APPENDIX E
APM SECTIONS IN AFFECT AS OF JULY 1, 2000
I. Affirmative Action and Nondiscrimination in Employment (Limited to Non-Discrimination
in Employment Issues not Covered by the MOU) (Relevant sections of APM 035-0a in effect
on July 1, 2000),
Consistent with the provisions of applicable State and Federal law, it is the policy of the
University not to discriminate against or harass any person employed by or seeking
employment with the University because of race, color, national origin, religion, sex,
physical or mental disability, medical condition (cancer-related), ancestry, marital status, or
age. The University also prohibits unlawful discrimination on the basis of sexual
orientation, status as a Vietnam-era veteran or special disabled veteran, or on the basis of
citizenship.
SEXUAL HARASSMENT
The University of California is committed to creating and maintaining a community
in which all persons who participate in University programs and activities can work
together in an atmosphere free of all forms of harassment, exploitation, or
intimidation, including sexual. Specifically, every member of the University
community should be aware that the University is strongly opposed to sexual
harassment and that such behavior is prohibited by law and by University policy. It
is the intention of the University to take whatever action may be needed to prevent,
correct, and, if necessary, discipline behavior which violates this policy.
Complaints
Upon an employee's request, the campus academic affairs office shall provide
information regarding applicable policies and procedures for resolving complaints of
discrimination and for pursuing available remedies.
II. Bargaining Unit Librarians - Alternative Dispute Resolution (Relevant sections of APM
140 in effect as of July 1, 2000)
POLICY
This Policy provides librarians in this bargaining unit the opportunity to present complaints.
The use of this Policy shall not be discouraged by the University by any means, either
direct or indirect.
SCOPE/DEFINITION
A complaint is defined as:
a complaint/appeal by a bargaining unit librarian that a specific administrative act
was arbitrary or capricious and adversely affects the librarian's existing terms or
conditions of employment; or
a claim by a bargaining unit librarian of a violation of a provision of applicable
University rules, regulations, or the policies contained in Appendix E which
adversely affects the librarian's existing terms or conditions of employment.
ELIGIBILITY
This Policy applies to all bargaining unit librarians of the University.
STANDARDS/PROCEDURES
An administrator or office shall be designated as the complaint resolution liaison.
Filing Deadline
The formal complaint described in Step II, below, must be filed in writing with the
complaint resolution liaison within thirty (30) calendar days from the date on which
the librarian knew, or could reasonably be expected to know, of the event or action
which gave rise to the complaint, or within thirty (30) calendar days after the date of
separation, whichever is earlier. Informal review does not extend this thirty-day
time limit.
Prior to filing a formal complaint, the complainant shall attempt informally to
resolve the complaint with the immediate supervisor or responsible
administrator whose action is being grieved. If the complaint cannot be
resolved through informal discussion, the complainant may pursue the
formal review process. Attempts at informal resolution do not extend the
time limits for filing a formal complaint unless a written exception is granted
by the complaint resolution liaison.
When a complaint alleges sexual harassment, the complainant may elect to
substitute the campus Sexual Harassment Complaint Resolution Procedure
for Step I of this Policy. If the sexual harassment procedure is substituted
and the complaint filed within the timeframe provided by that procedure, the
final date for filing a formal complaint shall be fifteen (15) calendar days
from the date a decision is issued under the pre-grievance complaint
resolution process of the sexual harassment procedure.
A complaint that is not resolved to the satisfaction of the complainant at
Step I may be presented by the complainant for formal review. The appeal
to Step II must be filed in writing with the complaint resolution liaison no
later than expiration of the thirty (30) calendar-day period specified in
section a., above, even if informal review has not been concluded, unless a
written exception is granted by the complaint resolution liaison.
The complaint shall be reviewed by the appropriate department head and a
written response issued to the complainant. If the department head is also
the immediate supervisor who was involved in the informal review, the
complaint shall be reviewed by someone at a higher administrative level
other than the immediate supervisor.
The complaint must:
identify the specific administrative act(s) to be reviewed;
specify how the complainant was adversely affected;
specify in what regard, if any, the administrative act(s) were arbitrary
or capricious;
list the section(s) and specific provision(s) of applicable University
rules, regulations, or policies listed in Appendix E
alleged to have been violated, if any, and how those provisions were
violated;
provide date(s) of attempts at informal resolution and identity of
persons contacted; and
specify the remedy requested.
The department head or other reviewer shall respond in writing to the
complainant within fifteen (15) calendar days after the date the formal
complaint is received by the department.
A complaint that is not resolved at Step II may be appealed for resolution at
Step III a. or Step III b., but not both, depending on the issue(s) of the
complaint. The complaint resolution liaison shall determine whether Step III
a. or Step III b. is the appropriate route as specified below.
A complaint that is not resolved at Step II and is not subject to a
hearing under the provisions of Step III b., may be appealed by the
complainant for higher administrative consideration/review. The
designated campus official will review and issue a written decision.
The appeal to Step III a. must be in writing and received by the
complaint resolution liaison for forwarding to the designated campus
official within ten (10) calendar days of the date the Step II response
was issued or due, whichever comes first. The appeal must specify
the unresolved issues(s) and the remedy requested. The
designated campus official shall provide a written decision to the
complainant within thirty (30) calendar days following receipt of the
appeal to Step III a.
A complaint that is not resolved at Step II, and which is subject to a
hearing under this section, may be appealed by the complainant to a
hearing before a hearing officer or committee.
The appeal to Step III b. must be received by the complaint
resolution liaison within ten (10) calendar days of the date the Step II
response was issued or due, whichever comes first. The appeal
shall be submitted in writing to the complaint resolution liaison and
must set forth the unresolved issue(s) and remedy requested.
Eligibility and Scope of Step III b
Only allegations of violations of the following Appendix E policies or
terms or conditions of employment may be submitted to the hearing
officer or the hearing committee:
Nondiscrimination (formerly APM 035-0a)
Except by written mutual agreement of the parties, no additional issues may
be introduced at the hearing that were not included in the original complaint.
Also, in advance of the hearing, the parties shall attempt to stipulate in
writing issues to be submitted for review at the hearing. If the parties
cannot agree on the issues, the hearing officer or hearing committee shall
define them.
CONDUCT OF HEARING
Hearings shall be conducted in accordance with the following standards.
Election of Hearing Officer or Hearing Committee
The complainant may elect that the complaint be heard by:
a University hearing officer,
a University hearing committee, or
a non-University hearing officer.
Election by the complainant shall be in writing and shall be final.
The designated campus official shall appoint the University hearing officer
or University hearing committee.
If the complainant elects a non-University hearing officer, the procedures of
the American Arbitration Association shall be used to select the hearing
officer.
Hearing
The hearing officer or hearing committee shall convene a hearing in which
each party shall have the opportunity to present evidence and cross-
examine witnesses. Evidence may be oral and/or documentary. Issues
regarding the admissibility and weight of evidence shall be decided by the
hearing officer or hearing committee. The hearing officer or hearing
committee shall not have the authority to issue subpoenas.
Each party shall, upon request, provide the other with copies of material to
be introduced at the hearing and names of witnesses who will testify on the
party's behalf. To the extent possible, such materials and names of
witnesses shall be exchanged at least ten (10) calendar days prior to the
hearing.
The hearing shall be closed and deemed confidential, unless both parties
agree in writing to an open hearing. In the absence of such an agreement,
the hearing shall be closed to all persons other than the principal parties to
the complaint, i.e., the supervisor or department head, their representative,
the complainant, complainant's representative, and the complaint resolution
liaison.
If there is to be a closed hearing, all materials, reports, and other evidence
introduced into the hearing and recorded by tape recorder, stenographic
services, or by other means shall be considered private and confidential and
subsequently shall not be disclosed to parties not participating in the
hearing.
The hearing shall be tape recorded by the University unless the parties
agree in advance to share the costs of a stenographic record. The
complainant shall be permitted to arrange for a stenographic record at the
complainant's expense even if the University does not agree to share the
cost. The parties should be made aware of the use of the recording and
disposition of the tape. The complainant may procure a copy of the
recording subject to payment of the cost of a copy of the tape.
Hearing Officer (University and non-University) or Hearing Committee's Authority
The hearing officer or hearing committee shall provide the designated
campus official with a written statement of findings and recommendation(s)
within thirty (30) calendar days of the close of the hearing. The hearing
officer or hearing committee shall determine whether the complainant has
proven violation(s) of applicable University rules, regulations, or policies
listed in Appendix E and that the complainant's tenure or conditions of
employment were adversely affected, or that a specific administrative act
was arbitrary or capricious and has adversely affected the complainant's
terms or conditions of employment. The hearing officer or hearing
committee shall make findings of fact based upon the evidence presented at
the hearing. The hearing committee or hearing officer shall not add to,
delete from, or otherwise modify the provisions of University rules,
regulations, or policies listed in Appendix E.
The hearing committee or hearing officer shall not substitute their judgment
for the academic judgment of a peer review committee or administrative
officer, nor shall they be empowered to evaluate the academic qualifications
or competence of bargaining unit librarians.
The designated campus official shall issue a final written decision within
thirty (30) calendar days of receipt of the findings and recommendation(s) of
the hearing officer or hearing committee. The designated campus official
shall provide to the complainant a copy of the findings and
recommendation(s) of the hearing officer or hearing committee, and a
statement of the reasons if the recommendation(s) of the hearing officer or
hearing committee is rejected or modified. If a decision is based on facts
different from those found by the hearing officer or hearing committee, those
findings must be based on materials in the record.
Fees
There shall be no cost to the complainant for a University hearing officer or
University hearing committee. In the case of a complaint heard by a non-University
hearing officer, the hearing officer's fees shall be borne equally by the University
and the complainant if the designated campus official accepts the hearing officer's
recommendation(s). The fee shall be borne entirely by the University if the
designated campus official rejects or modifies the recommendation(s) of the non-
University hearing officer. The cost of stenographic services shall be borne by the
party requesting such services unless the parties agree in advance to share the
cost.
General Provisions
Representation
A complainant may be self-represented or may be represented by
another person at any stage of the complaint process.
The University shall be represented as the designated campus
official deems appropriate; representation may be provided by the
Office of General Counsel.
Time Limits
Prior to expiration of a time limit, extensions may be granted by the
complaint resolution liaison upon written request by either party.
Complaints not appealed in a timely manner will be resolved on the
basis of the University's response at the previous step of the
alternative dispute resolution process. The failure of the
administration to respond in a timely manner shall be a basis for the
complainant to appeal to the next step. Time limits which fall on a
Saturday, Sunday, or University-observed holiday shall be
automatically extended to the next University business day.
Pay Status
The complainant and the complainant's representative, if any, shall be
granted leave with pay to attend hearings and meetings convened by the
University to consider grievances. Except as specified below, time spent by
the complainant in investigation and preparation of a complaint shall not be
on pay status. Time spent by University employee-witnesses in meetings
and hearings convened by the University shall be leave with pay.
Remedy
If the complaint is sustained in whole or in part, the remedy shall not exceed
restoring to the complainant the pay, benefits, or rights lost as a result of the
violation of University rules, regulations, or policies listed in Appendix E, or
as a result of an arbitrary or capricious administrative action, less any
income earned from any other employment. Payment of attorney's fees
shall not be part of the remedy. Unless specifically authorized by the
complaint resolution liaison, compensation shall not be paid for any period
that is the result of extension(s) of time requested by or on behalf of the
complainant.
III. Instructions to Review Committees Which Advise on the Appointment, Merit Increase,
Promotion, Career Status Actions for Members of Librarian Series (Relevant sections of
APM 210-4 in effect on July 1, 2000)
CRITERIA
Appointments
A candidate for appointment to this series shall normally be required to have
a professional degree from a library school with a program accredited by the
American Library Association. However, a person with other appropriate
degree(s) or equivalent experience in one or more fields relevant to library
services may also be appointed to this series.
Selection of an individual to be appointed to the rank of Assistant Librarian
is based upon the requirements of the position with due attention to the
candidate's demonstrated competence, knowledge and experience. A
person appointed as Assistant Librarian without previous professional
library experience should normally be appointed at Step I. A person who
has had previous experience relevant to the position may be appointed to
one of the higher salary levels in this rank, depending on the candidate's
aptitude, the extent of prior experience, and/or the requirements of the
position.
A candidate with extensive previous relevant experience and superior
qualifications who is being considered for a highly demanding and
responsible position should be appointed to one of the two higher ranks in
the series. The criteria for the appointment to either of these levels will be
the same as those for promotion as outlined below.
Merit Increases and Promotions
At the time of original appointment to a title in this series, each appointee
shall be informed that continuation or advancement is justified only by
demonstrated skills and achievement which will be determined after
objective and thorough review. If, on the basis of a review, the individual
does not meet the criteria for continuation or advancement, there is no
obligation on the part of the University to continue or to promote. On the
other hand, accelerated promotion is possible if achievement has been
exceptional. An appointee will be eligible for promotion only if there are
demonstrated superior professional skills and achievement. For some,
promotion may involve a position change; for others, promotion may not
necessarily involve position change but will depend upon increased
responsibility as well as growing competence and contribution in the same
position. The assumption of administrative responsibilities is not a
necessary condition for promotion.
A candidate for merit increase or promotion in this series shall be judged on
the basis of professional competence and quality of service rendered within
the library and, to the extent they are relevant, one or more of the following:
professional activity outside the library; University and public service; and
research and other creative activity.
The criteria as set forth in detail below are intended to serve as general
guidelines and do not preclude consideration of other unique service to the
University. In considering individual candidates, reasonable flexibility is to
be exercised in weighing the comparative relevance of these criteria.
Professional Competence and Quality of Service Within the Library
Although contribution in each of the following areas will vary
considerably from person to person depending on each
person's primary functions as a librarian, performance and
potential shall be reviewed and evaluated in any or all of the
five major areas of librarianship: selection and development
of resources; bibliographic control of collections and their
organization for use; reference and advisory service;
development and application of specialized information
systems; and library administration and management.
Additionally, librarians should be judged on consistency of
performance, grasp of library methods, command of their
subjects, continued growth in their fields, judgment,
leadership, originality, ability to work effectively with others,
and ability to relate their functions to the more general goals
of the library and the University.
Evidence of effective service may include the opinions of
professional colleagues, particularly those who work closely
or continuously with the appointee; the opinions of faculty
members, students, or other members of the University
community as to the quality of a collection developed, for
example, or the technical or public service provided by the
candidate; the opinions of librarians outside the University
who function in the same specialty as the candidate; the
effectiveness of the techniques applied or procedures
developed by the candidate; and relevant additional
educational achievement, including programs improvement
of language or subject knowledge.
Professional Activity Outside the Library
A candidate's professional commitment and contribution to the
library profession should be evaluated by taking account of such
activities as the following: membership and activity in professional
and scholarly organizations; participation in library and other
professional meetings and conferences; consulting or similar
service; outstanding achievement or promise as evidenced by
awards, fellowships, grants; teaching and lecturing; and editorial
activity.
University and Public Service
Recognition should be given to those who participate effectively and
imaginatively in library-wide and University service (including serving
on campus or University-wide administrative or academic
committees), and in professional librarian services to the community,
state, and nation.
Research and Other Creative Activity
Research by practicing librarians has a growing importance as
library, bibliographic, and information management activities become
more demanding and complex. It is therefore appropriate to take it
into account in measuring a librarian's professional development.
The evaluation of such research or other creative activity should be
qualitative and not merely quantitative and should be made in
comparison with the activity and quality appropriate to the
candidate's specialty. Note should be taken of continued and
effective endeavor. Reports, handbooks, manuals, and similar
documents may be considered under this heading only if they
present new ideas or incorporate research; otherwise, they should
be regarded solely as evidence of professional service.
IV. Appointment and Promotion - Definition, Criteria, Terms of Service (Relevant sections
of APM 360-4, 360-10, and 360-17 in effect on July 1, 2000)
DEFINITION
The librarian series is used for academic appointees who provide professional services in
the University libraries in support of the University's educational, research, and public
service functions. These services include:
selection and development of resources;
bibliographic control of collections and their organization for use;
reference and advisory services;
development and application of specialized information systems;
library administration and management; and
research where necessary or desirable in relation to the foregoing.
CRITERIA
A candidate for appointment shall have a professional background of competence,
knowledge, and experience to assure suitability for appointment to this series.
Such background will normally include a professional degree from a library school
with a program accredited by the American Library Association. However, a person
with other appropriate degree(s) or equivalent experience in one or more fields
relevant to library services may also be appointed to this series.
A candidate for merit increase or promotion in this series shall be judged on the
basis of the first of the following criteria, and, to the extent they are relevant, on one
or more of the last three:
professional competence and quality of service within the library;
professional activity outside the library;
University and public service; and
research and other creative activity.
In the consideration of individual candidates, reasonable flexibility shall be
exercised in weighing the comparative relevance of these criteria.
Promotion shall be justified by demonstrated superior professional skills and
achievement and, in addition, demonstrated professional growth and
accomplishment and/or the assumption of increased responsibility. The assumption
of administrative responsibility is not a necessary condition for promotion.
TERMS OF SERVICE
An appointment in this series may be an explicitly temporary appointment, a
potential career appointment, or a career appointment, depending on the
circumstances as described below. However, an initial appointment to a title at any
rank in this series may only be a temporary appointment or a potential career
appointment.
A potential career appointment is distinguished from an explicitly temporary
appointment by the fact that no definite date of termination of the appointment is
specified and by the fact that the appointee is regarded as one who may qualify,
after a suitable trial period and careful review, for a continuing career appointment.
Potential career appointees in the librarian series are eligible for career status,
merit increases, and promotion through the ranks from Assistant Librarian to
Librarian. Temporary appointees are eligible for merit increases on the same
bases as potential career and career status appointees.
The status of career appointment is achieved only after a trial period in potential
career status. The process by which one achieves career status is described
subsequently.
The following principles and procedures shall be applied to appointments,
promotions, and terminations of potential career or career appointees:
An individual holding the rank of Assistant Librarian and whose appointment
is not explicitly temporary is considered to be in potential career status for
the period of the appointment in this rank. During potential career status,
the individual shall be subject to periodic reviews of performance,
professional competence, achievement, and promise. If, after such reviews,
the appointee is promoted from the rank of Assistant Librarian to higher
rank in this series, the individual is thereby moved to career status. On the
other hand, an Assistant Librarian is subject to termination after due notice
if, after thorough review and a reasonable trial period (not more than six
years), he or she is not deemed worthy of further advancement.
An individual whose initial appointment in this series is to the rank of
Associate Librarian and whose appointment is not explicitly temporary is
considered to be in potential career status for a trial period of not more than
four years and not less than two years in the rank, unless promoted sooner
to the rank of Librarian. During potential career status, the individual shall
be subject to periodic review of performance, professional competence,
achievement, and promise. The trial period will be brought to a close with
one of three decisions made after appropriate review as specified in
campus peer review procedures: place the appointee in career status with
the rank of Associate Librarian; promote to the rank of Librarian with career
status; or terminate the appointment after due notice.
An individual who is promoted from career status as an Associate Librarian
to the rank of Librarian is thereby continued in career status. However,
there is no obligation on the part of the University to promote an Associate
Librarian to the rank of Librarian solely on the basis of years of service.
An individual whose initial appointment in this series is to the rank of
Librarian and whose appointment is not explicitly temporary is considered to
be a potential career appointee for a trial period of not more than three
years and not less than two years in rank. During potential career status,
the individual shall be subject to periodic reviews of performance,
professional competence, achievement, and promise. The trial period will be
brought to a close with one of two decisions made after appropriate review
as specified in campus peer review procedures: place the appointee in
career status with the rank of Librarian; or terminate the appointment after
due notice.
An appointee in career status either as an Associate Librarian or as a
Librarian, having successfully passed the trial period of service in either one
of the ranks or having been promoted to one of these ranks from a lower
rank, is expected to continue to perform the duties of the position at a
satisfactorily high standard. Reviews of the appointee will be conducted at
regular intervals to determine if a merit increase or promotion is indicated. If
there is reason to doubt that the career appointee is performing
satisfactorily, a review of the appointee to coincide with a regularly
scheduled review will be conducted. If such a review does not coincide with
a regularly scheduled review, a review not at a regular interval or an off-
cycle review will be conducted in accordance with established campus
review procedures; and if this review results in an unfavorable evaluation,
the appointee may be subject to termination after due notice. Otherwise,
the appointment will be continued. The appeals procedures in Appendix
E,II., are available as a protection against arbitrary, capricious, or
unreasonable termination.
In the event of an intercampus transfer, the following provisions shall apply
to the status of potential career and career appointees: the normal period of
potential career status shall not be lengthened as a result of an intercampus
transfer; career status acquired on one campus shall be continued upon
transfer to another campus; and promotion in rank at the time of an
intercampus transfer shall confer career status.
The effective date of an appointment is the initial date of the change for purposes of
payroll and record keeping and indicates the first day on which the payment begins
for appointments. The effective date of merit increases and promotions will
normally be July 1, although exceptions may be approved by the designated
campus official.
The following rules of computation will be observed for determining periods of
service at ranks and steps in this series.
A period of service is calculated from the beginning of the first complete
calendar month of service.
A fiscal-year appointee with an effective date of appointment in the period of
July 1 through January 1 will receive one year of service credit for that year
at rank and step.
A fiscal-year appointee with an effective date of appointment in the period
January 2 through June 30 will not receive service credit for that year.
Completed years of service will be counted regardless of the percentage of
time of appointment.
Any break in service because of leave without salary, layoff, or resignation
does not invalidate service prior to the interruption.
Service on any campus of the University of California is included, although
for statistical purposes an intercampus transfer is considered an
appointment at the new campus.
Any leave with salary is included as service, but leave without salary is not
included for purposes of determining completed years of service.
For purposes of review, an appointee must have worked at least six (6)
months of the period under review. A period under review may be a
calendar year or other 12-month period or multiple thereof, in accordance
with the review cycles defined in Article 4. [e.g., an appointee with an
effective date of appointment in the period January 2 - June 30 and a period
of review based on the calendar year could be reviewed at the next review
period, depending on the rank and step of appointment.]
A temporary appointee whose appointment continues into a new fiscal year
will be reviewed according to the review cycles defined in Article 4 and the
guidelines established in Appendix E, 4.
