Visits
F. Visiting Committee Reports to AURA

V. EVALUATION OF THE AURA PRESIDENT AND CENTER DIRECTORS
A. Policy
B. Review Procedures

VI. CLOSURE OF BOARD AND COMMITTEE MEETINGS
A. Policy
B. Review Procedures

VII. BUSINESS ETHICS
A. Policy
B. Implementation

VIII. WHISTLEBLOWER POLICY
A. Policy
B. Procedure

IX. AURA POLICY GOVERNING CONFLICT OF INTEREST
A. Preamble
B. Purpose
C. Policy
D. Employee Disclosure
E. Reporting of Non-Compliance
F. Resolution of Conflicts
G. Sanctions for Non-Compliance

X. RECORDS RETENTION
A. Policy

XI. INTELLECTUAL PROPERTY POLICY
A. Introduction and Background
B. Policy Goals and Objectives
C. Administration
D. General Policy Provisions – AURA and Employees
E. Distribution of Revenue
Appendix A – Inventions and Proprietary Information Agreement
….Inventions and Proprietary Information Agreement Form

XII. AVAILABILITY OF INFORMATION
A. Policy
B. Procedures
C. Procedures for Activities Governed by National Aeronautic and Space Administration (NASA)
….Contractual Agreements

XIII. BUSINESS INSURANCE
A. Policy
B. Procedures

XIV. EXPORT CONTROL
A. Policy

XV. CLASSIFIED RESEARCH
A. Preamble
B. Research Policy

XVI. LIABILITY DISCLAIMER REGARDING USERS’ PROPERTY
A. Policy

XVII. GUIDELINES FOR INTERNATIONAL MEMBERS
A. Policy

XVIII. A CHARTER FOR THE MANAGEMENT AND OPERATION OF AURA’S OBSERVATORY IN CHILE
A. Overview
….Charter

XIX. AURA POLICY GOVERNING RESPONSIBLE CONDUCT OF RESEARCH
A. Introduction
B. Guidelines for Professional Conduct
C. Training
D. Research Misconduct

Section B – Personnel Policies and Procedures

Introduction

AURA is deeply committed to the human resources that support our mission to advance astronomy and related sciences and is deeply invested in continually developing and improving its policies and practices for the purpose of providing a welcoming and fruitful work environment for all employees. AURA believes that a diverse workforce, particularly one that includes women and individuals from under-represented minority groups, contributes best to the achievement of excellence in both our organization and the scientific community as a whole.

All AURA staff bear responsibility for developing and fostering a diverse and inclusive work place. For upper-level employees, this responsibility shall be specifically identified in their individual job descriptions, and their success in meeting this responsibility shall be specifically evaluated in their performance evaluations.

AURA’s recruiting and hiring practices are designed to attract a broadly diverse pool of candidates including under-represented applicants. When a vacancy occurs, AURA will hire the most qualified person from among the fully qualified applicants meeting AURA goals and clearly defined program needs while endeavoring to develop and maintain a diverse work force where women and under-represented minority staff are proportionately represented.

As a leader in the astronomical community, AURA believes that it bears a responsibility to that community to develop and support outreach and educational programs which will not only advance our organizational commitment to diversity but broadens participation and encourages the advancement of diversity throughout the astronomical scientific workforce.

I. EMPLOYMENT AND REASSIGNMENT
A. Policy
B. Reassignment and Transfer

II. TENURE
A. Policy
B. Procedures for Promotion to Tenure
C. The Appeals Process for Denial of Tenure
D. Tenure Appointments Coincident With Initial Employment
E. Post Tenure Review
F. Delay of Tenure/Scientist Appointment Procedures

III. EMPLOYMENT AND APPOINTMENTS OF RESEARCH SCIENTIFIC STAFF
A. Policy
B. Appointment Categories
C. Delay of Tenure/Science Clock Procedures

IV. COMPENSATION
A. Policy
B. Position Descriptions
C. Job Pricing
D. Compensation Range Structure
E. Annual Compensation Review
F. Annual Performance Evaluation Merit Increases
G. Salary Adjustments
H. Temporary Responsibility Premium
I. Award – Bonus
J. Job Transfers
K. Promotions
L. Demotions

V. TERMINATION OF EMPLOYMENT
A. Policy
B. Exit Procedures

VI. TERMINATION OF EMPLOYMENT – RESEARCH SCIENCE STAFF
A. Policy

VII. OUTSIDE EMPLOYMENT, PROFESSIONAL CONSULTATION, AND TEACHING BY STAFF
A. Policy
B. Statement of the AURA Board of Directors Regarding Outside Employment and Consultations
C. Temporary or Adjunct Academic Appointments
D. Joint Appointments

VIII. ABSENCES
A. Policy
B. Vacation
C. Sick Leave
D. Holidays
E. Bereavement Leave
F. Miscellaneous Leaves With Pay
G. Absence Due to Work Related Illness or Injury
H. Family and Medical Leave (FMLA)
I. Other Leaves of Absence (LOA)
J. Paid Parental (Maternity/Paternity) Leave

IX. EMPLOYEE BENEFITS PROGRAM
A. Policy
B. Optional Plans

X. PERSONNEL CLASSIFICATIONS AND DEFINITIONS
A. Policy
B. Classification

XI. WAGES AND HOURS REPORTED
A. Policy
B. Time Reporting for Non-Exempt Staff
C. Time Reporting for Exempt Staff
D. Definitions of Work Time
E. Paydays

XII. PHYSICAL STATUS AND EXAMINATION
A. Policy
B. Procedure

XIII. APPRAISAL OF WORK PERFORMANCE
A. Policy
B. Procedure

XIV. EMPLOYEE SUGGESTIONS
A. Policy
B. Procedure

XV. SAFETY AND HEALTH
A. Policy
B. Procedure
C. Responsibility

XVI. SELECTIVE SERVICE DEFERMENTS
A. Policy
B. Procedure

XVII. PERSONNEL RECORDS AND INFORMATION
A. Policy
B. Official Personnel Records
C. Access to Official Records
D. Official Information from Records
E. Unofficial Responses to Requests for Information

XVIII. AURA GRIEVANCE POLICY AND PROCEDURES
A. Policy
B. Procedure Guidelines

XIX. REIMBURSEMENT OF TRAVEL EXPENSES
A. Policy
B. Travel in General
C. Rental Vehicles
….Accountable Plan Memo

XX. USE OF GOVERNMENT VEHICLES
A. Policy
B. Use
C. Assignment
D. Driver Responsibility
E. Accidents
F. Insurance
G. Storage

XXI. EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION PLAN
A. Policy
B. EEO/Affirmative Action Responsibilities
C. Dissemination of EEO Policy

XXII. PERFORMANCE COUNSELING AND DISCIPLINE
A. Policy
B. Procedure for Deteriorating or Unsatisfactory Performance or Behavior
C. Procedures for Immediate Termination – Serious Misconduct

XXIII. UNIQUE POLICIES AND PROCEDURES (CHILE)
A. Expatriates in Chile
B. Tax Implications
C. Types of Employees, Length of Assignments & Compensation
D. Long-Term Assignments of more than one year
E. Holidays
F. Repatriation of Remains
G. Guidelines and Reports
H. Grievance

XXIV. GRATUITIES
A. Policy
B. Guidelines

XXV. STANDARDS OF WORKPLACE CONDUCT
A. Policy
B. Sexual Harassment
C. Other Harassment
D. Bullying
E. Consensual Relationships
F. Complaint and Investigation Procedures
G. Confidentiality
H. Discipline
I. Retaliation
J. Reporting

XXVI. COMMUNICABLE AND LIFE-THREATENING ILLNESS POLICY
A. Policy
B. The Human Resource Manager Will…

XXVII. AURA CENTER EMPLOYEE CONGRESSIONAL RELATIONS
A. Background
B. Guidelines

XXVIII. DRUG-FREE WORKPLACE
A. Policy
B. Procedure

XXIX. AURA AWARDS
A. Policy
B. Procedure for Individual Awards

XXX. SABBATICAL LEAVE FOR RESEARCH SCIENCE STAFF
A. Policy

XXXI. RELOCATION POLICY
A. Policy

XXXII. AURA PRE-EMPLOYMENT SCREENING POLICY(effective January 1, 2016)

XXXIII.AMERICANS WITH DISABILITIES ACT
A. Purpose
B. Reasonable Accommodation
C. Procedure
D. Definitions

XXXIV. EPIDEMIC/PANDEMIC POLICY
A. Preface
B. Actions
C. Continuing/Ceasing Operations/Construction activities

Section C – AURA Financial Policies and Procedures

I. CORPORATE INVESTMENT GUIDELINES
A. Policy
B. Operating Funds
C. Reserves
D. Investment Instruments

II. CORPORATE COMMITMENT AND SIGNATURE AUTHORITY
A. Policy
B. Procedures

III. CERRO TOLOLO INTER-AMERICAN OBSERVATORY CORPORATE VEHICLE FLEET (CTIO CVF)
A. Policy
B. Procedure

IV. AURA FUND RAISING POLICY
A. General
B. Procedures and Guidelines
C. Coordination
D. Oversight

V. AURA PROCUREMENT POLICY

Section D – AURA By-Laws

AURA is in the process of reviewing and updating its by-laws. A new version of the by-laws will be posted here in May.

I. ARTICLE I
A. Membership

II. ARTICLE II
A. Member Representatives

III. ARTICLE III
A. Meetings of Member Representatives

IV. ARTICLE IV
A. Board of Directors

V. ARTICLE V
A. Management Councils

VI. ARTICLE VI
A. Nominating Committee and Special Nominating Committees

VII. ARTICLE VII
A. Other Committees

VIII. ARTICLE VIII
A. Officers

IX. ARTICLE IX
A. Salaries, Compensation, and Indemnification

X. ARTICLE X
A. Financial Instruments

XI. ARTICLE XI
A. Fiscal Year

XII. ARTICLE XII
A. Corporate Seal

XIII. ARTICLE XIII
A. No Limitation on Powers

XIV. ARTICLE XIV
A. Amendments

AURA By-Laws Attachment 1 – DEFINITION OF TERMS
Administrator
Scientist


AURA Procurement Policies and Procedures

Compliance with all federal and state regulations is a core value for AURA. Procurements using federal funds must follow very specific government guidelines. The policies presented below have been developed to provide clear guidance to AURA staff in all areas pertaining to procurement including purchase requisitions, source selection, contracts and business ethics.

Any AURA staff member must be aware of all policies and procedures. Each AURA Center must develop internal policies consistent with the AURA policies and develop procedures to ensure compliance.

This page has been created to provide centralized access to AURA procurement policies, government regulation, center policies and training material.