005.137 - Term Appointments of Non-Senate Academic Appointees

UCSC:APO:CAPM 3/04

A. POLICY REFERENCES & RESOURCES

APM - 137 - Non-Senate Academic Appointees/Term Appointment
APM - 140 - Non Senate Academic Appointees/Grievances
APM - 145 - Non-Senate Academic Appointees/Layoff and Involuntary Reduction in Time
APM - 150 - Non-Senate Academic Appointees/Corrective Action and Dismissal

Sample Letters:

B. DEFINITION

A term appointment is an appointment for a specific period that ends on a specified date. An appointment with an established ending date is self-terminating, subject to the notice requirements of APM - 137-32. Reappointment is not automatic.

For the purpose of this policy, a non-reappointment is a decision not to reappoint an individual beyond the established ending date. A non-Senate academic appointee with a term appointment is considered separated at the expiration of such an appointment. This is not a layoff.

C. AFFECTED EMPLOYEES

This policy applies to all academic appointees of the University with term appointments who are not members of the Academic Senate. For non-Senate academic appointees covered by a Memorandum of Understanding (MOU), this policy applies only to the extent provided for in the MOU.

Where aspects of an academic personnel policy pertaining to a specific non-Senate academic title or title series conflicts with APM - 137, the policy governing the specific title or title series applies.

D. WRITTEN NOTICE OF INITIAL APPOINTMENT OR REAPPOINTMENT

1. When a non-Senate academic appointee is offered an appointment or reappointment that is a term appointment, the dean should notify the appointee in writing of all the following:

title of the position;
salary rate;
name of the department/program/unit in which the appointment is made;
begin and end dates of the appointment;
percentage of time;
general responsibilities; and
name of the individual to whom the appointee reports.

2. The dean is not required to provide written notice of appointment or reappointment to appointees who are offered appointments at less than 50 percent time or short-term appointments of no more than one quarter.

E. AUTHORITY

It is within the sole discretion of the department chair, program director, provost, or principal investigator (i.e., the "unit head") not to recommend reappointment so long as the reasons for non-reappointment are not unlawful or in violation of this policy.

F. NON-REAPPOINTMENT

For the purpose of this policy, a non-reappointment is a decision not to reappoint an individual beyond the established ending date.

1. Notice of non-reappointment is NOT required for:

a. Appointments at less than 50 percent time or short-term appointments of no more than one quarter.

b. Appointees with fewer than eight consecutive years of service in the same academic title or title series on this campus (regardless of percent time of appointment). These appointments terminate automatically on their specified ending date.

c. It is within the unit head's (e.g., department chair, program director, principal investigator) sole discretion not to recommend reappointment under these two circumstances, so long as the reasons for non-reappointment are not unlawful or in violation of this policy.

2. Written notice of non-reappointment IS required for: Appointees with eight or more consecutive years of service at 50 percent time or more in the same academic title or title series on this campus.

For appointees of this type, the unit head may decide not to renew a term appointment when, in their judgment, the programmatic needs of the department or unit; lack of work; the availability of suitable funding for the position; or the appointee's conduct or performance do not justify renewal of the appointment. (Normally, corrective action in response to an appointee's misconduct and/or unsatisfactory work performance shall be taken in progressive steps in accordance with APM - 150 (see also CAPM 003.150.)

G. PROCEDURES FOR WRITTEN NOTICE OF NON-REAPPOINTMENT

For an appointee who has served at least 50 percent time for eight or more consecutive years in the same academic title or title series on this campus, the unit head is required to provide notice of non-reappointment in accordance with APM - 137-32, which includes the following notice requirements:

1. Written Notice of Intent: The unit head must provide a written Notice of Intent not to reappoint at least 60 days prior to the established ending date of the appointment. The appointment may be extended to provide the required notice, or appropriate pay in lieu of notice may be given.

The written Notice of Intent must include the following information:

the intended action is not to reappoint the appointee and the proposed effective date (either the appointment's established ending date, or if pay in lieu of notice, the proposed effective date which may not be any earlier than 30 calendar days from the date the Notice of Intent is issued);
the basis for non-reappointment, include a copy of any materials supporting the decision not to recommend reappointment. (Permissible bases for non-reappointment include, a change in the programmatic needs of the department or unit; lack of work; the availability of suitable funding for the position; or the appointee's conduct and performance do not justify renewal of the appointment.);
the appointee's right to respond either orally or in writing to the unit head within 14 calendar days of the date of issuance of the written Notice of Intent; and
a proof of service form establishing the date of issuance of the Notice of Intent.

2. Response to a Written Notice of Intent: If a response is received, it must be considered by the unit head who will then determine whether to proceed with a written Notice of Action.

3. Written Notice of Action: If following the review of a timely response from the appointee, if any, and within 30 calendar days of the date of issuance of the Notice of Intent, the unit head determines not to recommend reappointment, the unit head must issue a written Notice of Action to the appointee of the non-reappointment decision and its effective date. The effective date shall be no earlier than 30 calendar days from the date of issuance of the Notice of Intent. The Notice of Action must also notify the appointee of the right to grieve the action under APM - 140.

4. If the unit head decides to rescind the Notice of Intent for any reason, the unit head shall inform the appointee in writing of the decision and should proceed with compiling the reappointment file.

SAMPLE LETTER: WRITTEN NOTICE OF INTENT (Non-reappointment of non-Senate academic appointee who has served 8 or more consecutive years at 50 percent time or more in the same title or title series on the same campus)

Date

CONFIDENTIAL

Appointee's Name
Department/Unit

RE: Notice of Intent of Non-Reappointment

Dear [insert]:

This is to inform you that it is the intention of the [insert Department/Unit] not to renew your position as [insert title and step], beyond your current appointment end date of [insert date], due to [insert appropriate language regarding the reason for the non-reappointment from the following bases, and attach supporting documentation: programmatic needs of the department or unit; lack of work; the availability of suitable funding for the position; or the appointee's conduct or performance].

University policy on term appointments for non-Senate academic appointees is set out in the Academic Personnel Manual, Section 137. As a non-Senate academic appointee who has served eight or more consecutive years at 50 percent time or more, in the same academic title series on this campus, you have the right to provide a written or oral response to this Notice within 14 calendar days of the date of issuance of this Notice of Intent. If you choose to respond, please direct your response to me for review and consideration.

If the decision is made not to reappoint you following the review of your timely response, if any, a written Notice of Action informing you of the non-reappointment and its effective date will be sent to you within 30 calendar days of the date of issuance of this Notice of Intent.

Sincerely,

Department Chair/Program Director/PI

Enclosures (Proof of Service; list other documents)

cc: Dean
Academic Personnel Office

SAMPLE LETTER: WRITTEN NOTICE OF ACTION (Non-reappointment of non-Senate academic appointee who has served 8 or more consecutive years at 50 percent time or more in the same title or title series on the same campus)

Date

CONFIDENTIAL

Appointee's Name
Department/Unit

RE: Notice of Action of Non-Reappointment

Dear [insert]:

I have considered your response to the Notice of Intent of Non-Reappointment, dated [insert]. Omit this sentence if no response was submitted.

It is with regret that I must inform you that your position as [insert title and step], in the [insert Department/Unit], will not be renewed beyond your current appointment end date of [insert] for the reasons described in the Notice of Intent of Non-Reappointment.

Decisions of non-reappointment of non-Senate term appointees may be grieved in accordance with policies and procedures set forth in the Academic Personnel Manual, Section 140.

Please contact [insert appropriate name and contact information for divisional business office contact] to schedule a time to meet with them to complete the necessary paperwork.

I encourage you to discuss the impact this may have on your insurance and retirement programs with staff in the Benefits Office. You may be eligible to continue in certain group insurance programs for the length of time provided by the University's Group Insurance Regulations, subject to your payment of full premiums. Please contact the Benefits Office at 459-2013 as soon as possible to obtain continuation forms and more information.

Thank you for all of your efforts and contributions over the past several years. I wish you the very best in all of your future endeavors.

Sincerely,

Department Chair/Program Director/PI

cc: Dean
     Payroll/Personnel Contact
     Academic Personnel Office
     Benefits Office