UCSC:APO:CAPM 10/04

004.145 CAMPUS PROCEDURES FOR LAYOFF AND INVOLUNTARY REDUCTION IN TIME OF NON-SENATE ACADEMIC APPOINTEES

A. POLICY REFERENCES

APM 145 Non-Senate Academic Appointees/Layoff and Involuntary Reduction in Time
APM 140 Non-Senate Academic Appointees/Grievances
APM 137 Non-Senate Academic Appointees/Term Appointment
S.O. 103.9 Section 103.9 of the Standing Orders of the Regents

B. POLICY AND PROCEDURAL OVERVIEW

The University has the sole discretion to determine when a layoff or reduction in time is necessary.

It is the University's policy to provide equitable and consistent treatment of academic appointees covered by this policy. Good cause for layoff and involuntary reduction in time is established if the University's actions are based on budgetary reasons, lack of work or programmatic needs.

Because of the serious nature and consequences of layoff actions, and the procedural and notice requirements involved, the unit head is urged to consult at an early stage in the process with campus resources, including the Academic Personnel Office, Labor Relations, and the appropriate divisional office.

C. AFFECTED EMPLOYEES

This policy applies to all non-exclusively represented academic appointees of the University, including student academic appointees, who are not members of the Academic Senate except as provided immediately below. For non-Senate academic appointees covered by a Memorandum of Understanding (MOU), this policy applies only to the extent provided for in the MOU.

This policy does not apply to Postdoctoral Scholars. See APM 390 for the applicable procedures for layoff of Postdoctoral Scholars.

The provisions for layoff status (i.e., recall from layoff status and preferential re-employment) set forth in CAPM 004.145, Sections J, K, and L, (and APM 145-34) do not apply to student academic appointees.

D. DEFINITIONS

  1. A layoff is a separation from employment prior to the expiration of the appointment because of programmatic or budgetary considerations, or lack of work.
  2. An involuntary reduction in time (also considered a layoff action) is a reduction in the percentage of time of appointment which occurs during the term of appointment because of programmatic or budgetary considerations, or lack of work.
  3. A layoff may be indefinite or temporary. An indefinite layoff is a layoff for which no date for recall to work is specified. A temporary layoff is a layoff for which a date for recall to work is specified, but in no case shall the temporary layoff be longer than six months in duration.
  4. If the University changes the ending date of a term appointment to an earlier date, this action constitutes a layoff.
  5. Academic appointees with term appointments are considered to be separated from employment at the expiration of such appointments. This separation does not constitute a layoff.
  6. For purposes of this policy, "unit head" shall be understood to mean the administrative head of the unit of layoff, and includes such designations as department or program chair, provost, director, and principal investigator.

E. SENIORITY

For purposes of layoff and involuntary reduction in time, seniority is defined as the number of months of full-time equivalent service with the University, including service in any title at any campus.

F. AUTHORITY

The dean shall make the final decision concerning layoff and involuntary reduction in time for all non-Senate academic appointees covered by APM 145.

G. UNIT OF LAYOFF

The unit of layoff may include the department, college, unit, program, subprogram, or, in the case of extramurally-funded grants, the research project.

H. SELECTION AND ORDER OF LAYOFF AND INVOLUNTARY REDUCTION IN TIME

  1. The order of layoff and involuntary reduction in time for appointees in the same layoff unit and same title or title series shall be on the basis of special skills, knowledge, or ability essential to the unit. This determination is made by the unit head. When special skills, knowledge, or ability of two or more appointees in the layoff unit are determined to be equal, the order of layoff or involuntary reduction in time shall be in inverse order of seniority (i.e., the appointee with the least seniority shall be the first to be laid off or reduced in time). A layoff action should not be substituted for a performance-based corrective action or dismissal.
  2. In recommending the implementation of a layoff or reduction in time, the unit head shall report to the dean the name, rank and step, and number of months of full-time equivalent service of the appointee(s) to be laid off or reduced in time; the reason(s) for the layoff or reduction in time; and the bases for the determination of the selection and order of layoff or reduction in time.
  3. The dean shall review the recommendation and shall make the final decision.
  4. An appointee who is subject to layoff or involuntary reduction in time may request that the dean supply a written summary of the reasons for the order of layoff or involuntary reduction in time.

I. NOTICE OF LAYOFF OR INVOLUNTARY REDUCTION IN TIME

  1. Appointees will be given at least thirty (30) calendar days advance written notice of the layoff or reduction in time, unless a different notice period is provided in the policy governing the title or title series applicable to the affected appointee. Affected appointees will be notified of the effective date of layoff or reduction in time and of their recall rights and preference for re-employment. When advance written notice is not practicable, appropriate pay in lieu of notice shall be given.
  2. When an appointee with a term appointment grieves the layoff, and the appointment ends prior to the resolution of the grievance, the notice of layoff shall also serve as the notice of non-reappointment (i.e., the Notice of Action), where such notice is required. The appointee has thirty (30) calendar days from the ending date of the appointment to grieve the non-reappointment pursuant to APM 137 and APM 140.

J. LAYOFF STATUS

  1. Layoff status begins on the effective date of the layoff or reduction in time and is limited to a maximum of one year. Layoff status may be less than one year if:
    2. a. the term appointment would normally have expired; or
    b. reappointment occurs within the campus to the same or equivalent position (i.e., same or higher percent time, and same or higher title, including rank and step).
  2. Where the University changes the ending date of a term appointment to an earlier date (a layoff action), layoff status extends to the time the appointment would have ended.
  3. During the period of layoff status, the appointee is eligible for recall and preferential re-employment.

K. RECALL FROM LAYOFF STATUS (as distinct from recall of retired academic appointees, see CAPM 500.200 - Recall Appointments)

  1. Whenever a vacant position is to be filled in the same unit and the same title or title series from which the appointee was laid off or involuntarily reduced in time, the appointee shall be recalled provided:
    a. the appointee is still on layoff status; and,
    b. the appointee is qualified for the position and is available to begin work within a reasonable amount of time.
  2. If more than one qualified appointee is on layoff status, the order of recall (or increase in percent time) shall be in inverse order of layoff (i.e., the appointee who was laid off or reduced in time last, will be the first to be recalled or increased in time).

L. PREFERENTIAL RE-EMPLOYMENT

Whenever a vacant position is to be filled in any campus unit in the same title or title series, and at the same or lower rank as the position from which an appointee was laid off or had their time reduced, the hiring unit shall grant preference for re-employment to:

a. appointees on layoff status;

b. appointees whose time was involuntarily reduced; or

c. appointees who have received written notice of layoff or reduction in time within the six months prior to the implementation of the noticed action.

M. EMPLOYMENT OPPORTUNITIES

  1. The Academic Personnel Office will maintain a roster of those appointees who are on layoff status and will refer the names of those appointees to the appropriate unit(s) for consideration when vacancies are to be filled.
  2. For information regarding academic employment opportunities at UC Santa Cruz, refer to the online bulletin at: Employment Opportunities Bulletin.

N. BENEFIT COVERAGE WHILE ON LAYOFF STATUS

An appointee may participate in employee benefit programs as allowed by the University's group insurance regulations. The appointee should be referred to the Benefits Office for information.

O. BENEFITS UPON RE-EMPLOYMENT

Re-employment during the period of layoff status provides continuous or uninterrupted service (i.e., is treated as if there was no break in service) for the limited purpose of applying University policies concerning seniority, sick leave, vacation, holidays, other leaves, reduced fees, and salary advancements by merit increases or promotion. However, benefits and credits for service, including those related to any retirement system, do not accrue during periods of layoff status.

P. GRIEVANCES

  1. Layoff decisions may be grieved in accordance with APM 140. If a non-Senate academic appointee with a term appointment files a formal written grievance pursuant to APM 140 and the grievance is not resolved by the ending date of the appointment, the layoff becomes a non-reappointment effective at the end date of the appointment. The appointee has thirty (30) calendar days from the ending date of the appointment to grieve the non-reappointment pursuant to APM 137 and 140.
  2. For those non-Senate academic appointees with faculty titles (see APM 110 for definition of "faculty"), an additional grievance option is available pursuant to Section 103.9 of the Standing Orders of the Regents (S.O. 103.9). However, the non-Senate faculty appointee is entitled to select only one grievance review mechanism, either APM 140 or a hearing as provided by S.O. 103.9.
  3. S.O. 103.9 provides that termination of the appointment of any member of the faculty before the expiration of his or her appointment shall be only for good cause, after the opportunity for a hearing before the Committee on Privilege and Tenure, except as otherwise provided in a MOU. If a non-Senate faculty appointee elects a hearing, good cause shall be defined as set forth in CAPM - 004.145, Section B, and APM 145-0. For a non-Senate faculty appointee with a term appointment, if the hearing has not commenced by the ending date of the appointment, the layoff becomes a non-reappointment effective at the end of the appointment. The appointee has thirty (30) calendar days from the ending date of the appointment to grieve the non-reappointment pursuant to APM 137 and 140.