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  • Unclassified Personnel Rules

    Unclassified Personnel Rules are a portion of the Wisconsin Administrative Code specific to the UW System separate from the UPGs. UW-La Crosse has provided further definition of many of them with information specific to UW-L employees.

    The University of Wisconsin System portion of the Administrative Code is indicated by UWS. Further definition specific to UW-La Crosse is indicated by UWL.

    Chapter 3: Faculty Appointments

    UWS 3.01 Types of appointments

    1. Appointments to the faculty are either tenure or probationary appointments. Faculty appointments carry the following titles: professor, associate professor, assistant professor, and instructor.

    Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.

    All other appointments to faculty duties shall be clearly limited to a brief association with the institution, including reappointments of retired faculty member under special conditions. Merger statute 36.15 (1) (b) recognized some such appointments as "academic staff" "professional appointments" under titles such as visiting faculty, clinical staff, lecturer, scientist, specialist, etc.; and provides under (2) for probationary periods and permanent status if such appointments should not be brief associations with the institution. The appropriate administrative officer shall annually supply the faculty senate documentary justification for denial of half-time or more faculty duties where the association with the institution is clearly not a brief association. Such appointments to the faculty require affirmative recommendation of the appropriate academic departments, and lead toward tenure on the faculty.

    (a) "Tenure appointment" means an appointment for an unlimited period granted to a ranked faculty member by the board upon the affirmative recommendation of the appropriate academic department, or its functional equivalent, and the chancellor of an institution via the president of the system.

    (b) "Probationary appointment" means an appointment by the board upon the affirmative recommendation of the appropriate academic department, or its functional equivalent, and the chancellor of an institution and held by a faculty member during the period which may precede a decision on a tenure appointment.

    (c) In accordance with s. 36.05 (8), Stats., academic staff appointments may be converted to faculty appointments by the action of the board upon the recommendation of the appropriate faculty body and the chancellor of an institution. Such faculty appointees shall enjoy all the rights and privileges of faculty.

    Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.

    The "appropriate faculty body" is the appropriate department or its functional equivalent.

    (d) In accordance with s. UWS 1.05 members of the academic staff may be given faculty status. Members of the academic staff who have been given faculty status have employment rights under the rules and policies concerning academic staff.

    (e) A person holding a faculty appointment under ss. 36.13 and 36.15, Stats., shall not lose that appointment by accepting a limited appointment for a designated administrative position.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 3.02 Recruiting

    The faculty of each institution, after consultation with appropriate students and with the approval of the chancellor, shall develop procedures relating to recruitment of members of the faculty. The procedure shall be consistent with board policy and state and federal laws with respect to nondiscriminatory and affirmative action recruitment. The procedures shall allow maximum flexibility at the departmental, school and college levels to meet particular needs. In all instances the procedures shall provide for departmental peer review and judgment as the operative step in the recruiting process.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 3.02 Recruiting

    (1) To ensure that there is no unlawful discrimination, recruiting procedures shall observe the federal and state statutes and UW System Rules and Guidelines pertaining to affirmative action in the recruitment of faculty.

    (2) When a department and the appropriate academic administrative officers determine that, according to department staffing plans, a faculty vacancy exists in the department, the department shall proceed with the development of a position description for a faculty appointment.

    (3) The appropriate academic administrative officers shall be responsible for approving position descriptions and for authorizing recruitment. A copy of the position vacancy shall be submitted if and as needed or required to System Administration for clearance to proceed in the recruitment process. Notices of the position vacancy shall be distributed by the appropriate academic administrative officer and the department chairperson.

    (4) The department shall have responsibility for careful screening of all applications received and for the recommendation of candidates to be invited to the campus for interviews. Departmental review and judgment shall be the operative step in the recruiting process. In the case of creation of a new department, appropriate academic administrative officers shall give consideration to the judgment of the faculty of related disciplines.

    (5) Each fall semester, the appropriate academic administrative officer shall distribute to department chairpersons such instructions and sample record forms as will facilitate compliance with affirmative action obligations and procedures as well as budgetary requirements. The Affirmative Action Office shall advise appropriate administrative officers and department chairpersons of the status of current utilization of women and minorities in each department/unit. Where underutilization exists, departments will be required to establish affirmative action goals for the hiring of women and/or minorities prior to the initiation of recruitment efforts.

    UWS 3.03 Appointments--general

    The faculty of each institution, after consultation with appropriate students and with the approval of the chancellor, shall develop rules relating to faculty appointments. Each person to whom an appointment is offered must receive an appointment letter in which an authorized official of the institution details the terms and conditions of the appointment, including but not limited to, duration of the appointment, salary, starting date, ending date, general position responsibilities, probation, tenure status, and crediting of prior service. Accompanying this letter shall be an attachment detailing institutional and system rules and procedures relating to faculty appointments. If the appointment is subject to the advance approval of the board, a statement to this effect must be included in the letter.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    (1) Appointments to the teaching staff of a department shall be made as probationary faculty, with the limited exceptions provided for in UWS 3.04 of the Wisconsin Administrative Code and in the current UWL tenure density policy. The number of probationary faculty appointments in a department shall not be limited by the tenure density guidelines. Temporary appointments as fixed-term instructional academic staff, as provided for in UWL 10.01, may be used in some instances at the request of a department and with the approval of the dean.

    (2) Appointments and all terms of appointments shall be made only if based on an affirmative recommendation of the department and with the approval of the appropriate academic administrative officers.

    (3) Copies of all official appointment documents shall be supplied by the chancellor to the faculty member appointed and to the department.

    (4) Any subsequent extensions or modifications of an appointment, and any special understandings, or any notices incumbent upon either part to provide, shall be stated or confirmed in writing by the chancellor. Copies shall be given to the faculty member and to the department chairperson, and a copy shall become a part of the faculty member's permanent file.

    Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.

    Throughout the rules the term "department" refers to departments and to all equivalent functional units; and "college" to all units similar to college, such as schools and divisions.

    The term "department" shall be limited to instructional entities which include among their major functions credit-producing teaching activities (lecture and/or laboratory) and the primary functions of which are instruction and research related to the body of knowledge being taught. *The rules in this section augment information found in the Wisconsin Administrative Code for the University of Wisconsin System and the UW-L Faculty Personnel Rules. These documents are issued to all faculty in addition to this handbook.

    UWS 3.04 Probationary appointments

    (1) Each institution's rules for faculty appointments shall provide for a maximum 7-year probationary period in a full-time position, and may provide for a longer maximum probationary period in a part-time position of at least half time. Such rules may permit appointments with shortened probationary periods or appointments to tenure without a probationary period. Provision shall be made for the appropriate counting of prior service at other institutions and at the institution. Tenure is not acquired solely because of years of service.

    (2) A leave of absence, sabbatical or a teacher improvement assignment does not constitute a break in continuous service and shall not be included in the 7-year period under sub. (1).

    (3) Circumstances in addition to those identified under sub. (2) that do not constitute a break in continuous service and that shall not be included in the 7-year period include responsibilities with respect to childbirth or adoption, significant responsibilities with respect to elder or dependent care obligations, disability or chronic illness, or circumstances beyond the control of the faculty member, when those circumstances significantly impede the faculty member's progress toward achieving tenure. It shall be presumed that a request made under this section because of responsibilities with respect to childbirth or adoption shall be approved. A request shall be made before a tenure review commences under s. UWS 3.06 (1) (c). A request for additional time because of responsibilities with respect to childbirth or adoption shall be initiated in writing by the probationary faculty member concerned and shall be submitted to a designated administrative officer who shall be authorized to grant a request and who shall specify the length of time for which the request is granted. Except for a request because of responsibilities with respect to childbirth or adoption, a request made because of other circumstances under this section shall be submitted to a designated administrative officer who shall be authorized to grant a request in accordance with institutional policies. A denial of a request shall be in writing and shall be based upon clear and convincing reasons. More than one request may be granted because of responsibilities with respect to childbirth or adoption. More than one request may be granted to a probationary faculty member but the total, aggregate length of time of all requests, except for a request because of responsibilities with respect to childbirth or adoption, granted to one probationary faculty member ordinarily shall be no more than one year. Each institution shall develop procedures for reviewing the requests.

    (4) If any faculty member has been in probationary status for more than 7 years because of one or more of the reasons set forth in sub. (2) or (3), the faculty member shall be evaluated as if he or she had been on probationary status for 7 years.

    Example: A faculty member has been on probationary status for a total of 9 years because the faculty member was granted 2 requests under sub. (3) for one-year extensions because of the birth of 2 children. The faculty member's teaching, research and professional and public service and contribution to the institution shall be evaluated as if the faculty member had only 7 years to work towards achieving tenure, rather than as if the faculty member had been working towards achieving tenure for 9 years.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75; renum. to be (1) and am., cr. (2) to (4), Register, February, 1994, No. 458, eff. 3-1-94.

    UWL 3.04 Probationary appointments

    (1) Probationary appointments may be for one year or for other stated periods, subject to renewal. The total period of full-time service prior to the awarding of tenure shall not exceed seven years. Full-time service with the rank of instructor or higher in other institutions of higher learning and/or full-time service with an instructional staff appointment (or equivalent) at UW-La Crosse or other institutions of higher learning may be counted as part of the probationary period. The lengh of the probationary period shall be stated by the chancellor in writing at the time of initial appointment.

    (2) There shall be two kinds of faculty appointments, full-time appointments and part-time appointments, either of which may be tenure appointments. The maximum probationary periods prior to the awarding of tenure for full-time appointments and part-time appointments of half time or more are as follows:

    (a) Maximum probation for full-time tenured appointments shall be:

    (i) seven full-time years, or

    (ii) for any combination of full-time and part-time appointments in which the final three years are consecutive full-time years:

    four part-time semesters and six full-time years, or
    eight part-time semesters and five full-time years, or
    twelve part-time semesters and four full-time years, or
    fourteen part-time semesters and three full-time years.

    (b) Maximum probation for part-time tenured appointments (See Merger Law 36.13 (2)) shall be:

    (i) fourteen part-time semesters, or

    (ii) any combination of full-time and part-time appointments accumulating to seven academic years.

    (3) The circumstances described in UWS 3.04 (2) and (3) do not constitute a break in continuous service and shall not be included as part of the maximum probationary period.

    (4) A leave of absence, sabbatical or a teacher improvement assignment which is approved by the Provost/Vice Chancellor shall be documented in the faculty member's personnel file. The length of any of these circumstances shall be rounded to the nearest semester or academic year. The effect of any of these circumstances on the faculty member's tenure decision date shall be noted in that faculty member's annual retention letter.

    The UWL administrative officer designated to act on faculty requests made under UWS 3.04(3) to exclude a certain time period from the maximum probationary period is the Provost/Vice Chancellor. To initiate the process the faculty member shall submit a written request to the member's department chair. In case of membership in more than one department, the request shall be submitted to the chair of the department in which the faculty member would hold a tenured appointment (if granted) after being continuously reappointed throughout the probationary period. Such requests can be made at any time during the probationary period. However, a request made during the academic year in which the faculty member's tenure decision is scheduled must be submitted to the department chair at least ten days prior to the scheduled date of the departmental tenure review meeting for the faculty member. The department shall review the request and forward it along with a recommendation to the Dean of the College who, after reviewing the faculty member's request and the departmental recommendation, shall forward these two items along with a recommendation to the Provost/Vice Chancellor for final action. Departments, deans, and the Provost/Vice Chancellor shall have written procedures for reviewing such requests. The procedures shall ensure compliance with the presumption (UWS 3.04(3)) that requests because of responsibilities with respect to childbirth or adoption shall be approved. In addition, for requests made under any of the other circumstances described in UWS 3.04(3), an unfavorable recommendation by the department or dean, or a denial by the Provost/Vice Chancellor, shall be in writing and shall be based upon clear and convincing reasons.

    The time related to circumstances in UWS (2) and the time requested and approved in circumstances indicated in UWS (3) will be converted to the nearest full semester or academic year and recorded in the annual appointment letter to the faculty member. This letter will inform the faculty member of the status of the tenure decision time line either confirming it has remained the same or that it has been extended by circumstances indicated above.

    (5) Nothing in this process shall be construed as preventing a faculty member from requesting an early tenure decision.

    (6) Faculty members on part-time appointments with tenure shall acquire full-time appointments with tenure either upon completing the maximum probation period under (2) (a) or three consecutive years full-time employment subsequent to acquiring tenure. The final year of the three must be an appointment made subsequent to the effective date of these local rules.

    (7) In exceptional cases appointments to tenure may occur with no probationary period or with a shortened probationary period if the appropriate (involved) department and the chancellor so agree. If such an agreement between the department and the chancellor occurs, the appointee shall be informed in writing of that agreement and approval at the time of the initial appointment or reappointment.

    (8) A faculty member on probation who resigns or is nonrenewed and is reappointed after a break in service, shall be credited with all prior probationary years of service at UW-La Crosse.

    (9) Prior professional service may be counted for promotion and salary, and for purposes other than tenure or seniority, except as provided elsewhere in these rules.

    Revision approved on April 12, 1999 by Chancellor Kuipers.
    Revision approved by the Board of Regents on December 10, 1999, Resolution 8038.

    UWS 3.05 Periodic review

    The faculty and chancellor of each institution, after consultation with appropriate students, shall establish rules providing for periodic review of faculty performance.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 3.05 Periodic review

    (1) Requirement for evaluation. Performance of all faculty members shall be reviewed annually. The areas of review shall include teaching, scholarship, and service (professional and university). Departments shall establish written bylaws specifying the review procedures. The bylaws shall include the criteria used in the review, how the criteria are applied, the occasions and methods of review, and any appellate procedures. The review procedures shall also provide faculty members with the opportunity to document their performance in the review areas for the time period under review. These bylaws shall be filed with the appropriate academic dean for the purpose of ensuring compliance with UWS and UWL personnel rules and faculty policies.

    The results of the review shall be used in making recommendations for salary adjustments, retention, tenure, promotion, tenured faculty review and development, and for other considerations as needed. The review criteria used for making these different recommendations need not be identical; departments may conduct separate reviews as needed. The results of reviews for a faculty member over a period of several consecutive years shall be part of the basis for making retention, tenure, promotion, and tenured faculty review and development recommendations for the faculty member.

    Any changes to departmental bylaws affecting the review procedures must have been adopted and placed on file with the appropriate academic dean at least six months prior to the review. However, reviews for the purpose of making recommendation on retention or tenure of a probationary faculty member shall be conducted using the departmental bylaws in place at the time of the hire of the probationary faculty member unless the faculty member elects to be reviewed under more recently adopted departmental bylaws.

    (2) Methods of Review

    (a) Teaching. The methods used to review teaching shall include both peer and student evaluation. These methods may also include self-evaluation.

    1. Student evaluation of instruction shall be governed by regulations established by the Board of Regents. Additional regulations may be established by the Chancellor, the UW-La Crosse Faculty Senate, and departments after consultation with students where appropriate. Departments shall design the instruments used to obtain student evaluation of instruction data.

    2. Peer and self-evaluation shall be governed by regulations established by the Board of Regents, the Chancellor, the UW-La Crosse Faculty Senate, and departments. Departmental bylaws shall govern the collection and use of the peer evaluation data.

    (b) Scholarship and Service. Peer evaluation shall be used to review scholarship and service. Departmental bylaws shall govern the interpretation of the peer evaluation data.

    (3) Procedures.

    (a) At least 20 days prior to a review, the department chairperson shall notify each faculty member of the date of the review and provide each faculty member with the appropriate form to be used to report the member's performance in the review areas for the time period under review. The department chairperson shall inform each faculty member of the date by which these forms should be completed and submitted. Faculty members are responsible for completing their own evaluation form.

    (b) Within 14 days after completion of the review of a faculty member, a written report of the results of the review shall be given to the faculty member. Results shall be reported for each of the review areas.

    UWS 3.06 Renewal of appointments and granting of tenure

    (1)(a) General. Appointments may be granted only upon the affirmative recommendation of the appropriate academic department, or its functional equivalent, and the chancellor of an institution. When specified by the board, the institutional recommendation shall be transmitted by the president of the system with a recommendation to the board for action. Tenure appointments may be granted to any ranked faculty member who holds or will hold a half-time appointment or more. The proportion of time provided for in the appointment may not be diminished or increased without the mutual consent of the faculty member and the institution, unless the faculty member is dismissed for just cause, pursuant to s. 36.13 (5), Stats., or is terminated or laid off pursuant to s. 36.21, Stats.

    (b) Criteria. Decisions relating to renewal of appointments or recommending of tenure shall be made in accordance with institutional rules and procedures which shall require an evaluation of teaching, research, and professional and public service and contribution to the institution. The relative importance of these functions in the evaluation process shall be decided by departmental, school, college, and institutional faculties in accordance with the mission and needs of the particular institution and its component parts. Written criteria for these decisions shall be developed by the appropriate institutional faculty bodies. Written criteria shall provide that if any faculty member has been in probationary status for more than 7 years because of one or more of the reasons set forth in s. UWS 3.04 (2) or (3), the faculty member shall be evaluated as if he or she had been in probationary status for 7 years.

    (c) Procedures. The faculty and chancellor of each institution, after consultation with appropriate students, shall establish rules governing the procedures for renewal or probationary appointments and for recommending tenure. These rules shall provide for written notice of the departmental review to the faculty member at least 20 days prior to the date of the departmental review, and an opportunity to present information on the faculty member's behalf. The probationary faculty member shall be notified in writing within 20 days after each decision at each reviewing level. In the event that a decision is made resulting in nonrenewal, the procedures specified in s. UWS 3.07 shall be followed.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75; am. (1) (b), Register, February, 1994, No. 458, eff. 3-1-94; correction in (1) (a) made under s. 13.93 (2m) (b) 5, Stats., Register, February, 1994, No. 458.

    UWL 3.06 Renewal of appointments and granting of tenure

    (1) Renewal of appointments and granting of tenure require probationary faculty to be reviewed at three levels in the following order: 1) department; 2) college dean; and 3) chancellor. The process advances as the department's decision and the dean's recommendations are forwarded, in writing, to the chancellor. The timing of the reviews is determined by the university's Personnel Schedule Deadlines.

    (2) The probationary faculty member shall be notified in writing within seven days after each decision or recommendation at each reviewing level.

    (3) When a negative renewal/tenure decision or recommendation is made at any reviewing level, the provisions of UWS 3.07/UWL 3.07 on reconsideration and UWS 3.08/UWL 3.08 on appeal shall apply.

    (4) The initial review of probationary faculty shall be conducted by the tenured faculty of the appropriate department in a manner determined by the tenured members. If there are no tenured members in the department, the appropriate supervisor who is tenured shall make the determination. Department procedures for review, criteria for retention and tenure, and the weighting of criteria shall be documented and on file in the appropriate dean's office in accordance with UWL 3.05 which also specifies that the reviews for the purpose of making recommendations on retention or tenure of a probationary faculty member shall be conducted using the departmental bylaws in place at the time of hire of the probationary faculty member unless the faculty member elects to be reviewed under more recently adopted departmental bylaws.

    (5) The department chair shall give written notice of the department review to the probationary faculty member at least 20 days prior to the date of the review. The probationary faculty member may present written and oral support for renewal. The requirements of sub chapter IV of Chapter 19, Wisconsin Statutes concerning open meeting of governmental bodies shall apply.

    (6) An affirmative decision by the department or a successful reconsideration by the department that reverses an earlier nonrenewal decision is required for renewal and tenure.

    (7) The department shall forward the decision and the vote results to the appropriate dean (or other administrative officer). The dean shall submit to the chancellor a written recommendation either affirming or not affirming the department decision. The dean's criteria for renewal and tenure shall be consistent with department criteria. Further, the dean shall take the magnitude of the faculty vote into account when making the recommendation.

    (8) Following a nonrenewal decision at the department level, and reconsideration and appeal that do not reverse the decision, the department's decision and the vote results shall be forwarded to the appropriate dean (or other administrative officer). The dean shall submit to the chancellor a recommendation either affirming or not affirming the department decision. The dean's criteria for renewal and tenure shall be consistent with department criteria. Further, the dean shall take the magnitude of the faculty vote into account when making the recommendation.

    (9) Following an affirmative decision at the department level, but a nonrenewal recommendation at the dean level and reconsideration and appeal that do not reverse the recommendation, the process advances to the chancellor.

    (10) If the department's decision and the dean's recommendations are both positive the chancellor's decision should be positive unless there are compelling reasons for a negative decision. A faculty member who is denied renewal/tenure at this stage may request the reasons in writing within 10 days. Written reasons shall be provided to the faculty member within 10 days of the receipt of the request. The reasons then become part of the official file of the faculty member.

    UWL 3.06 was revised and approved by the Faculty Senate, approved by Chancellor Gow on October 17, 2008 and approved by the Board Of Regents.

    UWS 3.07 Nonrenewal of probationary appointments

    (1) (a) Rules and procedures. The faculty and chancellor of each institution, after consultation with appropriate students, shall establish rules and procedures for dealing with instances in which probationary faculty appointments are not renewed. These rules and procedures shall provide that, upon the timely written request of the faculty member concerned, the department or administrative officer making the decision shall, within a reasonable time, give him or her written reasons for nonrenewal. Such reasons shall become a part of the personnel file of the individual. Further, the rules and procedures shall provide for reconsideration of the initial nonrenewal decision upon timely written request.

    (b) Reconsideration. The purpose of reconsideration of a nonrenewal decision shall be to provide an opportunity to a fair and full reconsideration of the nonrenewal decision, and to insure that all relevant material is considered.

    1. Such reconsideration shall be undertaken by the individual or body making the nonrenewal decision and shall include, but not be limited to, adequate notice of the time of reconsideration of the decision, an opportunity to respond to the written reasons and to present any written or oral evidence or arguments relevant to the decision, and written notification of the decision resulting from the reconsideration.

    2. Reconsideration is not a hearing or an appeal, and shall be non-adversary in nature.

    3. In the event that a reconsideration affirms the nonrenewal decision, the procedures specified in s. UWS 3.08 shall be followed.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 3.07 Non-renewal of probationary faculty member's appointment

    (1) In making a decision of nonrenewal, the authorized official (or body) shall inform the appointee early enough to allow time for possible reconsideration and appeal and adequate notice of nonrenewal.

    (2) The Right to Reconsideration at the lowest level where a nonrenewal recommendation or decision is made: An authorized official (or body) who makes a recommendation of nonrenewal shall formulate and retain written reasons for the decision. If the faculty member wishes reasons he/she shall request them in writing within 10 days. Written reasons shall be provided the faculty member within 10 days of the receipt of the written request. The reasons then become part of the official personnel file of the faculty member.

    (3) If the faculty member wishes a reconsideration of the initial nonrenewal recommendation, he/she shall request a reconsideration meeting in writing within two weeks of the receipt of the copy of the reasons.

    (4) The meeting for reconsideration with the authorized official or body shall be held within two weeks of the receipt of the request. The faculty member shall be notified a minimum of seven days prior to the meeting. At the reconsideration meeting the authorized official (or body) and the faculty member shall be present. Each may choose up to two members of the university community to be present also. These third parties may question either of the other parties and make comments to them. These third parties also shall file a report of the reconsideration meeting with the authorized official and the faculty member. In later appeals such third parties may be called as witnesses. The faculty member may make a personal presentation at the reconsideration meeting. The meeting shall be held in accordance with sub chapter IV of Chapter 19, Wisconsin Statutes.

    (5) At the meeting for reconsideration the faculty member is entitled to present documentary evidence. The reconsideration is not a hearing nor an appeal and shall be non-adversary in nature. Its purpose is to allow the faculty member an opportunity to persuade the authorized official or group to change the recommendation of non-renewal by challenging the stated reasons and/or by offering additional evidence. The burden of proof is on the faculty member requesting the reconsideration. This reconsideration proceeding shall occur at the lowest level where a nonrenewal recommendation was made.

    (6) Following the reconsideration, the authorized official or group shall forward a recommendation (with written reasons) to the next immediate supervisor. A copy of the recommendation and the reasons shall also be sent to the probationary faculty member within seven days of the reconsideration.

    UWS 3.08 Appeal of a non-renewal decision

    (1) The faculty and chancellor of each institution, after consultation with appropriate students, shall establish rules and procedures for the appeal of a nonrenewal decision. Such rules and procedures shall provide for the review of a nonrenewal decision by an appropriate standing faculty committee upon written appeal by the faculty member concerned within 20 days of notice that the reconsideration has affirmed the nonrenewal decision (25 days if notice is by first class mail and publication). Such review shall be held not later than 20 days after the request, except that this time limit may be enlarged by mutual consent of the parties, or by order of the review committee. The faculty member shall be given at least 10 days notice of such review. The burden of proof in such an appeal shall be on the faculty member, and the scope of the review shall be limited to the question of whether the decision was based in any significant degree upon one or more of the following factors, with material prejudice to the individual:

    (a) Conduct, expressions, or beliefs which are constitutionally protected, or protected by the principles of academic freedom, or

    (b) Factors proscribed by applicable state or federal law regarding fair employment practices, or

    (c) Improper consideration of qualifications for reappointment or renewal. For purposes of this section, "improper consideration" shall be deemed to have been given to the qualifications of a faculty member in question if material prejudice resulted because of any of the following:

    1. The procedures required by rules of the faculty or board were not followed, or

    2. Available data bearing materially on the quality of performance were not considered, or

    3. Unfounded, arbitrary or irrelevant assumptions of fact were made about work or conduct.

    (2) The appeals committee shall report on the validity of the appeal to the body or official making the nonrenewal decision and to the appropriate dean and the chancellor.

    (3) Such a report may include remedies which may, without limitation because of enumeration, take the form of a reconsideration by the decision maker, a reconsideration by the decision maker under instructions from the committee, or a recommendation to the next higher appointing level. Cases shall be remanded for reconsideration by the decision maker in all instances unless the appeals committee specifically finds that such a remand would serve no useful purpose. The appeals committee shall retain jurisdiction during the pendency of any reconsideration. The decision of the chancellor will be final on such matters.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 3.08 Appeal of a non-renewal decision

    (1) The standing committee to hear appeals of a nonrenewal decision shall be the same hearing committee established under UWL 4.03.

    (2) The appellant shall send a written request for a review of his/her case to the hearing committee and shall include a statement of the factors alleged to be materially prejudicial (see UWS 3.08 (1) a, b, c) and shall provide evidence to support his/her claim. The Hearing Committee may deny further consideration of the case if these materials are not provided.

    (3) The hearing shall be held in conformity with sub chapter IV, Chapter 19, Wisconsin Statutes.

    (4) While providing due process, the faculty hearing committee shall not be bound by common law or statutory rules of evidence.

    (5) The Hearing Committee shall report its recommendations to the body or the officials involved in the nonrenewal decision. The Hearing Committee also shall inform the faculty member of the recommendations if the officials do not do so within two working days.

    (6) The recommendation of the committee shall be based on a majority vote of the committee members hearing the case.

    (7) If the Hearing Committee finds that impermissible factors, as defined in UWS 3.08 (1)(a),(b) and (c), were involved in reaching a decision not to recommend tenure, and after all required reconsiderations have been completed, the Chancellor shall direct the Provost/Vice Chancellor to appoint an ad hoc committee of no fewer than five (5) tenured faculty members. Committee members may be off campus peers but may not be members of the appellant's department or its functional equivalent. No person may be appointed to the ad hoc committee unless the person is knowledgeable in the appellant's academic field or in a substantially similar field. The Provost/Vice Chancellor shall consult with the appellant's Dean to ensure that persons appointed to the ad hoc committee are so qualified. The ad hoc committee shall conduct a new review of the appellant's record with reference to the department's criteria for tenure. The appellant shall be afforded an opportunity to make an appearance before the committee and answer questions. Upon completion of the review, the ad hoc committee shall vote on whether the appellant should be granted tenure. The ad hoc committee shall submit a report of their findings to the Chancellor and provide a copy to the appellant. The findings of the ad hoc committee shall not be based on impermissible factors, as defined in UWS 3.08 (1)(a), (b) and (c).

    If a majority of the ad hoc committee has recommended that tenure may be granted, the Chancellor may then recommend to the Board of Regents that a tenure appointment be granted without the concurrence of the appellant's department or functional equivalent.

    UWS 3.09 Notice periods

    (1) A faculty member who is employed on probationary appointment pursuant to s. 36.13, Stats., shall be given written notice of reappointment or non-reappointment for another academic year in advance of the expiration of the current appointment as follows:

    (a) When the appointment expires at the end of an academic year, not later than March 1 of the first academic year and not later than December 15 of the second consecutive academic year of service;

    (b) If the initial appointment expires during an academic year, at least 3 months prior to its expiration; if a second consecutive appointment terminates during the academic year, at least 6 months prior to its expiration;

    (c) After 2 or more years of continuous service at an institution of the university of Wisconsin system, such notice shall be given at least 12 months before the expiration of the appointment.

    History: Cr. Register, January, 1975, No. 229. eff. 2-1-75.

    UWS 3.10 Absence of proper notification

    If proper notice is not given in accordance with s. UWS 3.09, the aggrieved faculty member shall be entitled to a one-year terminal appointment. Such appointments, however, shall not result in the achievement of tenure.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 3.11 Limitation

    Tenure and probationary appointments are in a particular institution; a tenure appointment is limited to the institution in which the appointment is held, unless another institution has, through normal procedures and explicit agreement, undertaken to share in the appointment. The explicit agreement shall specify both the tenure responsibility and the budget responsibility.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    Chapter 4: Procedures for Dismissal

    UWS 4.01 Dismissal for cause

    (1) Any faculty member having tenure may be dismissed only by the board and only for just cause and only after due notice and hearing. Any faculty member having a probationary appointment may be dismissed prior to the end of his/her term of appointment only by the board and only for just cause and only after due notice and hearing. A decision not to renew a probationary appointment or not to grant tenure does not constitute a dismissal.

    (2) A faculty member is entitled to enjoy and exercise all the rights and privileges of a United States citizen, and the rights and privileges of academic freedom as they are generally understood in the academic community. This policy shall be observed in determining whether or not just cause for dismissal exists. The burden of proof of the existence of just cause for a dismissal is on the administration.

    History Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 4.02 Responsibility for charges

    (1) Whenever the chancellor of an institution within the university of Wisconsin system receives a complaint against a faculty member which he/she deems substantial and which, if true, might lead to dismissal under s. UWS 4.01, the chancellor shall within a reasonable time initiate an investigation and shall, prior to reaching a decision on filing charges, offer to discuss the matter informally with the faculty member. A faculty member may be dismissed only after receipt of a written statement of specific charges from the chancellor as the chief administrative officer of the institution and, if a hearing is requested by the faculty member, in accordance with the provisions of this chapter. If the faculty member does not request a hearing, action shall proceed along normal administrative lines but the provisions of ss. UWS 4.02, 4.09, and 4.10 shall still apply.

    (2) Any formal statement of specific charges for dismissal sent to a faculty member shall be accompanied by a statement of the appeal procedures available to the faculty member.

    (3) The statement of charges shall be served personally or by certified mail, return receipt requested. If such service cannot be made within 20 days, service shall be accomplished by first class mail and by publication as if the statement of charges were a summons and the provisions of s. 262.06 (1) (c), Stats., were applicable. Such service by mailing and publication shall be effective as of the first insertion of the notice of statement of charges in the newspaper.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 4.03 Standing faculty committee

    The faculty of each institution shall provide a standing committee charged with hearing dismissal cases and making recommendations under this chapter. This standing faculty committee shall operate as the hearing agent for the board pursuant to s. 227.12, Stats., and conduct the hearing, make a verbatim record of the hearing, prepare a summary of the evidence and transmit such record and summary along with its recommended findings of law and decision to the board according to s. UWS 4.07.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 4.03 Standing faculty committee

    The faculty standing committee for dismissal cases shall be the hearing committee specified in the Faculty Senate By-laws.

    UWS 4.04 Hearing

    If the faculty member requests a hearing within 20 days of notice of the statement of charges (25 days if notice is by first class mail and publication), such a hearing shall be held not later than 20 days after the request except that this time limit may be enlarged by mutual written consent of the parties, or by order of the hearing committee. The request for a hearing shall be addressed in writing to the chairperson of the standing faculty committee created under s. UWS 4.03.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 4.05 Adequate due process

    (1) A fair hearing for a faculty member whose dismissal is sought under s. UWS 4.01 shall include the following:

    (a) Service of written notice of hearing on the specific charges at least 10 days prior to the hearing;

    (b) A right to the names of witnesses and of access to documentary evidence upon the basis of which dismissal is sought;

    (c) A right to be heard in his/her defense;

    (d) A right to counsel and/or other representatives, and to offer witnesses;

    (e) A right to confront and cross-examine adverse witnesses;

    (f) A verbatim record of all hearings, which might be a sound recording, provided at no cost;

    (g) Written findings of fact and decision based on the hearing record;

    (h) Admissibility of evidence governed by s. 227.10, Stats.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 4.06 Procedural guarantees

    (1) Any hearing held shall comply with the requirements set forth in s. UWS 4.05. The following requirements shall also be observed:

    (a) The burden of proof of the existence of just cause is on the administration or its representatives;

    (b) No faculty member who participated in the investigation of allegations leading to the filing of a statement of charges, or in the filing of a statement of charges, or who is a material witness shall be qualified to sit on the committee in that case;

    (c) The hearing shall be closed unless the faculty member under charges requests an open hearing, in which case it shall be open (see s. 66.77, Stats., Open Meeting Law);

    (d) The faculty hearing committee may, on motion of either party, disqualify any one of its members for cause by a majority vote. If one or more of the faculty hearing committee members disqualify themselves or are disqualified, the remaining members may select a number of other members of the faculty equal to the number who have been disqualified to serve, except that alternative methods of replacement may be specified in the rules and procedures adopted by the faculty establishing the standing committee under s. UWS 4.03;

    (e) The faculty hearing committee shall not be bound by common law or statutory rules of evidence and may admit evidence having reasonable probative value but shall exclude immaterial, irrelevant, or unduly repetitious testimony, and shall give effect to recognized legal privileges;

    (f) If the faculty hearing committee requests, the chancellor shall provide legal counsel after consulting with the committee concerning its wishes in this regard. The function of legal counsel shall be to advise the committee, consult with them on legal matters, and such other responsibilities as shall be determined by the committee within the provisions of the rules and procedures adopted by the faculty of the institution in establishing the standing faculty committee under s. UWS 4.03;

    (g) If a proceeding on charges against a faculty member not holding tenure is not concluded before the faculty member's appointment would expire, he/she may elect that such proceeding be carried to a final decision. Unless he/she so elects in writing, the proceeding shall be discontinued at the expiration of the appointment;

    (h) If a faculty member whose dismissal is sought has requested a hearing, discontinuance of the proceeding by the institution is deemed a withdrawal of charges and a finding that the charges were without merit;

    (i) Nothing in paragraph (h) shall prevent the settlement of cases by mutual agreement between the administration and the faculty member, with board approval, at any time prior to a final decision by the board;

    (j) Adjournment shall be granted to enable either party to investigate evidence as to which a valid claim of surprise is made.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 4.07 Recommendations: to the chancellor: to the regents

    (1) The faculty hearing committee shall send to the chancellor and to the faculty member concerned, as soon as practicable after conclusion of the hearing, a verbatim record of the testimony and a copy of its report, findings, and recommendations. The committee may determine that while adequate cause for discipline exists, some sanction less severe than dismissal is more appropriate. Within 20 days after receipt of this material the chancellor shall review it and afford the faculty member an opportunity to discuss it. The chancellor shall prepare a written recommendation within 20 days following the meeting with the faculty member, unless his/her proposed recommendation differs substantially from that of the committee. If the chancellor's proposed recommendations differ substantially from those of the faculty hearing committee, the chancellor shall promptly consult the faculty hearing committee and provide the committee with a reasonable opportunity for a written response prior to forwarding his/her recommendation. If the recommendation is for dismissal, the recommendation shall be submitted through the president of the system to the board. A copy of the faculty hearing committee's report and recommendations shall be forwarded through the president of the system to the board along with the chancellor's recommendation. A copy of the chancellor's recommendation shall also be sent to the faculty member concerned and to the faculty committee.

    (2) Disciplinary action other than dismissal may be taken by the chancellor, after affording the faculty member an opportunity to be heard on the record, except that, upon written request by the faculty member, such action shall be submitted as a recommendation through the president to the board together with a copy of the faculty hearing committee's report and recommendation.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 4.08 Board review

    (1) If the chancellor recommends dismissal, the board shall review the record before the faculty hearing committee and provide an opportunity for filing exceptions to the recommendations of the hearing committee or chancellor, and for oral arguments, unless the board decides to drop the charges against the faculty member without a hearing or the faculty member elects to waive a hearing. This hearing shall be closed unless the faculty member requests an open hearing (see s. 66.77, Stats., Open Meeting Law).

    (2) If, after the hearing, the board decides to take action different from the recommendation of the faculty hearing committee and/or the chancellor, then before taking final action the board shall consult with the faculty hearing committee and/or the chancellor, as appropriate.

    (3) If a faculty member whose dismissal is sought does not request a hearing pursuant to s. UWS 4.04 the board shall take appropriate action upon receipt of the statement of charges and the recommendation of the chancellor.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 4.09 Suspension from duties

    Pending the final decision as to his/her dismissal, the faculty member shall not normally be relieved of duties; but if, after consultation with appropriate faculty committees the chancellor finds that substantial harm to the institution may result if the faculty member is continued in his/her position, the faculty member may be relieved immediately of his/her duties, but his/her salary shall continue until the board makes its decision as to dismissal.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 4.09 Suspension from duties

    The faculty consultation shall concern the propriety, the length, and the other conditions of the suspension.

    UWS 4.10 Date of dismissal

    A decision by the board ordering dismissal shall specify the effective date of the dismissal.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    Chapter 5: Layoff and Termination for Reasons of Financial Emergency

    UWS 5.01 General

    Notwithstanding s. 36.13 Stats., the board may lay off or terminate a tenured faculty member, or lay off or terminate a probationary faculty member prior to the end of his or her appointment, in the event of a financial emergency. Such layoffs or terminations may be made only in accord with the provisions of this chapter, and imply the retention of rights indicated herein. A nonrenewal, regardless of reasons, is not a layoff or termination under this section.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.02 Financial emergency

    (1) For the purposes of this chapter, "financial emergency" is a state which may be declared by the board to exist for an institution if and only if the board finds that the following conditions exist:

    (a) The total general program operations (GPR/fee) budget of the institution, excluding adjustments for salary/wage increases and for inflationary impact on nonsalary budgets, has been reduced;

    (b) Institutional operation within this reduced budget requires a reduction in the number of faculty positions such that tenured faculty must be laid off, or probationary faculty must be laid off prior to the end of their respective appointments. Such a reduction in faculty positions shall be deemed required only if in the board's judgment it will have an effect substantially less detrimental to the institution's ability to fulfill its mission than would other forms of budgetary curtailment available to the institution; and

    (c) The procedures described in ss. UWS 5.05 and 5.06 have been followed.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.03 Layoff and termination

    For the purposes of this chapter "layoff" is the indefinite suspension or an involuntary reduction in services and compensation of a faculty member's employment by the university of Wisconsin system. A laid off faculty member retains the rights specified in ss. UWS 5.16 through 5.21, inclusive. For the purposes of this chapter, "termination" is the permanent elimination of a faculty member's employment by the university of Wisconsin system. A terminated faculty member retains rights specified in ss. UWS 5.18 and 5.19.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.04 Faculty consultative committee

    The faculty of each institution shall, promptly after February 1, 1975, designate or create a standing faculty committee to consult with the chancellor if at any time a declaration of financial emergency is to be considered. The committee shall consist of faculty members of the institution chosen by the faculty in a manner to be determined by the faculty. It is the right and responsibility of this committee to represent the faculty before the board if a declaration of a state of financial emergency for the institution is being considered, and to assure that the procedures of ss. UWS 5.05 and 5.06 are followed.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 5.04 Faculty consultative committee

    The membership and functions of the Faculty Consultative Layoff Committee shall be established by the Faculty Senate.

    UWS 5.05 Consultation

    (1) In the event that a declaration of financial emergency is contemplated, the chancellor of the affected institution shall consult with and seek advice from the faculty committee provided for in s. UWS 5.04 at least 3 months before the matter is taken to the board. The chancellor and committee shall:

    (a) Consider identifiable alternative methods of budget reduction;

    (b) Determine whether reductions in faculty positions under the provisions of this chapter can be made with less detriment to the institution's ability to fulfill its mission than would follow from reasonable alternative courses of action;

    (c) Determine from which colleges, schools, departments, or programs faculty positions should be eliminated:

    (d) Consult with faculties of colleges, schools, departments and programs potentially involved; and

    (e) Consult with such other individuals and groups as they feel may be able to provide valuable advice.

    (1m) The committee shall prepare a report, with supporting documents, for submission to the chancellor, the faculty senate, or institutional equivalent, and the board.

    (2) It shall be the primary responsibility of the faculty of the institution to establish criteria to be used by the chancellor and committee for academic program evaluations and priorities. A decision to curtail or discontinue an academic program for reasons of financial emergency shall be made in accordance with the best interests of students and the overall ability of the institution to fulfill its mission.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 5.05 Consultation

    Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.

    (1)(a) All budget information shall be made available to the committee. Appropriate university personnel shall be made available as necessary to assist the committee to interpret the budgets. The committee shall place a high priority on the instructional programs of the University.

    (e)e.g. Faculty Senate or appropriate senate committees.

    (2) Major criteria in evaluating programs to meet the interests of students and the university mission shall include, but not be limited to, the following (not necessarily listed in order of importance):

    (a) The workload of faculty;

    (b) The uniqueness of each program;

    (c) The number of students served and the numbers of majors and minors in each program;

    (d) The conservation of programs traditionally a part of a university; and

    (e) Program cost.

    UWS 5.06 Recommendation to the system president and the board

    (1) If the chancellor decides to recommend that the board declare a state of financial emergency for the chancellor's institution, the recommendation to the system president and the board shall be accompanied by a report which shall include the following:

    (a) A statement of the procedures followed in arriving at the recommendation, showing compliance with s. UWS 5.05;

    (b) Data clearly demonstrating the need for a reduction of faculty positions in accord with the provisions of this chapter;

    (c) An identification of the colleges, schools, departments or program areas in which reductions will be made, with data indicating the appropriateness of such choices;

    (d) The report of the faculty committee, expressing its views on these matters; and

    (e) A report of any action of the faculty senate or institutional equivalent on this matter.

    (2) The chancellor and the chairman of the faculty committee, or their designees, and representatives of affected colleges, schools, departments and programs, may appear before the board at the time the recommendation is considered. Other interested parties may submit in writing alternative recommendations or challenges to any part of the report.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.07 Individual designations

    Once the board has declared a state of financial emergency it shall be the primary responsibility of the tenured members of the affected department(s) to recommend which individuals are to be laid off. These recommendations shall follow seniority, as provided in s. UWS 5.08, unless a clear and convincing case is made that program needs dictate other considerations, e.g., the need to maintain diversity of specializations within a department. The department may seek the advice of other groups or individuals in formulating its recommendations. The departmental recommendation shall be forwarded to the chancellor, and the chancellor shall prepare recommendations for the system president and the board, as provided in s. UWS 5.14.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.08 Seniority

    The faculty of each institution shall promptly after February 1, 1975, determine the form of seniority that is to be considered. Such a determination shall be effective uniformly throughout the institution. Seniority may be, but is not limited to, the following definitions:

    (1) Without regard to rank, with seniority established by total years of service in the institution;

    (2) By rank, and within rank according to total years of service in the institution; or

    (3) By rank, and within rank, according to length of service in the institution at that rank.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 5.08 Seniority

    (1) All non-tenured instructional staff in a department or program shall be released prior to layoff of tenured faculty members in that department or program.

    (2) For tenured faculty members of an instructional department or program seniority shall be determined by rank, and within rank by total years of service in the university, except as qualified by other rules in this section on seniority.

    (3) Method of calculation.

    (a) In calculating the total years of service the units of full-time service and fractions of part-time service per semester shall be totaled, excluding summer school service. Only service of half-time or more in a semester shall be counted.

    (b) The years and fractions in a concurrent limited appointment (See UWS 3.01 (e)) shall be counted as service for the faculty member.

    (c) Released time for tenured faculty (approved by the appropriate dean and the chancellor) for full-time teacher-improvement activities and for sabbaticals shall count. However, teacher-improvement activities in the summer shall not count. Time on sick leave shall count. Other leaves of absence shall not count.

    (d) In the calculation, only time served as ranked or unranked faculty shall count, except that instructional service in instructional departments or programs as academic staff (e.g., lecturer) shall also count.

    (e) The calculation for faculty members who are or are to be laid off and who transfer into another department (or program) shall be in terms of time of service in the new department, unless more semesters of service from the time served at UW-La Crosse are permitted by the new department. Time served in the new department or program shall count for a faculty member who returns to his/her former department. Lay-off time shall count for a faculty member who returns to his/her former department.

    (f) In the case of formation of new departments or merger of previously existing departments to form a new department, the members shall carry with them the years of service they had established in the prior department.

    (g) A faculty member transferring after January 1, 1977, from one department to another not as a result of a layoff shall negotiate the amount of creditable service in the new department. The negotiation of creditable service shall occur prior to the transfer and be acceptable to department and faculty member involved

    (h) A faculty member who transfers after January 1, 1977, to a new department (not his/her former one) from an academic staff position shall negotiate the amount of creditable service in the new department with the department involved. The negotiation of creditable service shall occur prior to the transfer and be acceptable to the department and faculty member involved. Any faculty member who transfers to his/her former department after January 1, 1977, from an academic staff position shall count earlier service in that department, and may count more of the time served at UW-La Crosse if permitted by the department to do so.

    (i) Faculty members equal in seniority in terms of rank and years in the university shall have seniority further determined by years in the department. If they are still equal then years in the rank shall be used to determine seniority.

    UWS 5.09 Notification

    Each faculty member whose position is recommended for elimination shall receive prompt written notification from the chancellor. This statement of notification shall include:

    (1) A summary of the reasons and evidence supporting the declaration of a state of financial emergency and of the reasons and data leading to the choice of the colleges, schools, departments or programs in which reductions are to be made;

    (2) A statement of the basis on which the individual position was selected for elimination (if on the basis of seniority, the criterion used and data supporting the choice; if on another basis, the data and reasons supporting that choice);

    (3) A statement of the date on which the layoff is to be effective (this must be consistent with the provisions of s. UWS 5. 10); and

    (4) A copy of these rules and such other information or procedural regulations as the chancellor or faculty hearing committee shall deem appropriate.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.10 Notification period

    (1) For an academic year appointment the effective date of layoff must coincide with the end of an academic year. For an annual appointment it shall be June 30. In either case notification must be given at least 12 months in advance of the effective date. The notification referred to here is that specified in s. UWS 5.09 informing the faculty member that his or her position has been recommended for elimination.

    (2) During this period, and prior to entering layoff status (see s. UWS 5.16), the chancellor may offer as appropriate, and the faculty member may accept:

    (a) Terminal leave and early retirement

    (b) Relocation leave accompanied by resignation.

    (3) Acceptance of either of these options will terminate the faculty members association with the University of Wisconsin system at the end of the leave period.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.11 Faculty hearing committee

    The faculty of each institution shall, promptly after February 1, 1975, establish a committee or designate an existing committee to serve as a hearing committee for the purposes of this chapter. The committee shall consist of faculty members of the institution chosen by the faculty in a manner to be determined by the faculty. This standing faculty committee shall operate as the hearing agent for the board pursuant to s. 227.12, Stats., and conduct the hearing, make a verbatim record of the hearing, prepare a summary of the evidence and transmit such record and summary along with its recommended findings of law and decision to the board according to s. UWS 5.14

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 5.11 Faculty hearing committee

    The standing committee to hear layoff appeals shall be the same hearing committee established in UWL 4.03.

    Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.

    The standing committee to hear layoff appeals shall be the Hearing Committee established under UWS 4.03, by UW-L 4.03, and bylaw X:4.03. The supplementary local rules and procedures for layoff hearings shall be those established under UWS 5.04 and 4.06 and under bylaw X:4.06.

    UWS 5.12 Review hearing

    (1) A faculty member whose position is recommended for elimination is entitled to a hearing before the faculty hearing committee as to the appropriateness of the decision to lay off that particular individual. The existence of a state of financial emergency and the designation of the colleges, schools, departments or programs in which faculty positions are to be eliminated are not subject to review in the hearing.

    (2) A hearing must be requested within 20 days of the receipt by the faculty member of notification of recommended layoff. The request shall state with particularity the grounds to be relied upon in establishing the impropriety of the decision. Relevant information supplementary to that contained in the notification statement may be requested. The question to be considered in the review is whether one or more of the following improper factors entered into the decision to lay off:

    (a) Conduct, expressions, or beliefs on the faculty member's part which are constitutionally protected, or protected by the principles of academic freedom; or

    (b) Factors proscribed by applicable state or federal law regarding fair employment practices; or

    (c) Improper selection of the individual to be laid off. For the purposes of this section, "improper selection" occurs if material prejudice resulted from any of the following:

    1. The procedures required by rules of the faculty or board were not followed; or

    2. Available data bearing materially on the role of the faculty member in the institution were not considered; or

    3. Unfounded or arbitrary assumptions of fact were made; or

    4. Immaterial or improper factors other than those specified above entered into the decision.

    (3) The faculty member shall present evidence on whether one or more of the improper factors specified above entered into the decision to lay off. The committee shall then consider whether the evidence presented establishes a prima facie case that such factor or factors did enter significantly into the layoff decision. If the committee finds that a prima facie case has not been established, the layoff decision shall be found to have been proper and the hearing shall be ended. The committee shall report this finding to the chancellor and faculty member.

    (4) If the committee finds that a prima facie case has been established, the chancellor or designee shall be entitled to present evidence to support the layoff decision, and, thereafter, the faculty member may present evidence in rebuttal. On the basis of all the evidence presented, the committee shall make its determination as follows:

    (a) The committee shall first consider whether one or more of the above specified improper factors entered significantly into the decision to lay off. Unless the committee is convinced that such factors did significantly enter into that decision, the committee shall find the decision to have been proper.

    (b) If the committee believes that improper factors may have entered into the decision, but is convinced that the same decision would have been reached had the error(s) not occurred, it shall find the decision to have been proper.

    (c) If the committee is convinced that improper factors entered significantly into and affected the decision, it shall be found to be improper.

    (5) The Committee shall report its findings and recommendations to the chancellor and the faculty member.

    UWL 5.12 Review hearing

    (3) Denial that a prima facie case has been established requires a two-thirds vote of those hearing the case.

    (4) A majority vote of those hearing the case is required for recommendations in this section (4).

    UWS 5.13 Hearing procedure

    (1) If the faculty hearing committee requests, the chancellor shall provide legal counsel to the committee. The hearing shall be closed unless the faculty member whose position has been recommended for elimination requests an open hearing, in which case it shall be open (see s. 66.77. Stats.. Open Meeting Law).

    (2) The faculty hearing committee may, on motion of either party, disqualify any one of its members for cause by a majority vote. If one or more of the faculty hearing committee members disqualify themselves or are disqualified, the remaining members may select a number of other members of the faculty equal to the number who have been disqualified to serve, except that alternative methods of replacement may be specified in the rules and procedures adopted by the faculty establishing the standing committee under s. UWS 5.11. No faculty member who participated in the decision to lay off or who is a material witness may sit in on the hearing committee.

    (3) The faculty member shall be given at least 10 days notice of the hearing; such hearing shall be held not later than 20 days after the request except that this time limit may be extended by mutual consent of the parties or by order of the hearing committee.

    (4) The faculty member shall have access to the evidence on which the administration intends to rely to support the decision to lay off, and shall be guaranteed the following minimal procedural safeguards at the hearing:

    (a) A right to be heard in his or her own behalf;

    (b) A right to counsel and/or other representatives, and to offer witnesses;

    (c) A right to confront and cross-examine adverse witnesses;

    (d) A verbatim record of the hearing, which might be a sound recording, provided at no cost;

    (e) Written findings of fact and decision based on the hearing record; and

    (f) Admissibility of evidence governed by s. 227.10, Stats.

    (5) Adjournments shall be granted to enable either party to investigate evidence as to which a valid claim of surprise is made.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.14 Recommendations and review by the board

    The recommendations of the chancellor and the recommendations, if any, of the faculty hearing committee, shall be transmitted to the president of the university of Wisconsin system and to the board and acted upon as follows:

    (1) If the faculty member has not requested a hearing before the faculty hearing committee, the recommendation shall be deemed proper and shall be reported for information to the system president and the board.

    (2) If the faculty member has requested a hearing and the faculty hearing committee has found the decision to be proper, the report of the faculty hearing committee shall be forwarded to the system president and board by the chancellor with a recommendation. The faculty member may request a review by the board, and the board review panel may at its option grant a review. Unless the board review panel grants the request for review, the recommended findings of fact and decision of the standing faculty committee shall be the final decision of the board of regents.

    (3) If after a hearing, the faculty hearing committee's recommended findings of fact and decision are that the initial decision was improper, the chancellor shall review the matter and give careful consideration to the committee's finding. If the chancellor accepts the committee's findings the chancellor's decision shall be final. If the chancellor contests the recommended findings that the decision was improper, the verbatim record, a summary of the evidence and the recommended findings of law and decision shall be forwarded to the board review panel (see s. UWS 5.15). The chancellor and the faculty member shall be furnished with copies of this material and shall have a reasonable opportunity to file written exceptions to such summary and proposed findings and decision and to argue with respect to them orally and in writing before the board review panel. The board review panel shall hear and decide the case in accordance with s. 227.12, Stats. The decision of the board review panel shall be final.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.15 Board review

    A review panel shall be appointed by the president of the board of regents, and shall include 3 members of the board, and 2 nonvoting staff members from the academic affairs office of the university system. The panel shall review the criteria and reasoning of the chancellor and the findings and recommendations of the faculty hearing committee in each case forwarded for its review, and shall reach a decision on the recommendation to be approved. The decision shall be final and binding upon the chancellor and the faculty member affected unless one or more of the regent members of the review panel request that the decision be reviewed by the full board of regents, in which case the record shall be reviewed and a decision reached by the full board.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.16 Layoff status

    (1) A faculty member whose position has been eliminated or reduced in accordance with the provisions of this chapter shall, at the end of the appropriate notice period, be placed on layoff status, unless the layoff notice has been rescinded prior to that time.

    (2) The faculty member whose notice period has expired, and who is placed on layoff status shall remain on layoff status until:

    (a) For probationary faculty, the probationary appointment would have expired under its own terms;

    (b) For tenured faculty, one of the following occurs:

    1. Reappointment to the position from which laid off. Failure to accept such reappointment would terminate the faculty member's association with the university of Wisconsin system.

    2. Acceptance of an alternative continuing position in the university of Wisconsin system. Failure to accept an alternate appointment would not terminate the faculty member's association with the university of Wisconsin system.

    3. Resignation.

    4. Failure by the affected faculty member to notify the chancellor not later than December 1, of each year while on layoff status as to his/her location, employment status, and desire to remain on layoff status. Failure to provide such notice of desire to remain on layoff status shall terminate the faculty member's association with the university of Wisconsin system.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.17 Alternative employment

    Each institution shall devote its best efforts to securing alternative appointments within the institution in positions for which faculty laid off under this chapter are qualified under existing criteria. In addition, the university of Wisconsin system shall provide financial assistance for one year for faculty who are designated for layoff to readapt within the department or within another department of the institution, where such readaptation is feasible. Further, the university of Wisconsin system shall devote its best efforts to insure that faculty members laid off or terminated in any institution shall be made aware of openings within the system.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.18 Reappointment rights

    Each institution shall establish administrative procedures and policies to insure that where layoff or terminations occur for reasons of financial emergency, no person may be employed at that institution within 3 years to perform reasonably comparable duties to those of the faculty member laid off or terminated without first offering the laid off or terminated faculty member reappointment without loss of tenure, seniority and other rights. The 3 year period shall be computed from the effective date of layoff as specified in the original notice.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.19 Retention of rank and salary

    Any faculty member reappointed within 3 years after layoff or termination shall be reappointed with a rank and salary at least equivalent to the rank and salary when laid off or terminated, together with such other rights and privileges which may have accrued at that time; any faculty member relocated within an institution or within the university of Wisconsin system shall not have either rank or salary adversely affected except by consent at the time of relocation.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWS 5.20 Rights of faculty members on layoff

    A faculty member on layoff status in accord with the provisions of this chapter has the reemployment rights guaranteed by ss. UWS 5.18 and 5.19, and has the following minimal rights:

    (1) Such participation in fringe benefit programs as is allowed by state regulations governing rights of laid off state employees;

    (2) Such continued use of campus facilities as is allowed by policies and procedures established by the department and institution; and

    (3) Such participation in departmental and institutional activities as is allowed by guidelines established by the department and institution.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 5.20 Rights of faculty members on layoff

    Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.

    (1) The faculty member shall consult the department involved and the appropriate dean on his/her continued use of campus facilities.

    (2) The faculty member shall consult the department involved and the appropriate dean. Faculty members on layoff shall have participatory rights in faculty governance suspended and shall not be eligible for membership on the Faculty Senate nor on faculty committees.

    UWS 5.21 System-wide tenure

    The commitment to System-wide tenure within the former chapter 37 institutions shall be honored by those institutions for those eligible under s. 36.13 (4), Stats., 1973 in the event of layoff or termination under the provisions of this chapter.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 5.21 System-wide tenure

    Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.

    (1) The right of "Tenure within the System" applies only to faculty in the former Chapter 37 units and has reference only to employment rights within the Chapter 37 universities.

    (2) The tenure right of the faculty member initially is in the department or division of the Chapter 37 unit of the system in which the faculty member is currently employed.

    (3) Within the unit layoff of a tenured faculty member for fiscal reasons in one department or division gives to that faculty member a first claim upon any open position in another department or division for which he or she is professionally prepared and which involves duties her or she is judged to be competent to perform. The judgment on preparation and competence should be made by the employing department or division, subject to approval by the relevant administrative officers, including the chancellor. Denial of the opening to a tenured faculty member of the unit who has been laid off, and who believes himself/herself to be prepared and competent to fill the opening, must be based on documented evidence from the employing department or division which supports its judgment.

    UWS 5.22 Lack of faculty action

    If the faculty of an institution is given due notice of its rights and responsibilities under this chapter, and does not act, the chancellor may act as follows in lieu of the faculty action:

    (1) If a faculty committee provided for in s. UWS 5.04 is not established, the chancellor may consult those members or representatives of the faculty he considers appropriate to satisfy the intent of s. UWS 5.05. All departments potentially involved shall be consulted and representatives of the faculty may dispute the chancellor's recommendation for a state of financial emergency before the board.

    (2) If the faculty does not act to determine the form of seniority to be followed, the chancellor may designate the form. Such designation shall be effective campus wide and shall be made prior to the declaration by the board of a state of financial emergency.

    (3) If an affected department or program does not recommend individuals for layoff or termination following declaration of a state of financial emergency, the chancellor shall determine the individuals to be affected, using such advice as is deemed of value.

    (4) If a faculty hearing committee provided for in s. UWS 5.11 is not established by the faculty, the chancellor may appoint a Committee of faculty members to provide this function.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    Chapter 6: Complaints and Grievances (Faculty)

    UWS 6.01 Complaints

    The faculty of each institution, with the approval of the chancellor, shall establish rules and procedures to deal with allegations by the administration, students, academic staff members, other faculty members, classified staff members, or members of the public concerning conduct by a faculty member which violates university rules or policies, or which adversely affects the faculty member's performance of his/her obligation to the university but which allegations are not serious enough to warrant dismissal proceedings under ch. UWS 4. Such rules and procedures shall include, but not necessarily be limited to, the following:

    (1) Review of and administrative action on the complaint by the chancellor. Administrative action may include dismissing the complaint, invoking an appropriate disciplinary action, or referring the complaint to the standing faculty committee created under sub. (2).

    (2) Provision for a hearing before a standing faculty committee selected by the faculty of each institution in such manner as they shall determine. Such hearing shall be held at the request of the chancellor or, if the chancellor invokes a disciplinary action, at the request of the faculty member concerned.

    (3) Guarantee of adequate due process to include, but not limited to, written notification of the complaint, fair and complete hearing procedures, written statement of findings, transmittal of findings to the faculty member involved and appropriate administrative officials within a reasonable period of time, and prohibition of further jeopardy for the same alleged misconduct after a final decision.

    (4) Delineation of the powers of the faculty committee to make recommendations to the chancellor concerning disciplinary action, to recommend dismissal of the complaint, or to recommend referral of the complaint to the appropriate department or administrative officer.

    (5) The decision by the chancellor on the recommendations of the committee, or on the complaint in the absence of committee recommendation, shall be final except that the board at its option might grant a review on the record.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.

    UWL 6.01 Complaints

    (1) In an effort to reach informal resolution, problems concerning the improper conduct of faculty members should initially be addressed at the level (department/unit, college or university) where the problem originated. If the parties cannot resolve the problem, either party may present the problem to the chancellor. At this stage, the problem shall be classified a complaint requiring both review and action by the chancellor. In unusual cases, the problem may be immediately classified a complaint and presented to the chancellor without attempts at informal resolution.

    (2) The standing faculty committee to hear complaints against faculty members shall be Committee on Complaints, Grievances, Appeals and Academic Freedom, as established by Faculty Senate Bylaws. The chancellor or a designated administrative representative shall be responsible for drafting the formal complaint, gathering documentary evidence, and securing witnesses. The chancellor shall initiate the hearing process by submitting the formal complaint and the supporting materials (letters, memos, evidence, preliminary findings, etc.) To the CGAAF Committee. If the chancellor invokes a disciplinary action or concurs with a previous disciplinary action, the disciplined member may request a hearing of the complaint by the CGAAF Committee. The burden of proof in a complaint shall rest with the chancellor or the designated administrative representative.

    (3) The Faculty Senate Bylaws shall specify the guarantees of due process and procedure for the fair hearing of a complaint. The CGAAF Committee may establish additional rules and guidelines regarding hearings. The informal resolution of faculty conduct problems should ordinarily be completed during the semester in which the problem surfaces. Formal complaints shall be filed with the CGAAF Committee within 30 days beyond the end of the semester in which they are alleged to have occurred. If the chancellor's action invokes or continues a disciplinary action in a complaint case without a hearing, the disciplined faculty member may request a hearing of the complaint by the CGAAF Committee. This request shall be made within 20 days of notice of the chancellor's decision (25 days if notice is by first class mail). Such a hearing shall be held no later than 20 days after the request except that this time limit may be extended by mutual consent of the parties or by order of the CGAAF Committee.

    (4) (a) At least two-thirds of the members hearing the case must concur in a finding of misconduct and in a recommendation of severe sanctions if such a finding and recommendation are to be reported to the chancellor. Otherwise, a finding of no serious misconduct warranting severe sanctions shall be reported. The committee may by majority vote of those hearing the case recommend a minor sanction. If the committee finds sanctions are not warranted, it shall recommend dismissal of the complaint. But the committee may recommend referral to appropriate officials or groups for informal resolution of remaining issues.

    (b) Procedures:

    1. The committee shall transmit its findings of fact and recommendations in writing to the chancellor and faculty member involved within 10 days after the conclusion of its proceedings.

    2. Following the final decision of the chancellor, the faculty member involved shall not be charged again for the same instance(s) of alleged misconduct.

    3. Within 10 days after the transmittal of the findings and recommendations of the committee, the faculty member or the complainant may file written objections with the chancellor.

    4. Any objections must be based solely on the record as developed at the hearing before the committee.

    5. The chancellor shall render a decision as soon as practical after the expiration of this second 10 day period and shall transmit the decision to the faculty member, the complainant and the committee. If the chancellor does not accept the committee recommendation, he/she shall provide the committee with a written statement of the reasons for his/her disagreement. Failure to accept the committee's recommendations should be rare and the reasons compelling.

    6. In exceptional cases, the parties involved in the complaint may request the Board to grant a review on the record. (UWS 6.01(5))

    UWS 6.02 Grievances

    The faculty of each institution shall designate a committee or other appropriate faculty body to hear faculty grievances under rules and procedures established by the faculty of the institution in conjunction with the chancellor. The committee or faculty body shall have the power to conduct hearings and fact-finding related to the grievance and to recommend solutions to the grievance to the chancellor. If the committee or other body makes recommendations to the chancellor, the chancellor shall act on the recommendations within 30 days. The decision by the chancellor on the recommendation of the committee, or on the grievance in the absence of committee recommendation, shall be final except that the board, upon petition of a grievant or the committee or other faculty body, may grant a review on the record.

    History: Cr. Register, January, 1975, No. 229, eff. 2-1-75; am. Register, April, 1989, No. 400, eff. 5-1-89.

    UWL 6.02 Grievances

    (1) The faculty committee to investigate grievances of faculty members shall be the Committee on Complaints, Grievances, Appeals, and Academic Freedom, as authorized by the Faculty Senate Bylaws.

    (2) A grievance is a personnel problem involving a faculty member's expressed feeling of unfair treatment or dissatisfaction with aspects of his/her working conditions within the university which are outside his/her control and which are not covered by other personnel rules. A grievance relates to such matters as academic freedom, salaries, promotions, assignment of teaching duties, assignment of space or other facilities, and unethical or improper action by administrators. In a grievance a faculty member claims substantial personal harm and seeks redress for himself or herself.

    (3) In an attempt to reach informal resolution, faculty problems concerning unfair and improper working conditions should initially be addressed at the level (department/unit, college or university) where the problem originated. If the parties cannot resolve the grievable problem or if the faculty member wishes to appeal the informal resolution, the faculty member may petition in writing the Committee on Complaints, Grievances, Appeals, and Academic Freedom for redress. In unusual cases, the grievance may be presented to the committee without attempts at informal resolution.

    (4) The faculty member who grieves is responsible for preparing the grievance petition, for documenting evidence, and for securing witnesses. The written petition shall set forth in detail the nature of the grievance, shall identify parties to the grievance and, at the option of the grievant, may include a statement describing appropriate redress. The grievant shall initiate the grievance process by submitting the petition along with the supporting materials (letters, memos, data, evidence, preliminary findings, etc.) to the CGAAF Committee. The burden of proof in a grievance shall rest with the faculty member who has filed the grievance.

    (5) The informal resolution of problems involving unfair treatment or improper working conditions should ordinarily be completed during the semester in which the problem surfaces. Formal grievances shall be filed with the CGAAF Committee within 30 days beyond the end of the semester in which they are alleged to have occurred. The resulting hearing shall be held no later than 20 days after the grievance is filed except that this time limit may be extended by mutual consent of the parities or by order of the CGAAF Committee.

    (6) Submission of a grievance petition shall not automatically entail investigation or detailed consideration thereof. The committee shall have the right to decide whether or not the facts merit a formal hearing. The committee may reject the case if the petition is seriously flawed; if the alleged personal harm is not substantial, or if the grievant has not made a good-faith effort toward informal resolution.

    (7) The Faculty Senate Bylaws shall specify the guarantees of due process and procedure for the fair hearing of a grievance. The CGAAF Committee may establish additional rules and guidelines regarding hearings.

    (8) The committee shall report its findings and recommendations to the chancellor, to the Executive Committee of the Faculty Senate, to the grievant, and to all parties to the grievance within ten days after the conclusion of its proceedings.

    (9) Within ten days after the transmittal of the findings and recommendations of the committee, a party to the grievance may file written objections with the chancellor. Any objections must be based solely on the record as developed at the hearing before the committee.

    (10) The chancellor shall render a decision as soon as practical after the expiration of this second ten day period, but no later than 30 days following receipt of the committee's recommendation(s), and shall transmit the decisions to the grievant, to the party against whom the grievance has been filed, to the Faculty Senate Executive Committee, and to the CGAAF Committee. If the chancellor does not accept the committee recommendation, he/she shall provide the Faculty Senate Executive Committee and the CGAAF Committee with a written statement of reasons.

    Chapter 7: Dismissal of Faculty in Special Cases

    UWS 7.01 Declaration of policy

    University faculty members are responsible for advancing the university's missions of teaching, research and public service. The fulfillment of these missions requires public trust in the integrity of the institution and in all members of the university community. The university's effectiveness, credibility, and ability to maintain public trust are undermined by criminal activity that poses a substantial risk to the safety of others, that seriously impairs the university's ability to fulfill its missions, or that seriously impairs the faculty member's fitness or ability to fulfill his or her duties. Situations involving such serious criminal misconduct by faculty members must be addressed and resolved promptly to ensure that public trust is maintained and that the university is able to advance its missions. The board of regents therefore adopts the procedures in this chapter for identifying and responding to those instances in which a faculty member has engaged in serious criminal misconduct.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 7.02 Serious criminal misconduct

    (1) In this chapter, "serious criminal misconduct" means:

    (a) Pleading guilty or no contest to, or being convicted of a felony, in state or federal court, where one or more of the conditions in par. (b), (c), (d) or (e) are present, and the felony involves any of the following:

    1. Causing serious physical injury to another person.

    2. Creating a serious danger to the personal safety of another person

    3. Sexual assault.

    4. Theft, fraud or embezzlement.

    5. Criminal damage to property.

    6. Stalking or harassment.

    (b) A substantial risk to the safety of members of the university community or others is posed.

    (c) The university's ability, or the ability of the faculty member's colleagues, to fulfill teaching, research or public service missions is seriously impaired.

    (d) The faculty member's fitness or ability to fulfill the duties of his or her position is seriously impaired.

    (e) The opportunity of students to learn, do research, or engage in public service is seriously impaired.

    (2) Conduct, expressions, or beliefs which are constitutionally protected, or protected by the principles of academic freedom, shall not constitute serious criminal misconduct.

    (3) Except as otherwise expressly provided, a faculty member who has engaged in serious criminal misconduct shall be subject to the procedures set forth in ss. UWS 7.03 to 7.06.

    (4) Any act required or permitted by ss. UWS 7.03 to 7.06 to be done by the chancellor may be delegated to the provost or another designee pursuant to institutional policies approved by the board of regents under s. UWS 2.02.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 7.025 Definition

    In this chapter, "consulting" means thoroughly reviewing and discussing the relevant facts and discretionary issues.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 7.03 Dismissal for cause

    (1) Any faculty member having tenure may be dismissed only by the board and only for just cause and only after due notice and hearing. Any faculty member having a probationary appointment may be dismissed prior to the end of his or her term of appointment only by the board and only for just cause and only after due notice and hearing.

    (2) Just cause for dismissal includes, but is not limited to, serious criminal misconduct, as defined in s. UWS 7.02.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 7.04 Reporting responsibility

    Any faculty member who is charged with, pleads guilty or no contest to, or is convicted of a felony of a type listed in s. UWS 7.02 (1) (a), in state or federal court, shall immediately report that fact to the chancellor.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 7.05 Expedited process

    (1) Whenever the chancellor of an institution within the University of Wisconsin System receives a report under s. UWS 7.04 or other credible information that a faculty member has pleaded guilty or no contest to, or has been convicted of a felony of a type listed in s. UWS 7.02 (1) (a), in state or federal court, the chancellor shall:

    (a) Within 3 working days of receipt of the report or information, inform the faculty member of its receipt and, after consulting with appropriate institutional governance representatives, appoint an investigator to investigate the report or information and to advise the chancellor as to whether to proceed under this section or ch. UWS 4.

    (b) Upon appointing an investigator and notifying the faculty member, afford the faculty member 3 working days in which to request that the investigator be disqualified on grounds of lack of impartiality or other cause. In the event that the chancellor determines that a request for disqualification should be granted, the chancellor shall, within 2 working days of the determination, appoint a different investigator. The faculty member shall have the opportunity to request that any second or subsequent investigators be disqualified on grounds of lack of impartiality or other cause.

    (2) The investigator shall complete and file a report with the chancellor not later than 10 working days following the investigator's appointment.

    (3) Within 3 working days of receipt of the investigator's report, the chancellor shall consult with appropriate institutional governance representatives and decide whether to seek dismissal of the faculty member pursuant to this chapter, to seek dismissal of the faculty member pursuant to ch. UWS 4, to seek an alternative disciplinary sanction, or to discontinue the proceedings. The charges shall be served on the faculty member in the manner specified in s. UWS 4.02 (3).

    (a) If the chancellor decides to seek dismissal of the faculty member pursuant to this chapter, the chancellor shall file charges within 2 working days of reaching the decision.

    (b) If the chancellor decides to seek dismissal of the faculty member pursuant to ch. UWS 4, the chancellor shall file charges and proceed in accordance with the provisions of that chapter and implementing institutional policies. If, during the course of such proceedings under ch. UWS 4, the chancellor receives a report under s. UWS 7.04 or other credible information that the faculty member has pleaded guilty or no contest to or has been convicted of a felony of a type listed in s. UWS 7.02 (1) (a), and one or more of the conditions listed in s. UWS 7.02 (1) (b) through (e) are present, the chancellor may, at that point, elect to follow the procedures for dismissal pursuant to this chapter.

    (c) If the chancellor decides to seek an alternative disciplinary sanction, the procedures under ch. UWS 6, and implementing institutional policies, shall be followed.

    (4) If charges seeking dismissal are filed under sub. (3) (a), the faculty member shall be afforded a hearing before the institutional standing committee charged with hearing dismissal cases and making recommendations under s. UWS 4.03. The hearing shall provide the procedural guarantees enumerated under ss. UWS 4.05 to 4.06, except that the hearing shall be concluded, and written findings and a recommendation to the chancellor shall be prepared, within 15 working days of the filing of charges.

    (5) (a) Within 3 working days of receipt of the findings and recommendation of the committee under sub. (4), the chancellor shall prepare a written recommendation on the matter.

    (b) If the recommendation is for dismissal, the chancellor shall transmit it to the board for review.

    (c) Disciplinary action other than dismissal may be taken by
    the chancellor, whose decision shall be final, unless the board at its option grants a review on the record at the request of the faculty member.

    (6) Upon receipt of the chancellor's recommendation, the full board shall review the record before the institutional hearing committee, and shall offer an opportunity for filing exceptions to the recommendation, and for oral argument. The full board shall issue its decision on the matter within 15 working days of receipt of the chancellor's recommendation.

    (7) If a faculty member whose dismissal is sought under sub. (3) (a) does not proceed with the hearing before the institutional hearing committee as provided in sub. (4), the board shall take appropriate action within 10 working days of receipt of the statement of charges and the recommendation of the chancellor.

    (8) The burden of proving just cause in this chapter shall be clear and convincing evidence.

    (9) The chair of the faculty hearing body, subject to the approval of the chancellor, may extend the time limits set forth in this section if the parties are unable to obtain, in a timely manner, relevant and material testimony, physical evidence or records, or where due process otherwise requires.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 7.06 Temporary suspension without pay

    (1) The chancellor, after consulting with appropriate faculty governance representatives, may suspend a faculty member from duties without pay pending the final decision as to his or her dismissal where:

    (a) The faculty member has been charged with a felony of a type listed in s. UWS 7.02 (1) (a) and the chancellor, after following the provisions of s. UWS 7.05 (1) through (3), finds, in addition, that there is a substantial likelihood 1) that one or more of the conditions listed in s. UWS 7.02 (1) (b) through(e) are present, and 2) that the faculty member has engaged in the conduct as alleged; or

    (b) The faculty member is unable to report for work due to incarceration, conditions of bail or similar cause; or

    (c) The faculty member has pleaded guilty or no contest to or been convicted of a felony of a type listed in s. UWS 7.02 (1) (a) and one or more of the conditions listed in s. UWS 7.02 (1) (b) through (e) are present.

    (2) If the chancellor finds that the conditions in sub. (1) are present, he or she shall immediately notify the faculty member, in writing, of the intent to impose a suspension without pay, and shall, within 2 working days, provide the faculty member with an opportunity to be heard with regard to the matter. The faculty member may be represented by counsel or another at this meeting.
    (3) If, after affording the faculty member the opportunity to be heard, the chancellor determines to suspend without pay, the chancellor shall inform the faculty member of the suspension, in writing. The chancellor's decision to suspend without pay under this section shall be final, except that:

    (a) If the chancellor later determines that the faculty member should not be dismissed, the chancellor may discontinue the proceedings, or may recommend a lesser penalty to the board, and, except as provided in par. (c), shall order the payment of back pay for any period of the suspension for which the faculty member was willing and able to report for work.

    (b) If the board later determines that the faculty member should not be dismissed, the board may order a lesser penalty and shall order the payment of back pay for any period of the suspension for which the faculty member was willing and able to report for work.

    (c) If the chancellor or board later determines, under par. (a) or (b), to recommend or impose as a lesser penalty the suspension of the faculty member without pay, then any period of suspension without pay so recommended or ordered shall be offset by the period of any suspension without pay actually served by the faculty member.

    (4) If, after affording the faculty member the opportunity to be heard, the chancellor determines that the conditions in sub. (1) are not present or that a suspension without pay is otherwise not warranted, the provisions of s. UWS 4.09 shall apply.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    Chapter 8: Unclassified Code of Ethics

    UWS 8.01 Declaration of policy

    In view of the special relationship of the university of Wisconsin system to the state and to affirm as public policy within the system certain common standards to prevent conflicts of interest, the board hereby adopts the following code of ethics for unclassified staff pursuant to ss. 19.45 (11) (b) and 36.23, Stats.

    (1) Every member of the unclassified staff at the time of appointment makes a personal commitment to professional honesty and integrity, to seek knowledge and to share that knowledge freely with others. Such a commitment is essential for the university to perform its proper function in our society and to ensure continued confidence of the people of this state in the university of Wisconsin system and its personnel. It is a violation of this commitment for unclassified staff members to seek financial gain for themselves, their immediate families or organizations with which they are associated through activities that conflict with the interests of the university of Wisconsin system.

    (2) The board of regents, as a matter of policy, recognizes that:

    (a) Members of the unclassified staff have personal and economic interests in the decisions and policies of national, state and local government.

    (b) Members of the unclassified staff retain their rights as citizens to interests of a personal or economic nature.

    (c) The code of ethics must distinguish between those minor and inconsequential conflicts which are unavoidable in a free society and those conflicts which are substantial and material.

    (3) In adopting the standards of conduct set forth in this chapter, it is the board's purpose to prohibit only those activities which will result in a conflict between the personal interests of an unclassified staff member and that staff member's public responsibilities to the university of Wisconsin system. It is not the board's purpose to prohibit an unclassified staff member from freely pursuing those teaching, research, professional and public service activities which will not result in such a conflict, nor to prohibit a staff member from accepting any compensation, fees, honoraria or reimbursement of expenses which may be offered in connection therewith.

    Note: This subsection, which is new, should be read in conjunction with new UWS 8.025 concerning outside activities. The approach reflects the view that the major inquiry in regard to the acceptability of outside activities is whether they may or do present conflicts with, or detract from performance of university duties and responsibilities.

    History: Cr. Register, June, 1975, No. 234, eff. 7-1-75; r. (1) (a) 1. and 2. and (b) 4., renum. (1), (1) (a) (intro.) and (1) (b) 1., 2. and 3. to be (intro), (1) and (2) (a) to (c) and am., cr. (3), Register, January, 1986. No. 361, eff. 2-1-86.

    UWL 8.01 Declaration of policy

    To ensure awareness, to promote understanding, and to affirm institutional commitment towards compliance with the University of Wisconsin System Code of Ethics for Unclassified Staff, the chancellor shall incorporate reference to institutional guidelines embodied in UWS 8 and UWL 8, as stated in the UW-L Faculty and Academic Staff Handbook, in letters of appointment to all unclassified employees.

    UWS 8.02 Definitions

    In this chapter:

    (1) "Academic staff" means professional and administrative personnel other than faculty with duties, and subject to types of appointments, that are primarily associated with higher education institutions or their administration.

    (2) "Anything of value" means any money or property, favor, service, payment, advance, forbearance, loan, or promise of future employment, but does not include:

    (a) Any salary, expenses or other compensation received by a member of the unclassified staff from the university for his or her services;

    (b) Any compensation, honoraria or expenses derived from outside activities permitted under this chapter;

    (c) Political contributions which are reported under ch. 11, Stats.; or

    (d) Hospitality extended for a purpose unrelated to university business.

    (3) "Associated," when used with reference to an organization, means that a person or a member of a person's immediate family is a director, officer or trustee or owns or controls, directly or indirectly, and severally or in the aggregate, at least 10% of the outstanding equity.

    (4) "Board" means the board of regents of the university of Wisconsin system.

    (5) "Chancellor" means the chief executive officer of a university, the university of Wisconsin centers or the university extension.

    (6) "Confidential university information" means information relating to university financial operations or personnel which is obtained from university records or in the course of official university business and which is not available to the general public upon request.

    Note: This definition is relocated from current UWS 8.03 (1) (c).

    (7) "Contracting personnel" means those persons who are designated in writing by the chancellor of an institution or the president of the system to negotiate, review, approve, or sign contracts for the purchase of goods and services on behalf of an institution, the university system, or the board. The term does not include persons who do either or both of the following:

    (a) Contract only with outside agencies for research or for services to be performed by the university; or

    (b) Negotiate, review, approve or sign only employment contracts.

    Note: This subsection revises current UWS 8.02 (1) (j), which is repealed.

    (8) "Faculty" means persons who hold the rank of professor, associate professor, assistant professor or instructor in an academic department or its functional equivalent in an institution.

    (9) "Immediate family" means:

    (a) An unclassified staff member's spouse; and

    (b) Any person who receives, directly or indirectly, more than one half of his or her support from an unclassified staff member or from whom an unclassified staff member receives, directly or indirectly, more than one half of his or her support.

    (10) "Institution" means any university or an organizational equivalent designated by the board.

    (11) "Limited appointees" means persons holding special appointments to administrative positions designated in s. 36.17, Stats., and ch. UWS 15, and who serve at the pleasure of the board or of the authorized official making the appointment.

    (12) "Organization" means any corporation, partnership, proprietorship, firm, enterprise, franchise, association, trust or other legal entity other than an individual or body politic.

    (13) "President" means the president of the university of Wisconsin system.

    (14) "Secretary" means the secretary of the board.

    (15) "Unclassified staff" or "staff members" means faculty, academic staff and limited appointees of the university of Wisconsin system who are not subject to subch. III, ch. 19, Stats.

    (16) "Vice President" means system administration officials with the title "Vice President" or other administrative officers with similar duties.

    History: Cr. Register, June, 1975, No. 234, eff. 7-1-75; r. (1) (f), (I) and (j), renum. (1) (intro.), (1) (a) to (e), (g), and (h) to be (intro.), (4), (14), (13), (16), (5), (8) and (1) and am. (intro.), (5), (8) and (16), cr. (2), (3), (6), (7), (9) to (12) and (15), Register, January, 1986, No. 361, eff. 2-1-86.

    UWS 8.025 Outside activities and interests; reports

    (1) Outside activities. Members of the unclassified staff are free to engage in outside activities, whether or not such activities are remunerative or related to staff members' fields of academic interest or specialization. However, no member of the unclassified staff may engage in an outside activity if it conflicts with his or her public responsibilities to the university of Wisconsin system or the institution at which the unclassified staff member is employed.

    (2) Reportable outside activities.

    (a) The following outside activities must be reported to a staff member's dean, director or other appropriate administrator:

    1. Associations with organizations, as defined in s. UWS 8.02 (3) and (12), related to staff members' fields of academic interest or specialization;

    2. Private remunerative relationships between staff members and nongovernmental sponsors of university research for which the staff member is a principal investigator; and

    3. Remunerative outside activities in a staff member's field of academic interest or specialization, including but not limited to consulting, and whether the staff member earns for such activities $5,000 or more in a year from a single source.

    (b) Each unclassified staff member engaging in outside activities reportable under this section shall annually, on or before April 30, file a report of outside activities with his or her dean, director or other appropriate administrator.

    (c) If during the year, significant changes in a staff member's reportable outside activities occur, the staff member shall immediately inform, in writing, his or her dean, director or other appropriate administrator. This information shall be placed on file with the staff member's annual statement of outside interests.

    (3) Institutional policies. The unclassified staff members of each institution, with the approval of the chancellor, shall develop policies and procedures which shall, at a minimum, provide:

    (a) Standards concerning the use of university facilities and personnel in connection with outside activities;

    (b) Standards concerning absence from regular duties for the purpose of engaging in outside activities;

    (c) Guidelines identifying types or categories of outside activities which may result in a material conflict of interest; and

    (d) For such reports of anticipated outside activities as are necessary to insure compliance with s. UWS 8.04.

    (4) Reports public. Information required to be reported under this section shall, unless otherwise privileged by law, be a matter of public record.

    Note: This section addresses outside activities. Several explanatory points provide relevant background:

    1. The section addresses matters heretofore handled under UWS 7 and 14, which are accordingly repealed. This change in the scope of UWS 8 was made in response to legislative suggestion.

    2. The rule recognizes the right of unclassified staff members to engage in outside activities, whether or not the activities are remunerative or related to staff members' fields of academic interest. However, in order to assure that such activities do not conflict with staff members' responsibilities to the university of Wisconsin system, or the institution at which the staff member serves, the rule provides that certain types of activities must be reported to staff members' deans, directors or other appropriate administrators. These reportable outside activities include associations with organizations related to staff members' fields of academic interest or specialization, certain private remunerative relationships between staff members and non-governmental research sponsors, and remunerative outside activities in staff members' fields of academic interest or specialization and whether the staff member earns $5,000 or more in a year from a single source. The language retains the requirements currently in UWS 7 and 14 that institutions develop policies to regulate the use of university facilities in connection with outside activities, and adds a similar requirement pertaining to use of personnel. It provides a more explicit requirement for institutional development of standards on absence from university duties, and for reports on outside activities which staff members anticipate they will perform during the academic year.

    3. Guidelines and suggestions will be provided to institutions for implementation of the Regent rule. These guidelines would include examples of standards concerning use of university facilities and absence from university duties that might be adopted under UWS 8.025 (3) (a) and (b); categories or types of activities which might present a material conflict of interest under UWS 8.025 (3) (c); reporting procedures under UWS 8.025 (4); and other relevant information.

    4. The rule incorporates and codifies the result of litigation between the Madison Capital Times and the UW-Madison. That case, decided in Dane County Circuit Court in the spring of 1983, held that UW-Madison reports of outside activities required under UWS 7 and 14 were records open to public inspection. This section continues the existence of the reporting requirements (UWS 8.025 (2)) and declares the public nature of the reports (UWS 8.025 (4)), except in those instances where other legal principles establish a privilege for the information contained therein.

    5. UWS 8.025 (1) indicates that the Regents' purpose is not to dictate the financial or topicalterms of outside activity but to ensure that it does not present conflicts of interest or time with university duties. (See also Note to UWS 8.01 (3)).

    6. Forms required under this section for the reporting of outside activities may be obtained from the Office of the Secretary to the Board of Regents, Room 1860 Van Hise Hall, 1220 Linden Drive, Madison, Wisconsin 53706, at no charge.

    History: Cr. Register, January, 1986, No. 361, eff. 2-1-86.

    UWL 8.025 General Guideline for Outside Activities

    (1) Outside Activities. The general guideline for an unclassified staff member at this university concerning outside activities as defined in UWS 8.025 (1) is that the activities should enhance his or her contributions to, and should not detract from his or her obligations to the university, the UW System, and the community.

    The following activities, although they do not comprise an exhaustive list, might present material conflicts between a staff member's private interests and public responsibilities to this university or the UW System: Extensive or recurring paid consulting. Appearing as an expert witness. Associations with organizations as defined in UWS 8.02 (3) related to a staff member's field of academic interest or specialization. University research funded in whole or part by non-governmental sponsors through contract, grant, or restricted gift in which the staff member has a financial interest in the sponsor or the research results. Activities involving a private remunerative relationship between a staff member and a non-governmental sponsor or university research for which the staff member is a principal investigator. Situations which may result in research that would normally be carried out at the university being diverted to a private establishment to the detriment of the university. Situations giving a private entity exclusive access to information resulting from a staff member's university research. Situations in which a staff member directs a student into research from which the member expects to receive financial gain.

    (2) Annual Reporting Of Outside Activities

    (b) The dean, director, or other appropriate administrator shall distribute by April 1 of each year to each unclassified staff member with at least a half-time appointment a form on which to indicate any reportable outside activities specified in UWS 8.025 (2). Each unclassified staff member with at least a half-time appointment shall return the form to the appropriate administrator by April 30 to indicate any reportable outside activities in which the staff member has engaged during any portion of university employment since the preceding May 1. An unclassified staff member who has been hired since the preceding May 1 shall also indicate any reportable activities which have extended into any portion of university employment even though he or she began an activity before the period of employment.

    (3) Institutional Policies.

    (b) Absence from regular duties for the purpose of engaging in outside activities. Absence from campus to engage in activities unrelated to an unclassified staff member's conditions of university assignment shall be permitted only if such absence does not interfere with class schedules, assigned work hours, and the performance of professional duties. When an activity appears to be in conflict with time appropriately allocated to the performance of university duties, an unclassified staff member may seek the consultation or advice of the Ethics Advisory Committee and/or may seek prior approval of absence from campus from the dean, director, or other appropriate administrator. Failure of an unclassified staff member to conform to university policies on timely fulfillment of professional duties shall subject him or her to the sanctions specified in UWS 8.05.

    (c) Absence for jury duty. An unclassified staff member who has been summoned to jury duty shall inform the chairperson or immediate supervisor of the period of time and other circumstances of the duty which might conflict with the staff member's regular schedule of performing responsibilities to the university. Reimbursements, fees, and other payments for jury duty shall not be deducted from nor in any way combined with a staff member's university salary.

    UWS 8.03 Standards of conduct

    (1) Personal Gain From University Position.

    (a) No member of the unclassified staff may, in a manner contrary to the interests of the university of Wisconsin system, use or attempt to use his or her public position or state property, including property leased by the state, to gain or attempt to gain anything of substantial value for the private benefit of the staff member, his or her immediate family or any organization with which the staff member is associated.

    (b) No member of the unclassified staff may solicit or accept from any person or organization anything of value pursuant to an express or implied understanding that his or her conduct of university business would be influenced thereby.

    (c) No member of the unclassified staff may intentionally use or disclose confidential university information in any way that could result in the receipt of anything of value for himself or herself, for his or her immediate family or for any other person or organization with which the staff member is associated.

    (2) Contracting And Leasing.

    (a) No member of the unclassified staff, member of his or her immediate family, nor any organization with which an unclassified staff member is associated, may enter into any contract or lease involving payments of $3,000 or more within a 12 month period, derived in whole or in part from university funds, if the staff member is in a position to approve or influence, in his or her official capacity, the university's decision to enter into the contract or lease.

    (b) If the staff member is not in a position to approve or influence the university's decision, the staff member may enter into a contract or lease described in par. (a) if the staff member first makes written disclosure of the nature and extent of any relationship described in par. (a) to the dean, director, or other appropriate administrator and he or she approves. The dean, director or other appropriate administrator shall approve a staff member's interest in a lease or contract unless he or she determines that the staff member's personal interest in the agreement will conflict substantially and materially with the staff member's discharge of his or her university responsibilities.

    (c) This subsection does not affect the application of s. 946.13, Stats.

    Note: This subsection repeals and amends provisions on contracting and leasing which are found in current UWS 8.03 (1).

    (3) Nepotism.

    (a) No member of the unclassified staff may participate, formally or informally, in the decision to hire, retain, grant tenure to, promote or determine the salary of a member of his or her immediate family.

    (b) No member of the unclassified staff may, in the supervision or management of another unclassified staff member who is a member of his or her immediate family, give preferential or favored treatment.

    (4) Student Research Protection. A member of the unclassified staff shall inform students engaged in research under his or her supervision of any financial interest which the unclassified staff member has in the research activity, including, but not limited to, financial arrangements involved in the direct support of the activity, agreements made by the unclassified staff member to obtain data for the research, or agreements concerning copyright or patent rights arising from the research.

    (5) Waiver. The board may, upon written request and by action within a reasonable time of receipt thereof, waive any provision of this section whenever its literal application would be adverse to the best interests of the university of Wisconsin system or would work an unreasonable hardship on a member of the unclassified staff.

    History: Cr. Register, June, 1975, No. 234, eff. 7-1-75; r. and recr. Register, January, 1986, No. 361, eff. 2-1-86.

    UWL 8.03 Standards of Conduct

    (4) Protection Of Student And Non-Student Research. In addition to adhering to UWS 8.04 (4), an unclassified staff member who intends to limit the use of information derived from research under his or her supervision shall advise each student and non-student engaging in a project of any agreements which restrict them from communicating freely, publishing, copyrighting, patenting, or otherwise benefiting from the research.

    UWS 8.035 Institutional ethics committee

    Each institution shall establish a committee, or designate an existing committee, whose function shall be to provide to my member of the unclassified staff consultation and advice on the application of this chapter. Committee deliberations and actions upon requests for consultation or advice shall be in meetings not open to the public. Records obtained in connection with requests for consultation or advice shall be considered confidential university information. However, summaries of advice provided by institutional ethics committees, which do not disclose the identities of persons requesting such advice, shall be made public in an annual report.

    History: Cr. Register, January, 1986, No. 361, eff. 2-1-86.

    UWL 8.035 The ethics advisory committee

    (1) The chancellor shall appoint an ethics advisory committee to provide consultation and advise to any member of the unclassified staff on the application of this chapter. The consultation and advice shall be of a general nature, except in the case of an unclassified staff member seeking to avoid a conflict between his or her personal interests and responsibilities to the university. However, it shall not be a function of this committee to advise an administrator in the making of the decision to allow or to disallow a staff member from conducting an outside activity.

    (2) The committee shall consist of six members; one from each of the four colleges chosen from a list of faculty nominated by the Faculty Senate and two from a list of academic staff nominated by the Academic Staff council. The chancellor shall appoint the chairperson. Terms of appointment shall be for three years and staggered so that two members retire and are replaced each year. To anticipate resignations, the chancellor shall appoint alternates from the lists of nominees.

    (3) Committee deliberations and actions upon requests for consultation or advice shall be in meetings not open to the public. Records obtained in connection with requests for consultation or advice shall be considered confidential university information. The committee shall keep only summary minutes of meetings concerning consultation and advice and of its deliberations and actions. The committee shall inform the staff member in writing of its decision and shall return to the staff member any written materials and other resources he or she has given to the committee while requesting consultation and advice.

    (4) The committee shall use its minutes to prepare for the chancellor an annual report which summarizes its business but does not disclose the identities of persons who have requested consultation and advice.

    UWS 8.04 Action to avoid possible conflict

    (1) When it appears that a material conflict may arise between the personal interests of a staff member and his or her public responsibilities to the university, the staff member shall notify his or her dean, director, or other appropriate administrator by submitting a written statement describing the nature of the possible conflict.

    (2) Within 15 days after receipt of the statement, the dean, director or other appropriate administrator shall advise the staff member in writing that:

    (a) There is no conflict prohibited by this chapter and the staff member may proceed; or

    (b) There may be a conflict and further consultation is necessary prior to reaching a determination; or

    (c) There is a conflict which must be resolved in one of the following ways:

    1. The staff member shall not proceed with his or her university duties which result in the conflict, so long as the conflict remains; or

    2. The staff member shall not proceed with his or her personal interests which result in the conflict, so long as the conflict remains.

    (3) If the staff member is advised that sub. (2) (c) 1 or 2 applies to his or her case, the staff member, within 15 days after notice of the decision of the dean, director, or other appropriate administrator, may appeal the decision under ch. UWS 6 or 13.

    History: Cr. Register, June, 1975, No. 234, eff. 7-1-75; r. and recr. Register, January, 1986, No. 361, eff. 2-1-86.

    UWL 8.04 Action to avoid possible conflict

    (1) When it appears that a material conflict may arise between the personal interests of an unclassified staff member and his or her responsibilities to the university, the staff member may seek an advanced ruling from the dean, director, or appropriate administrator on the propriety of continuing an activity that must be reported by the annual filing of the outside interests and activities form required in UWS 8.025 (2)(a)3.and (2)(b). Prior to informing the appropriate administrator of such activity, the staff member may seek an advisory opinion from the Ethics Advisory Committee. The opinion of the committee shall be confidential, and may, at the discretion of the staff member, be communicated to his or her chairperson or immediate supervisor as well as to the appropriate administrator.

    (2) Upon receiving a report of an unclassified staff member's activity that appears to be a material conflict of interest the dean, director, or appropriate administrator shall advise the staff member according to the procedure outlined in UWS 8.04 (2).

    UWS 8.05 Sanctions

    (1) Any person may file a written complaint charging a violation of this chapter. The complaint shall state the name of the member of the unclassified staff alleged to have committed a violation and describe the violation.

    (2) A complaint involving a member of the unclassified staff serving within system administration shall be submitted to the president for investigation and disposition in accordance with system administration policies and procedures adopted pursuant to ch. UWS 11 or s. UWS 13.01, as appropriate.

    (3) A complaint involving a member of the faculty or the academic staff serving at an institution of the university of Wisconsin system shall be submitted to the appropriate chancellor.

    (a) Where the complaint is against a faculty member, the chancellor shall proceed under the policies and procedures adopted by his or her institution pursuant to ch. UWS 4 or s. UWS 6.01, as appropriate.

    (b) Where the complaint is against a member of the academic staff, the chancellor shall proceed under the policies and procedures the institution has adopted pursuant to ch. UWS 11 or s. UWS 13.01, as appropriate.

    (4) Complaints involving limited appointees serving at an institution of the university of Wisconsin system shall be submitted to the official who made the appointment and that official shall take appropriate action.

    (5) Notwithstanding the other provisions of this section, the president or a chancellor may investigate possible violations of this chapter whenever the circumstances warrant and proceed in accordance with subs. (1) to (4).

    Note: For possible criminal penalties for intentional violations of this chapter, see s. 19.58, Stats.

    History: Cr. Register, June, 1975, No. 234, eff. 7-1-75; am. Register, January, 1986, No. 361, eff. 2-1-86.

    UWS 8.06 Reports

    The president, vice presidents, chancellors, and all contracting personnel shall annually, on or before April 30, file a statement of economic interest with the secretary. The statements shall be filed on a form provided by the secretary, and shall be considered matters of public record. The statements shall contain the information required by s. 19.44, Stats.

    Note: This section makes public the statements of economic interest filed with the secretary of the board by the president, vice presidents, chancellors and all contracting personnel. It specifies that the statement is to contain the information specified in s. 19.44, Stats., which sets forth the form of the statement of economic interests filed by public officials governed by the state ethics code.

    History: Cr. Register, June, 1975, No. 234, eff. 7-1-75; am. Register, January, 1986, No. 361, eff. 2-1-86.

    Chapter 9: Academic Staff Rules: Coverage and Delegation

    UWS 9.01 Coverage

    The rules of chs. UWS 8 to 13, and the policies and procedures developed by particular institutions or system administration thereunder, apply to all academic staff appointments within each institution or within the system administration. In chs. UWS 8 through 13, where appropriate, "president" may be substituted for "chancellor" and "system administration" for "institution."

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75; am. Register, January, 1986, No. 361, eff. 2-1-86.

    UWL 9.01 Coverage

    Academic staff includes general, instructional, and academic support professional staff but does not include faculty, classified staff, limited term employees, employees-in-training, and student assistants. Academic staff have duties and types of appointments that are primarily associated with higher education institutions or their administrations. The Chancellor shall designate which positions shall be academic staff positions. The letter of appointment shall so state.

    UWS 9.02 Delegation

    Each chancellor shall provide for the establishment of a committee to advise the administration on policies and procedures for academic staff adopted by the institution pursuant to chs. UWS 8-13. At least a majority of the members of this committee shall be members of the academic staff elected by members of the academic staff. Members of the committee shall select the chairperson thereof. Institutions which now have persons with faculty rank holding positions which will become academic staff positions under the definitions of faculty and academic staff provided in ch. 36, Stats., may designate such persons as academic staff for purposes of eligibility to participate in the election of members of the committee chosen in this way, and eligibility for election to the committee. Wherever each institution is charged in chs. UWS 8-13 with adopting policies and/or procedures, the chancellor shall develop these policies and procedures in consultation with the committee and, as appropriate, members of the faculty and student body. Policies and procedures developed by each institution for administering the elements of the academic staff personnel policies addressed by these rules shall be in full force and effect when finally approved by the chancellor and forwarded to the board. The board may undertake a review of any or all portions of such policies and procedures but shall complete such review within 90 days of the receipt of the policies and procedures. Should the board within 90 days return to the institution any portion or portions of its policies and procedures as disapproved, that portion or portions shall be suspended until reconsideration and resubmission has taken place.

    UWL 9.02 Delegation

    An Academic Staff Council of eleven members shall be elected as the representative body of the academic staff. This governing body is formed to actively participate in governance and policy development for the institution. The council shall have primary responsibility for the formulation and review of policies and procedures of concern to academic staff, including personnel matters. A function of this group will be to advise and make recommendations to the Chancellor on these matters.

    The Council shall represent general, instructional, and academic support professional staff but does not include instructional academic staff with faculty status as determined by the Faculty Senate.

    The initial set of bylaws with amendment procedures are established by the Academic Staff Council and are provided to the Chancellor. They become effective upon approval of the Chancellor. The bylaws shall cover election rules, officers, meetings, function of the Academic Staff Council, the creation of other academic staff committees, and similar matters.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75; am. Register, January, 1986, No. 361, eff. 2-1-86.

    Chapter 10: Academic Staff Appointments

    UWS 10.01 Types of appointments

    Academic staff appointments may be fixed term, probationary, or indefinite. Several probationary academic staff appointments may precede the granting of an indefinite appointment. Each institution shall develop guidelines concerning the categories of academic staff positions that may be appropriately designated as fixed term, probationary, or indefinite appointments. Appointments may be made in the central administration, an institution, college, department (or its functional equivalent), or a specified research or program unit. An appointment shall be limited to an operational area specified at the time of the appointment and shall not carry rights beyond that limitation.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 10.01 Types of appointments

    Academic staff appointments may be fixed term terminal, fixed term renewable (for multiple years), probationary or indefinite.

    UWS 10.02 Recruitment and letter of appointment

    (1) Each institution shall develop procedures relating to recruitment of members of the academic staff. The procedures shall be consistent with board policy and state and federal laws with respect to nondiscriminatory and affirmative action recruitment. The procedures shall allow maximum flexibility at the department, school, and college levels to meet particular needs.

    (2) The terms and conditions of the appointment shall be specified in a written letter of appointment. The appointment letter shall be signed by an authorized official of the institution and should contain details as to the terms and conditions of the appointment, including but not limited to type of appointment (fixed term, probationary or indefinite), duration of the appointment (starting date, ending date), salary, general position responsibilities, definition of operational area, the length of the probationary period (if appropriate) and recognition of prior service as part of the probationary period (if appropriate). Accompanying this letter shall be an attachment detailing institutional and system regulations, rules, and procedures relating to academic staff appointments. If the appointment is subject to the approval of the board, a statement to this effect must be included in the letter. An amended letter of appointment should be sent in situations where a significant change in position responsibility occurs.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 10.02 Recruitment and letter of appointment

    (1) To insure that there is no unlawful discrimination, recruiting procedures shall observe the federal and state statutes and UW System Rules and Guidelines pertaining to affirmative action in the recruitment of Academic Staff.

    (2) Recruitment must follow relevant university procedures including authorization to recruit, search procedures and job offers and hiring.

    (3) The department/unit shall have responsibility for careful screening of all applications received and for the recommendation of candidates to be invited to the campus for interviews. The department/unit's peer review and judgment shall have weight in the recruiting process. In the case of creation of a new unit, appropriate academic and/or administrative officers shall give consideration to the judgment of the academic staff in related units.

    (4) Each fall semester the appropriate administrative officer shall distribute to heads of the departments/units such instructions and sample record forms to facilitate compliance with EEO obligations and procedures as well as budgetary requirements.

    (5) Where underutilization exists, operational areas act consistent with UW-L AA Plan

    (6) The department or units shall schedule interview dates and times with the appropriate administrative officers.

    (7) UW-L policies and procedures for searches will be followed in consultation with Human Resources and the Affirmative Action Officer

    UWS 10.03 Appointments policies

    (1) Fixed term appointments. Each institution of the system may employ academic staff members on fixed term appointments. Such appointments shall be for a fixed term to be specified in the letter of appointment, are renewable solely at the option of the employing institution, and carry no expectation of reemployment beyond their stated term, regardless of how many times renewed. The initial fixed term appointment may include a specified period of time during which the appointee may be dismissed at the discretion of the authorized official. Such a dismissal is not subject to the provisions of ch. UWS 11. Unless otherwise specified, fixed term appointments shall be for a period of one year. Each institution shall develop policies and procedures for the use of such appointments. The policies and procedures of each institution shall specifically treat the issue of job security including appropriate due process protections in the case of nonreappointment for those fixed term academic staff members who have served the institution for a substantial period of time. Such policies and procedures shall be formulated so as to meet the continuing needs of the institution while at the same time recognizing the employment commitment and contribution to the institution provided by such fixed term academic staff members.

    (2) Indefinite and probationary academic staff appointments. Indefinite appointments and probationary academic staff appointments shall be authorized by the chancellor or designee.

    (a) Probationary academic staff appointments.

    1. Each institution of the system may appoint selected members of the academic staff to probationary academic staff appointments leading to review and a decision on an indefinite appointment. Each institution shall adopt procedures to govern such appointments. These procedures shall provide for appropriate counting of prior service, for a maximum probationary period not to exceed 7 years for a full-time position, for annual appraisal of performance, and for an affirmative review process prior to the end of the probationary period resulting in promotion to an indefinite appointment or termination of the appointment. A longer maximum probationary period may be provided for part-time appointees. Unless otherwise specified, probationary appointments shall be for a period of one year. An indefinite appointment is not acquired solely because of years of service.

    2. A leave of absence shall not constitute a break in continuous service, nor shall it be included in the probationary period under sub. (1).

    3. Circumstances that do not constitute a break in continuous service and that shall not be included in the 7-year period include responsibilities with respect to childbirth or adoption, significant responsibilities with respect to elder or dependent care obligations, disability or chronic illness, or circumstances beyond the control of the academic staff member, when those circumstances significantly impede the academic staff member's progress toward achieving indefinite status. It shall be presumed that a request made under this section because of responsibilities with respect to childbirth and adoption shall be approved. A request shall be made before an indefinite status review commences under sub. 1. A request for additional time because of responsibilities with respect to childbirth or adoption shall be initiated in writing by the academic staff member concerned and shall be submitted to a designated administrative officer who shall be authorized to grant a request following consultation with the academic staff member's supervisor and who shall specify the length of time for which the request is granted. Except for a request because of responsibilities with respect to childbirth and adoption, a request made because of other circumstances under this section shall be submitted to a designated administrative officer who shall be authorized to grant a request in accordance with institutional policies. A denial of a request shall be in writing and shall be based upon clear and convincing reasons. More than one request may be granted because of responsibilities with respect to childbirth or adoption. More than one request may be granted to a probationary academic staff member but the total, aggregate length of time of all requests, except for a request because of responsibilities with respect to childbirth or adoption, granted to one probationary academic staff member ordinarily shall be no more than one year. Each institution shall develop procedures for reviewing the requests.

    4. If any academic staff member has been in probationary status for more than 7 years because of one or more of the reasons set forth in sub. 2. or 3., the academic staff member shall be evaluated as if he or she had been on probationary status for 7 years. Example: An academic staff member has been on probationary status for a total of 9 years because the academic staff was granted 2 requests under sub. 3. for one-year extensions because of the birth of 2 children. The academic staff member's record of performance shall be evaluated as if the academic staff had only 7 years to work towards achieving indefinite status, rather than as if the academic staff member had been working towards achieving indefinite status for 9 years.

    (b) Indefinite appointment. An indefinite appointment is an appointment with permanent status and for an unlimited term, granted by the chancellor to a member of the academic staff. Such an appointment is terminable only for cause under ch. UWS 11 or for reasons of budget or program under ch. UWS 12. Such an appointment may be granted to a member of the academic staff who holds or will hold a half-time appointment or more. The proportion of time provided for in the initial indefinite appointment may not be diminished or increased without the mutual consent of the academic staff member and the institution unless the appointment is terminated or diminished under ch. UWS 11 or 12. Each institution shall adopt procedures to govern indefinite appointments including provisions for annual appraisal of performance.

    History: Cr. Register, October, 1975, No. 238, eff. 11 - 1 -75; renum. (2) (a) to be (2) (a) 1. and am., cr. (2) (a) 2. to 4., Register, February, 1994, No. 458, eff. 3-1-94.

    UWL10.03 Appointment policies

    (1) Fixed Term Appointments shall be for a definite period of time specified in the letter of appointment. They are renewable solely at the option of the employing institution and carry no expectation of reemployment beyond the stated term regardless of how many times renewed.

    The initial fixed term appointment may include a period of up to one semester for instructional positions and up to four months for non-instructional positions during which the appointee may be dismissed without appeal at the discretion of the authorized official. If such period of evaluation is used, the letter of appointment must so state. A dismissal during this period is not subject to the provisions of UWS 11.

    (a) Fixed term terminal appointments shall be used when any of the following circumstances are present:

    (i) For non-instructional academic staff (NIAS) during the first seven (7) years of appointment in a NIAS position at UW-L

    (ii) For instructional academic staff (IAS) positions unless granted a renewable appointment

    (ii) For NIAS and IAS positions when the position is clearly known to be of temporary duration (such as replacing a staff member who is on approved leave, sick leave, FMLA or sabbatical and is expected to return to the position)

    (iv) For NIAS and IAS positions when the position has temporary funding available only for a given period of time, such as grant funding or special project funding that have no expectation of continuing

    (v) For NIAS less than 50% or less than a full academic year or annual appointment.

    (vi) For NIAS and IAS positions when there is a need to provide flexibility in operational units or programs of the university even though needs require sustained staffing in positions over time

    (vii) Fixed term terminal appointments shall state in the letter of offer 'renewal is not intended' and by so stating, no further notice of nonrenewal is required or will be given.

    (2) Fixed term renewable appointments: may be granted to NIAS or IAS as outlined below:

    (a) Non-Instructional Academic Staff: Fixed term renewable appointments will be granted to NIAS after 7 continuous years of employment at UW-L in an NIAS position that is 50% or greater for each of the previous 7 years.

    (i) To be counted as part of the seven years, appointments must be for the full academic year or the full annual/fiscal year.

    (ii) NIAS will receive a two year renewable fixed term appointment starting with their eighth year.

    (b) Instructional Academic Staff: Fixed term renewable appointments may be granted if the need for the position is expected to continue and if funding is available for the length of the renewable appointment.

    (i) After completing 7 years of continuous IAS service at UW-L, all IAS will be reviewed to determine the feasibility of providing more job security.

    (1) This will occur as part of the annual performance evaluation and renewal decision-making process and will follow campus policies and procedures.

    (2) A fixed term renewable appointment may be granted if the need for duties performed is expected to continue and if funding is expected to be available for the length of the appointment.

    (3) A record of this review and outcome will be included in the IAS personnel file in the HR Office.

    (4) A summary will be compiled by Human Resources for the chancellor's review.

    (c) For both NIAS and IAS

    (i) Approved leaves of absence when return is expected and that are due to family or medical leave, child birth or adoption, or similar circumstance beyond the control of the employee, will not count as breaks in continuous service. This will be stated in the official correspondence from Human Resources granting the leave of absence.

    (ii) The initial fixed term renewable appointment will be for two years.

    (iii) If the appointment will not be renewed, nine months notice shall be given for academic year appointments or 12 months notice for annual appointments.

    (iv) Written Reasons: If the fixed term renewable appointment will not be renewed, the academic staff member may request written reasons from the decision-maker. If a request for reasons is made:

    (1) The written request must be made to the decision-maker within 14 calendar days of the receipt of official written notice of nonrenewal, with a copy of the request sent to Human Resources at the same time.

    (2) The decision-maker is responsible for consulting with Human Resources as soon as reasons are requested.

    (3) The decision-maker shall provide written reasons for the nonrenewal decision within 14 calendar days of receipt of the request with a copy sent to Human Resources.

    (4) The time line for the decision-maker to respond in writing may be extended if warranted by circumstances and approved by Human Resources in advance of the 14 calendar day deadline. The process shall not be unnecessarily prolonged.

    (5) The written request for the reasons and the written response shall be included in the academic staff member's personnel file in the Office of Human Resources.

    (v) Reconsideration Meeting: If the academic staff member wishes a reconsideration of the nonrenewal recommendation after receipt of the written reasons, she/he shall request a reconsideration meeting in writing to the decision-maker within 14 calendar days of the receipt of the copy of the reasons and send a copy of the communication to Human Resources at the same time.

    (1) The meeting for reconsideration with the decision-maker shall be held within 14 calendar days of the receipt of the request. At the reconsideration meeting the decision-maker and the academic staff member shall be present. Each may choose one member of the UW-La Crosse community to be present also as observers.

    (2) At the meeting for reconsideration the academic staff member is entitled to present documentary evidence.

    (3) The reconsideration is not a hearing or an appeal and shall be non-adversarial in nature. Its purpose is to allow the academic staff member an opportunity to present pertinent information by challenging the stated reasons and/or by offering additional relevant evidence.

    (4) The decision-maker shall send a written decision to the academic staff member within 7 calendar days of the reconsideration meeting with a copy to Human Resources to be placed in the personnel file.

    (5) The time line for the decision-maker to respond in writing may be extended if warranted by circumstances and approved by Human Resources in advance of the 14 calendar day deadline. The process shall not be unnecessarily prolonged.

    (3) Probationary Appointments: A probationary academic staff appointment is one leading to review and a decision on indefinite appointment. These are granted at the discretion of the chancellor. The probationary period at the University of Wisconsin-La Crosse shall not exceed 7 years for full-time academic/annual year staff members.

    (4) Indefinite Appointments: Indefinite appointments may be made prior to the end of the probationary period, or, in some cases, without a probationary period. These are granted at the discretion of the chancellor.

    (5) Affirmative Review Process for Indefinite Appointment:

    (a) A decision on indefinite appointment must be made at least one year prior to the end of the probationary period. The decision-maker must notify the probationary academic staff member in writing at least thirty (30) calendar days prior to the review conference at which promotion to indefinite appointment is to be considered.

    (b) The academic staff member may review all pertinent files and may submit additional written material as he/she deems relevant. He/she may also make a personal presentation.

    (c) The recommendation of the authorized official for change of status to indefinite appointment shall be forwarded to the dean or division head within 7 calendar days of the conference. If the dean or division head decides against recommendation to indefinite appointment, the procedures for non-renewal (UWL 10.04) shall be followed.

    UWS 10.04 Nonrenewal of probationary academic staff appointments

    (1) Each institution shall establish procedures for dealing with instances where probationary academic staff are not renewed. Nonrenewal is not a dismissal under ch. UWS 11. A nonrenewed member of the academic staff shall be provided with an opportunity to request and to receive, in writing, the reasons for nonrenewal and to receive a review of the decision upon written appeal by the academic staff member concerned within 20 days of notice of nonrenewal (25 days if notice is by first class mail and publication). The hearing body may be either an appropriate committee or a hearing examiner as designated in the institutional procedures. Such review shall be held not later than 20 days after the request, except that this time limit may be extended by mutual consent of the parties or by order of the hearing body. The burden of persuasion in such a review shall be on the nonrenewed appointee and the scope of the review shall be limited to the question of whether the decision was based in any significant degree upon one or more of the following factors, with material prejudice to the individual:

    (a) Conduct, expressions, or beliefs which are constitutionally protected, or actions which are consistent with an appropriate professional code of ethics;

    (b) Employment practices proscribed by applicable state or federal law; or

    (c) Improper consideration of qualifications for reappointment or renewal. For purposes of this section, "improper consideration" shall be deemed to have been given to the qualifications of a staff member in question if material prejudice resulted because of any of the following:

    1.The procedures required by the chancellor or board were not followed; or

    2. Available data bearing materially on the quality of performance were not considered; or

    3. Unfounded, arbitrary, or irrelevant assumptions of fact were made about work or conduct.

    (2) Findings as to the validity of the appeal shall be reported to the official making the nonrenewal decision and to the appropriate dean or director and the chancellor.

    (3) Such report may include remedies which may, without limitation because of enumeration, take the form of a reconsideration by the decision maker, a reconsideration by the decision maker under instructions from the hearing body, or a recommendation to the next higher administrative level. Cases shall be remanded for reconsideration by the decision maker in all instances unless the hearing body specifically finds that such a remand would serve no useful purpose. The hearing body shall retain jurisdiction during the pendency of any reconsideration.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 10.04 Nonrenewal of Probationary Academic Staff Appointments

    In making a decision of nonrenewal of a probationary appointment, the decision-maker shall inform the appointee at least one year prior to the end of the probationary period to allow time for possible reconsideration and appeal and adequate notice of non-renewal.

    (1) The Right to Request Reasons: An academic staff member may request reasons for the nonrenewal from the decision-maker. The written request and written response must be such that an appeal can be made within the 20 calendar days from receipt of official written notice of nonrenewal to the academic staff. A copy of both documents shall be sent to HR. The reasons become part of the academic staff member's official file in HR.

    (2) Appeal of the nonrenewal decision: An academic staff member can appeal the nonrenewal decision by sending a written request to the committee designated in the Academic Staff Council Bylaws, within 20 calendar days of receipt of official notice of nonrenewal (25 days if notice is by first class mail and publication). The written request must be copied to the decision-maker and HR.

    (a) The review shall be held not later than 20 calendar days after the request, except that this time limit may be extended by mutual consent of the parties or by order of the hearing body.

    (b) The hearing body shall proceed in accordance with applicable laws, with UWS 10.04 and shall be conducted on the basis of procedures set forth in the Academic Staff Council Bylaws. The burden of persuasion in such a review shall be on the nonrenewed appointee.

    (c) The scope of its review shall be limited to the question of whether the decision was based in any significant degree upon one or more of the factors listed in UWS 10.4(1), with material prejudice to the individual.

    (d) Within 20 calendar days of the appeal meeting, the committee report of the recommendations shall be sent to the academic staff member, the decision-maker, the dean or division officer and Human Resources.

    UWS 10.05 Notice

    (1) Written notice that a fixed term or probationary academic staff appointment will not be renewed shall be given to the appointee in advance of the expiration of the appointment as follows:

    (a) Fixed term appointments: At least 3 months before the end of the appointment in the first 2 years and 6 months thereafter. When the letter of offer for a fixed term appointment states that renewal is not intended, no further notice of nonrenewal is required.

    (b) Probationary appointments: At least 3 months before the end of the appointment in the first year; 6 months before the end of the appointment in the second year; and 12 months thereafter.

    (2) If proper notice of nonrenewal is not given in accordance with sub. (1), the appointment shall be extended so that at least the required notice is provided.

    (3) The policies and procedures of each institution may provide for longer notice periods for teaching members of the academic staff. Unless specifically enumerated in the institutional policies and procedures, the above provisions shall govern.

    UWL 10.05 Notice

    (1) Fixed term terminal appointments. Fixed term terminal appointments shall state in the letter of offer that renewal is not intended. No further notice of nonrenewal is required.

    (2) Fixed term renewable appointments. Written notice that a fixed term renewable academic staff appointment will not be renewed shall be given to the appointee 12 months in advance of the expiration of the appointment.

    (3) Probationary appointments. At least 3 months before the end of the appointment in the first year; 6 months before the end of the appointment in the second year; and 12 months thereafter.

    (4) If proper notice is not given in accordance with this section, the appointment shall be extended so that the required notice period is provided.

    UWL 10.06 Annual Review

    Each academic staff member shall have a performance evaluation annually. The results of the evaluation shall be made available to the academic staff member and provision shall be made for the academic staff member to respond formally for the record to the results of the evaluation.

    (1) At the time of the initial appointment the academic staff member will be provided a copy of the position description approved in the recruitment process. The position description will be used by the decision-maker to develop the evaluation criteria. Both will be reviewed annually by the decision-maker in consultation with the staff member..

    (2) Decision-makers are responsible for providing annual evaluations and performance feedback to academic staff, with written documentation including a current position description delivered to the Office of Human Resources for the employee's file.

    (3) All academic staff annual reviews will include a review to determine if a multiple year contract is feasible. Written documentation of the review process, and reasons if multiple year appointments are not feasible, will be delivered by the Decision-makers to Human Resources.

    (a) Any member of the academic staff employed for 7 continuous years, who has not received a two-year renewable contact, may request written reasons for the decision. Such a request must be made in writing to Human Resources.

    (b) Any member of the academic staff employed for 10 continuous years, who has not received a three-year renewable contact, may request written reasons for the decision. Such a request must be made in writing to Human Resources.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75

    Chapter 11: Dismissal of Academic Staff For Cause

    UWS 11.01 Dismissal for cause-indefinite academic staff appointments

    (1) A member of the academic staff holding an indefinite appointment may be dismissed only for just cause under ss. UWS 11.02 through 11.106 or for reasons of budget or program under ch. UWS 12.

    (2) The board's policy is that members of the academic staff are entitled to enjoy and exercise all rights of United States citizens and to perform their duties in accordance with appropriate professional codes of ethics. This policy shall be observed in determining whether or not just cause for dismissal exists. The burden of proof of the existence of just cause for a dismissal is on the administration.

    (3) Just cause for dismissal includes, but is not limited to, serious criminal misconduct, as defined in s. UWS 11.102.

    History: Cr. Register, October, 1975, No. 236, eff. 11-1-75; CR 06-078: am. (1), cr. (3) Register May 2007, No. 617, eff. 6-1-07.

    UWS 11.015 Definition

    In this chapter, "consulting" means thoroughly reviewing and discussing the relevant facts and discretionary issues.

    History; CR 06-078: cr. REgister May 2007, No. 617, eff. 6-1-07.

    UWS 11.02 Responsibility for charges

    (1) Whenever the chancellor of an institution receives an allegation which concerns an academic staff member holding an indefinite appointment which appears to be substantial and which, if true, might lead to dismissal under s. UWS 11.01, the chancellor shall request within a reasonable time that the appropriate dean or director investigate the allegation, offer to discuss it informally with the individual, and provide information of rights to which members of the academic staff are entitled under this chapter. If such an investigation and discussion does not result in a resolution of the allegation and if the allegation is deemed sufficiently serious to warrant dismissal, the dean or director shall prepare a written statement of specific charges. A member of the academic staff may be dismissed only after receipt of such a statement of specific charges and, if a hearing is requested by the academic staff member, after a hearing held in accordance with the provisions of this chapter and the subsequently adopted procedures of the institution. If the staff member does not request a hearing, dismissal action shall proceed along normal administrative lines but the provisions of ss. UWS 11.02, 11.08, and 11.09 shall apply. In those cases where the immediate supervisor of the academic staff member concerned is a dean or director, the chancellor shall, to avoid potential prejudice, designate an appropriate administrative officer to act for the dean or director under this section.

    (2) Any formal statement of specific charges shall be served personally or by certified mail, return receipt requested. If such service cannot be made within 20 days, service shall be accomplished by first class mail and by publication as if the statement of charges were a summons and the provisions of s. 801.11 (1) (c), Stats., were applicable. Such service by mailing and publication shall be effective as of the first insertion of the notice of statement of charges in the newspaper.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75; correction in (2) made under s. 13.93 (2m) (b) 7., Stats., Register, June, 1995, No. 474.

    UWS 11.03 Hearing body

    (1) The chancellor of each institution shall provide for a hearing body charged with hearing dismissal cases and making a report and recommendations under this chapter. Throughout this chapter, the term "hearing body" is used to indicate either a hearing committee or a hearing examiner as designated in the institutional procedures. This hearing body shall operate as the hearing agent for the chancellor pursuant to s. 227.46 (4), Stats., and conduct the hearing, make a verbatim record of the hearing, prepare a summary of the evidence and transmit such record and summary along with its recommended findings of fact and decision to the chancellor according to s. UWS 11.07.

    (2) With the concurrence of the faculty and the academic staff advisory committee of each institution, the chancellor may provide that dismissal for cause of a member of the academic staff having teaching responsibilities may be heard by the hearing body specified in s. UWS 4.03. If so provided, the hearing shall be held pursuant to the provisions of ch. UWS 11.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75; correction in (1) made under s. 13.93 (2m) (b) 7., Stats., Register, June, 1995, No. 474; correction in (1) made under s. 13.93 (2m) (b) 7., Stats., Register May 2007 No. 617.

    UWL 11.03 Hearing Body

    (1) The academic staff hearing body for dismissal cases shall be a nine-member standing committee with members representing various parts of the academic community chosen with respect to their objectivity and competence. The hearing body shall elect its own chairperson. Such election shall occur when the committee is first convened for any new case in an academic year. The elected chairperson shall continue to be chairperson for any cases and for the duration of such cases as are initiated in that academic year. The hearing body will be constituted and guided by the Academic Staff Council bylaws (X, A).

    UWS 11.04 Hearing

    If the staff member requests a hearing within 20 days from the service of the statement of charges (25 days if notice is by first class mail and publication), such hearing shall be held not later than 20 days after the request, except that this time limit may be extended by mutual consent of the parties or by order of the hearing body. The request for a hearing shall be addressed in writing to the hearing body established pursuant to s. UWS 11.03. Service of written notice of hearing on the specific charges shall be provided at least 10 days prior to the hearing.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWS 11.05 Adequate due process

    (1) Each institution shall develop policies and procedures to provide for a fair hearing upon request in the event of dismissal. A fair hearing for an academic staff member whose dismissal is sought under s. UWS 11.01 shall include the following:

    (a) A right to the names of witnesses and of access to documentary evidence upon the basis of which dismissal is sought;

    (b) A right to be heard in his or her defense;

    (c) A right to counsel and/or other representative, and to offer witnesses;

    (d) A right to confront and cross-examine adverse witnesses;

    (e) A verbatim record of all hearings, which might be a sound recording, provided at no cost;

    (f) Written findings of fact and decision based on the hearing record;

    (g) Admissibility of evidence governed by s. 227.45 (1) to (4), Stats.

    History: Cr. Register, October, 1975, No. 238, eff. 11−1−75; correction made under s. 13.93 (2m) (b) 7., Stats., Register, June, 1995, No. 474; correction in (1) (g) made under s. 13.93 (2m) (b) 7., Stats., Register May 2007 No. 617.

    UWS 11.06 Procedural guarantees

    (1) The following requirements shall also be observed:

    (a) Any person who participated in the investigation of allegations leading to the filing of a statement of charges, or in the filing of a statement of charges, or who is a material witness shall not be qualified to participate as a member of the hearing body;

    (b) The hearing shall be closed unless the staff member under charges requests an open hearing, in which case it shall be open (see subch. V of ch. 19, Stats., Open Meeting Law);

    (c) The hearing body shall not be bound by common law or statutory rules of evidence and may admit evidence having reasonable probative value but shall exclude immaterial, irrelevant, or unduly repetitious testimony, and shall give effect to recognized legal privileges;

    (d) The burden of proof of the existence of just cause is on the administration or its representatives;

    (e)If a staff member whose dismissal is sought has requested a hearing, discontinuance of the proceeding by the institution is deemed a withdrawal of charges and a finding that the charges were without merit;

    (f) Nothing in par. (e) shall prevent the settlement of cases by mutual agreement between the administration and the staff member, with the chancellor's approval, at any time prior to a final decision by the chancellor; or when appropriate, with the board's approval prior to a final decision by the board;

    (g) Adjournments shall be granted to enable either party to investigate evidence as to which a valid claim of surprise is made.

    (2) If the institutional policies and procedures provide that dismissal cases be heard by a hearing committee, the following requirements shall be observed:

    (a) The committee may, on motion of either party, disqualify any one of its members for cause by a majority vote. If one or more of the hearing committee members disqualify themselves or are disqualified, the remaining members may select a number of replacements equal to the number who have been disqualified to serve, except that alternative methods of replacement may be specified in the policies and procedures adopted by the institution;

    (b) If the hearing committee requests, the chancellor shall provide legal counsel after consulting with the committee concerning its wishes in this regard. The function of legal counsel shall be to advise the committee, consult with them on legal matters, and such other responsibilities as shall be determined by the committee within the provisions of the policies and procedures adopted by the institution.

    History: Cr. Register, October, 1975, No. 238, eff. 11−1−75; correction in (1) (b) made under s. 13.93 (2m) (b) 7., Stats., Register, April, 2001, No. 544.

    UWL 11.06 Procedural guarantees

    Hearing body members deemed disqualified for bias or conflict of interest shall remove themselves from the case, either at the request of a party or on their own initiative. Each party shall have a maximum of two challenges without stated cause.

    The staff member shall be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The administration shall cooperate with the Hearing Committee in securing witnesses and making available documentary and other evidence.

    The staff member and the administration shall have the right to confront and cross-examine all witnesses. Where the witness cannot appear at the hearing, but the Hearing Committee determines that the interests of justice require admission of their statements, the committee shall identify the witness, disclose their statements, and if possible provide for interrogatories.

    Before the close of the hearings, the Hearing Committee shall give opportunity to the staff member or his/her advisor and/or counsel and the Chancellor or his/her representative to present oral arguments. If written briefs would be helpful, the committee may request them.

    Except for such simple announcements as may be required, covering the time of the hearing and similar matters, public statements and publicity about the case by either the staff member or administrative officers shall be avoided until the proceedings have been completed.

    RECOMMENDATIONS TO THE CHANCELLOR (cf UWS 11.07) Prior to determining penalty for the charges made against the staff member, the Hearing Committee shall determine the truth of the charges. An affirmative vote of two-thirds or more of the members hearing the case shall be required to decide which, if any, charges are true. On a lesser vote the committee shall recommend to the Chancellor dismissal of that specific charge.

    If the Hearing Committee determines that any charges are true, it shall decide whether a penalty is necessary. If it is, the committee shall decide the appropriate penalty and recommend that penalty to the Chancellor.

    The Hearing Committee shall recommend dismissal of the staff member if and only if eight or more members vote affirmatively that the charges justify dismissal of the staff member.

    If the Hearing Committee determines that the proven charges justify imposition of a sanction, it shall specify the sanction. It shall then vote upon the imposition of that sanction. That specific sanction shall be recommended to the Chancellor if and only if six or more members vote for that sanction. A sanction shall be one of the following: (a) permanent letter of reprimand; (b) reassignment of duties, including change of supervisor and/or change of physical environment; (c) probation; (d) suspension with pay (one to thirty days); (e) suspension without pay (one to fifteen days); (f) restitution (assessment of monetary compensation and/or contribution of hours of university service); (g) indemnification of petitioner's expenses; or (h) initiation of dismissal proceedings (cf UWS Chapter 11).

    If the Hearing Committee determines that the proven charges justify imposition of a minor penalty, it shall specify the sanction. It shall then vote on the imposition of that penalty. That specific penalty shall be recommended to the Chancellor if and only if five or more members vote for that sanction. A minor penalty shall be one of the following: (a) warning; (b) private, formal apology; (c) public, formal apology; or (d) temporary letter of reprimand (remove from personnel file within twelve months).

    If the Hearing Committee has decided that the charges are true, it might decide that no action should occur. This decision requires a majority vote. Reasons should accompany such a recommendation to the Chancellor.

    A written report of the recommended action shall be sent to the Chancellor and the staff member. Any notification of dismissal shall include a report of the adverse decision, the reasons for it, and specific evidence in support of them.

    Within twenty (20) calendar days after receipt of the recommendations of the Hearing Committee, the Chancellor shall review them and afford the staff member an opportunity to discuss them. The Chancellor shall issue a written decision within twenty (20) calendar days following the meeting with the staff member. If the Chancellor's decision imposes a penalty substantially more severe than that recommended by the Hearing Committee, the written decision shall specify the reasons for the increased severity.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWS 11.07 Recommendations to the chancellor

    The hearing body shall send to the chancellor and to the academic staff member concerned, as soon as practicable after conclusion of a hearing, a verbatim record of the testimony and a copy of its report, findings, and recommendations. After reviewing the matter on record and considering arguments if submitted by the parties, the chancellor shall issue a decision. In that decision, the chancellor may order dismissal of the staff member, may impose a lesser disciplinary action, or may find in favor of the staff member. This decision shall be deemed final unless the board, upon request of the academic staff member, grants review based on the record.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 11.05 - 11.07

    Policies and procedures for adequate due process are specified in UWS 11.04, 11.05, 11.06 and UWL 11.06.

    UWS 11.08 Suspension from duties

    Pending the final decision as to dismissal, the academic staff member with an indefinite appointment shall not be relieved of duties, except where, after consultation with the appropriate administrative officer, the chancellor finds that substantial harm may result if the staff member is continued in his or her position. Where such determination is made, the staff member may be relieved of his or her position immediately, or be assigned to another administrative unit, but his or her salary shall continue until the chancellor makes a decision as to dismissal, unless the chancellor also makes the determinations set forth in s. UWS 11.105 (1) in which case the suspension from duties may be without pay and the procedures set forth in s. UWS 11.105 shall apply.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75; CR 06−078: am. Register May 2007 No. 617, eff. 6−1−07.

    UWS 11.09 Date of dismissal

    A decision by the chancellor ordering dismissal shall specify the effective date of the dismissal.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWS 11.10 Board review

    A member of the academic staff on indefinite appointment who has been dismissed for cause by the chancellor following a hearing may appeal this action to the board. Any appeal must be made within 30 days of the date of the decision of the chancellor to dismiss. Upon receiving an appeal the board shall review the case on the record. Following such review the board may confirm the chancellor's decision, or direct a different decision, or approve a further hearing before the board with an opportunity for filing exceptions to the hearing body's recommendations or the chancellor's decision and for oral argument on the record. If further review with opportunity for oral argument on the record is provided, this review shall be closed unless the staff member requests an open hearing. (See subch. V of ch. 19, Stats., Open Meeting Law.) All decisions of the board, whether after review on the record or after oral argument, shall be expressed in writing and shall indicate the basis for such decision.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75; correction made under s. 13.93 (2m) (b) 7., Stats., Register, April, 2001, No. 544.

    UWL 11.10 Board Review

    If the Academic Staff member makes a written request for a review by the Board of Regents of the Chancellor's decision, the Chancellor shall transmit that request along with copies of the hearing record, of the hearing body's recommendations, and of his own decision to the board for its attention.

    UWS 11.101 Dismissal for cause in special cases − indefinite academic staff appointments

    A member of the academic staff holding an indefinite appointment may be dismissed for serious criminal misconduct, as defined in s. UWS 11.102.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 11.102 Serious criminal misconduct

    (1) In this chapter, "serious criminal misconduct" means:

    (a) Pleading guilty or no contest to, or being convicted of a felony, in state or federal court, where one or more of the conditions in par. (b), (c), (d), or (e) are present, and the felony involves any of the following:

    1. Causing serious physical injury to another person.

    2. Creating a serious danger to the personal safety of another person.

    3. Sexual assault.

    4. Theft, fraud or embezzlement.

    5. Criminal damage to property.

    6. Stalking or harassment.

    (b) A substantial risk to the safety of members of the university community or others is posed.

    (c) The university's ability, or the ability of the academic staff member's colleagues, to fulfill teaching, research or public service missions is seriously impaired.

    (d) The academic staff member's fitness or ability to fulfill the duties of his or her position is seriously impaired.

    (e) The opportunity of students to learn, do research, or engage in public service is seriously impaired.

    (2) Conduct, expressions, or beliefs which are constitutionally protected, or protected by the principles of academic freedom, shall not constitute serious criminal misconduct.

    (3) Except as otherwise expressly provided, an academic staff member who has engaged in serious criminal misconduct shall be subject to the procedures set forth in ss. UWS 11.103 to 11.106.

    (4) Any act required or permitted by ss. UWS 11.103 to 11.106 to be done by the chancellor may be delegated to the provost or another designee pursuant to institutional policies forwarded to the board of regents under s. UWS 9.02

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 11.103 Reporting responsibility

    Any academic staff member who is charged with, pleads guilty or no contest to, or is convicted of a felony of a type listed in s. UWS 11.102 (1) (a), in state or federal court, shall immediately report that fact to the chancellor.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 11.104 Expedited process

    (1) Whenever the chancellor of an institution within the University of Wisconsin System receives a report under s. UWS 11.103 or other credible information that an academic staff member holding an indefinite appointment has pleaded guilty or no contest to, or has been convicted of a felony of a type listed in s. UWS 11.102 (1) (a), in state or federal court, the chancellor shall:

    (a) Within 3 working days of receipt of the report or information, inform the academic staff member of its receipt and, after consulting with appropriate institutional governance representatives, appoint an investigator to investigate the report or information and advise the chancellor as to whether to proceed under this section or ss. UWS 11.02 to 11.10.

    (b) Upon appointing an investigator and notifying the academic staff member, afford the academic staff member three working days in which to request that the investigator be disqualified on grounds of lack of impartiality or other cause. In the event that the chancellor determines that a request for disqualification should be granted, the chancellor shall, within 2 working days of the determination, appoint a different investigator. The academic staff member shall have the opportunity to request that any second or subsequent investigators be disqualified on grounds of lack of impartiality or other cause.

    (2) The investigator shall be complete and file a report with the chancellor not later than 10 working days following the investigator's appointment.

    (3) Within 3 working days of receipt of the investigator's report, the chancellor shall consult with appropriate institutional governance representatives and decide whether to seek dismissal of the academic staff member pursuant to ss. UWS 11.101 to 11.106, to seek dismissal of the academic staff member pursuant to ss. UWS 11.02 to 11.10, to seek an alternative disciplinary sanction, or to discontinue the proceedings. The charges shall be served on the academic staff member in the manner specified in s. UWS 11.02 (2).

    (a) If the chancellor decides to seek dismissal of the academic staff member pursuant to ss. UWS 11.101 to 11.106, the chancellor shall file charges within 2 working days of reaching the decision.

    (b) If the chancellor decides to seek dismissal of the academic staff member pursuant to ss. UWS 11.02 to 11.10, the chancellor shall file charges and proceed in accordance with the provisions of those sections of this chapter and implementing institutional policies. If, during the course of proceedings under ss. UWS 11.02 to 11.10, the chancellor receives a report under s. UWS 11.103 or other credible information that the academic staff member has pleaded guilty or no contest to or has been convicted of a felony of a type listed in s. UWS 11.102 (1) (a), and one or more of the factors listed in s. UWS 11.102 (1) (b) through (e) are present, the chancellor may, at that point, elect to follow the procedures for dismissal pursuant to this section.

    (c) If the chancellor decides to seek an alternative disciplinary sanction, the procedures under ch. UWS 13, and implementing institutional policies, shall be followed.

    (4) If charges seeking dismissal are filed under sub. (3) (a), the academic staff member shall be afforded a hearing before the institutional standing committee charged with hearing dismissal cases and making recommendations under s. UWS 11.03. The hearing shall provide the procedural guarantees enumerated under ss. UWS 11.05 to 11.06, except that the hearing must be concluded, and written findings and a recommendation to the chancellor must be prepared, within 15 working days of the filing of charges.

    (5) Within 3 working days of receipt of the findings and recommendation of the committee under sub. (4), the chancellor shall prepare a written decision on the matter. In the decision, the chancellor may order dismissal of the staff member, may impose a lesser disciplinary action, or may find in favor of the staff member. This decision shall be deemed final unless the board, upon request of the academic staff member, grants a review based on the record.

    (6) The burden of proving just cause in this section shall be clear and convincing evidence.

    (7) The chair of the academic staff hearing body, subject to the approval of the chancellor, may extend the time limits set forth in this section if the parties are unable to obtain, in a timely manner, relevant and material testimony, physical evidence or records, or where due process otherwise requires.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 11.105 Temporary suspension from duties without pay

    (1) The chancellor, after consulting with appropriate academic staff governance representatives, may suspend an academic staff member holding an indefinite appointment from duties without pay pending the final decision as to his or her dismissal where:

    (a) The academic staff member has been charged with a felony of a type listed in s. UWS 11.102 (1) (a) and the chancellor, after following the provisions of s. UWS 11.104 (1) through (3), finds, in addition, that there is a substantial likelihood 1) that one or more of the conditions listed in s. UWS 11.102 (1) (b) through (e) are present, and 2) that the academic staff member has engaged in the conduct as alleged; or

    (b) The academic staff member is unable to report for work due to incarceration, conditions of bail or similar cause; or

    (c) The academic staff member has pleaded guilty or no contest to or been convicted of a felony of the type listed in s. UWS 11.102 (1) (a) and one or more of the conditions in s. UWS 11.102 (1) (b) through (e) are present.

    (2) If the chancellor finds that the conditions in sub. (1) are present, he or she shall immediately notify the academic staff member, in writing, of the intent to impose a suspension without pay, and shall, within 2 working days, provide the academic staff member with an opportunity to be heard with regard to the matter. The academic staff member may be represented by counsel or another at this meeting.

    (3) (a) If, after affording the academic staff member the opportunity to be heard, the chancellor determines to suspend without pay, the chancellor shall inform the academic staff member of the suspension, in writing. The chancellor's decision to suspend without pay under this section shall be final, except that:

    (b) If the chancellor later determines that the academic staff member should not be dismissed the chancellor may discontinue the proceedings, or may impose a lesser penalty, and except as provided in par. (c), shall order the payment of back pay for any period of the suspension for which the academic staff member was willing and able to report for work;

    (c) If the chancellor later determines, under par. (a) or (b), to recommend or impose as a lesser penalty the suspension of the academic staff member without pay, then any period of suspension without pay so recommended or ordered shall be offset by the period of any suspension without pay actually served by the academic staff member.

    (4) If, after affording the academic staff member the opportunity to be heard, the chancellor determines that the conditions in sub. (1) are not present or that a suspension without pay is otherwise not warranted, the provisions of s. UWS 11.08 shall apply.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 11.106 Board review

    A member of the academic staff on an indefinite appointment who has been dismissed for serious criminal misconduct may appeal this action to the board as provided in s. UWS 11.10.

    History: CR 06−078: cr. Register May 2007 No. 617, eff. 6−1−07.

    UWS 11.11 Dismissal for cause-fixed term or probationary academic staff appointments

    A member of the academic staff holding a probationary appointment, or a member of the academic staff holding a fixed term appointment and having completed an initial specified period of time, may be dismissed prior to the end of the contract term only for just cause or for reasons of budget or program under ch. UWS 12. A nonrenewal of such an appointment is not a dismissal under this section. A dismissal shall not become effective until the individual concerned has received a written notification of specific charges and has been offered an opportunity for a hearing before the appropriate dean or director or his/her designee. If such hearing is requested, a determination of just cause and notification of dismissal shall be made by the dean or director or designee. If no hearing is requested the dismissal is effected by the specifications in the original notification of charges. The hearing before the dean, director, or designee shall provide the academic staff member with an opportunity to present evidence and argument concerning the allegations. Dismissal shall be effective immediately on receipt of written notification of the decision of the dean or director or designee unless a different dismissal date is specified by the dean or director. Dismissals for cause shall be appealable by filing an appeal with the hearing body established under s. UWS 11.03. The burden of proof as to the existence of just cause on appeal shall be on the administration or the authorized official. The provisions of s. UWS 11.04, procedural guarantees, contained in ss. UWS 11.05 and 11.06 and the review provisions of s. UWS 11.07, shall be applicable to the appeal proceeding. In no event, however, shall a decision favorable to the appellant extend the term of the original appointment. If a proceeding on appeal is not concluded before the appointment expiration date, the academic staff member concerned may elect that such proceeding be carried to a final decision. Unless such election is made in writing, the proceeding shall be discontinued at the expiration of the appointment. If the chancellor ultimately decides in favor of the appellant, salary lost during the interim period between the effective date of dismissal and the date of the chancellor's decision or the end of the contract period, whichever is earlier, shall be restored. In those cases where the immediate supervisor of the academic staff member concerned is a dean or director, the chancellor shall, to avoid potential prejudice, designate an appropriate administrative officer to act for the dean or director under this section.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWS 11.12 Dismissal for cause-teaching members of the academic staff

    The policies and procedures of each institution may provide that dismissal for cause of a member of the academic staff having teaching responsibilities and holding a probationary appointment or a fixed term appointment may proceed under ss. UWS 11.02 to 11.10. If the institutional policies and procedures do not specifically make such provisions, dismissal for cause shall be made pursuant to s. UWS 11.11.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 11.12 Dismissal for cause-teaching member of the academic staff

    The rules which apply to instructional academic staff shall be the rules in UWS 11.01 to 11.10; UWL 11.02 to 11.10; and the applicable rules in the Academic Staff Council bylaws. (See especially UWL 11.03 (1) for the membership of the committee.)

    Chapter 12: Layoff of Academic Staff For Reasons of Budget or Program

    UWS 12.01 General

    Notwithstanding s. 36.15, Stats., and chs. UWS 10 and 11, the chancellor of each institution or designee may layoff a member of the academic staff holding an indefinite appointment, or may layoff a member of the academic staff holding either a fixed term or a probationary appointment prior to the end of the appointment period, when such action is deemed necessary due to budget or program decision requiring program discontinuance, curtailment, modification, or redirection. Consistent with the limitation of academic staff appointments to an operational area, each institution shall establish policies and procedures which will ensure careful consideration of layoff decisions for reasons of budget or program. The institutional policies and procedures should recognize the constraints imposed on institutional response to an unanticipated cancellation of a contract or grant or to an unanticipated decline in an income account supporting a particular activity. The institution should take such constraints into account in designing the nature and timing of the consultation appropriate to such circumstances. The institution's policies and procedures may provide as needed the alternative forms of consultation appropriate to differences in the sources of funds for various programs or activities, or differences in the timing of information concerning a decline in resources for particular programs or activities. Program decisions made pursuant to a change in the level of resources available for a particular project shall be discussed by the chancellor or designee with such committee, committees, or committee representatives as may be specified by institutional policies and procedures as appropriate for such purposes. Decisions affecting individuals shall be communicated to the affected persons by the chancellor or designee together with a description of the change in available resources which has required the layoff decision. Nonrenewal of a probationary academic staff appointment under s. UWS 10.04, or a fixed term appointment, even if for financial reasons, is not a layoff for reasons of program or budget.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 12.01 General

    The academic staff consultative layoff committee shall be the layoff committee established in the Academic Staff Council bylaws (VII,C.)

    UWS 12.02 Layoff

    For the purpose of this chapter, "layoff" is the suspension of an academic staff member's employment by the university of Wisconsin system during the appointment period, for reasons of budget or program. A laid-off academic staff member retains the rights specified in ss. UWS 12.07 through 12.11, inclusive. For the purposes of s. 36.21, Stats., termination occurs at the time of layoff.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWS 12.03 Individual layoff decision

    When a reduction in program of a particular operational area is required, layoffs of academic staff members with indefinite, fixed term, or probationary appointments should normally follow seniority. This presumption in favor of seniority may be overcome where program needs dictate other considerations (e.g., the need to maintain specific expertise within the program or operational area). The standard notice periods specified in s. UWS 10.05 should be used, unless there are compelling reasons to the contrary (e.g., almost immediate cutoff of funds), for layoff of probationary and fixed term appointments under this chapter. Indefinite appointees shall have 12 months' notice of layoff for reasons of budget or program, unless there are compelling reasons to the contrary.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 12.03 Individual layoff decision

    (1) So far as consistent with UWS 12.03 the order of seniority in an operational area shall be from least to most: (a) fixed term appointees; (b) probationary appointees; (c) indefinite appointees.

    (2) Within each appointment category seniority shall be determined by total years of service at the University as an unclassified employee.

    (3) Notification of layoff shall include copies of UWS 8-13, copies of UWL 8-13 and copies of the Academic Staff Council bylaws. Notification of layoff shall comply with UWS 10.05, UWS 12.03, and the related Academic Staff Council bylaws.

    (4) Part-time staff of one-half or less shall have their time of service prorated.

    UWS 12.04 Hearing body

    The chancellor of each institution shall provide for a hearing body for the purposes of this chapter. Throughout this chapter the term "hearing body" is used to indicate either a hearing committee or a hearing examiner as designated in the institutional procedures. This hearing body shall operate as the hearing agent for the chancellor pursuant to s. 227.12, Stats., and conduct the hearing, make a verbatim record of the hearing, prepare a summary of the evidence and transmit such record and summary along with findings of fact and decision to the chancellor.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 12.04 Hearing body

    The hearing body to hear layoff appeals shall be the hearing body established under UWS 11, and the Academic Staff Council bylaws. (X, A).

    UWS 12.05 Review and hearing for indefinite appointments

    (1) An academic staff member with an indefinite appointment whose position is to be eliminated shall be notified in writing and shall, upon request made within 20 days after such notification, be given a written statement of the reasons for the decision within 15 days, including a statement of the reasons for the determination that the budgetary or program needs should be met by curtailing or discontinuing the program in which the individual concerned works. If the academic staff member requests in writing within 20 days after receipt of said statement, he or she shall be entitled to a hearing before the hearing body. However, such a request for hearing shall not forestall a layoff under this section.

    (a) The request for hearing shall specify the grounds to be used in establishing the impropriety of the decision.

    (b) The staff member shall be given at least 10 days notice of such hearing. Such hearing shall be held not later than 20 days after the request except that this time limit may be extended by order of the hearing body. Anyone who participated in the decision to layoff or who is a material witness shall not serve on the hearing body.

    (2) The academic staff member shall have access to the evidence on which the administration intends to rely to support the decision to layoff and shall be guaranteed the following minimal procedural safeguards at the hearing:

    (a) A right to be heard in his or her defense;

    (b) A right to counsel and/or other representatives, and to offer witnesses;

    (c) A right to confront and cross-examine adverse witnesses;

    (d) A verbatim record of all hearings, which might be a sound recording, provided at no cost;

    (e) Written findings of fact and decision based on the hearing record;

    (f) Admissibility of evidence governed by s. 227.10, Stats.;

    (g) The hearing shall be closed unless the staff member whose position is to be eliminated requests an open hearing, in which case it shall be open (see s. 66.77, Stats., Open Meeting Law);

    (h) Adjournments shall be granted to enable either party to investigate evidence as to which a valid claim of surprise is made.

    (3) If the institutional policies and procedures provide that the review and hearing be conducted by a committee, the following requirements shall be observed:

    (a) The committee may, on motion of either party, disqualify any one of its members for cause by a majority vote. If one or more of the committee members disqualify themselves or are disqualified, the remaining members may select a number of other replacements equal to the number who have been disqualified to serve;

    (b) If the committee requests, the chancellor shall provide legal counsel after consulting with the committee concerning its wishes in this regard. The function of legal counsel shall be to advise the committee, consult with them on legal matters, and carry out such responsibilities as shall be determined by the committee within the policies and procedures adopted by the institution.

    (4) The first question to be considered in the review is whether one or more of the following factors improperly entered into the decision to layoff:

    (a) Conduct, expressions, or beliefs on the staff member's part which are constitutionally protected or actions which are consistent with an appropriate professional code of ethics;

    (b) Employment practices prescribed by applicable state or federal law; or

    (c)Improper consideration of the qualifications of the staff member. For the purposes of this section, "improper consideration" occurs if material prejudice resulted from any of the following:

    1.The procedures required by the chancellor or board were not followed;

    2. Available data bearing materially on the quality of the staff member's actual or potential performance were not considered; or

    3.Unfounded, arbitrary, or irrelevant assumptions of fact were made about work or conduct.

    (5) The staff member shall present evidence on whether one or more of the factors specified above improperly entered into the decision to layoff. The hearing body shall then consider whether the evidence presented establishes a prima facie case that such factor or factors did enter significantly into the layoff decision. If the hearing body finds that a prima facie case has not been established, the layoff decision shall be found to have been proper and the hearing shall be ended.

    (6) If the hearing body finds that a prima facie case has been established, the appropriate administration officer for the operational area shall be entitled to present evidence to support the layoff decision, and, thereafter, the staff member may present evidence in rebuttal. Thereafter, on the basis of all the evidence presented, the hearing body shall make its determinations as follows:

    (a) The hearing body shall first consider whether one or more of the above specified factors improperly entered into the decision to layoff. Unless the body is convinced that such factor or factors did improperly enter into that decision, the body shall find the decision to have been proper;

    (b)If the hearing body is convinced that such factor or factors entered into the decision to layoff, then the body shall find that decision to be improper, unless the body is also convinced 1) that there was a bona fide program or budgetary reason(s), and that the determination of such reason(s) was made in the manner prescribed by, and in accordance with, the standards established by the institution; and 2) that the decision to layoff the particular academic staff member was in accordance with the provisions of s. UWS 12.02.

    (7) In determining whether a bona fide budgetary or program reason existed for layoff of the appointment of the academic staff member concerned, the hearing body shall presume that the decision to curtail the program was made in good faith and for proper reasons. The hearing body shall not substitute its judgment or priorities for that of the administration.

    (8) If the hearing body finds that the layoff was improper, it shall report this decision and its recommendation to the chancellor and to the staff member. The chancellor shall review the matter, decide whether the staff member should be laid off, and notify the hearing body and academic staff member of the decision. This decision shall be deemed final unless the board, upon request of the academic staff member, grants review based on the record.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 12.05 Review and hearing for indefinite appointments

    The local rules and procedures for layoff hearings shall be those established by UWL 11.

    (5) Denial that a prima facie case has been established requires a two-thirds vote of those hearing the case.

    (6) A majority vote of those hearing the case is required for recommendations in this section.

    UWS 12.06 Review for fixed term and probationary academic staff members

    Each institution shall establish procedures for an impartial review of the layoffs for reasons of budget or program of academic staff members with fixed term and probationary appointments. Nonrenewal is not a layoff under this section.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 12.06 Review for fixed term and probationary academic staff members

    The review procedures for fixed term and probationary academic staff members shall be the same as the procedures used for layoff appeals of indefinite appointees.

    UWS 12.07 Layoff status

    (1) An academic staff member whose position has been eliminated according to the provisions of this chapter may, at the end of the appropriate notice period, be placed on layoff status, unless the layoff notice has been rescinded prior to that time. The academic staff member whose notice period has expired, and who is placed on layoff status shall remain on layoff status until,

    (a) For fixed term and probationary appointee, one of the following occurs:

    1. The appointment expires under its own terms;

    2. The staff member fails to accept an alternate appointment.

    (b) For academic staff on indefinite appointment one of the following occurs:

    1. The staff member is reappointed to the position from which laid off. Failure to accept such reappointment would terminate the academic staff member's association with the institution;

    2. The staff member accepts an alternative continuing position in the institution. Failure to accept an alternate appointment would not terminate the academic staff member's association with the institution;

    3. The staff member resigns;

    4. The staff member fails to notify the chancellor or his/her designee not later than December 1, of each year while on layoff status, as to his/her location, employment status, and desire to remain on layoff status. Failure to provide such notice of desire to remain on layoff status shall terminate the academic staff member's association with the institution;

    5. A period of 3 years lapses.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWS 12.08 Alternative employment

    Each institution shall devote its best efforts to securing alternative appointments within the institution in positions for which staff laid off under this chapter are qualified under existing criteria. Each institution should seek to provide financial assistance for academic staff members who have indefinite appointments and who are to be laid off to readapt within the operational area or within another operational area of the institution where such readaptation is feasible within one year's time. Further, the university of Wisconsin system shall devote its best efforts to insure that such staff members laid off in any institution shall be made aware of openings within the system.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWS 12.09 Reappointment rights

    Each institution shall establish administrative procedures and policies to insure compliance with s. 36.21, Stats., in providing that where layoffs occur for reasons of budget or program, no person may be employed in that operational area at that institution within 3 years to perform reasonably comparable duties to those of the staff member laid off without first offering the laid off staff member on layoff status reappointment without loss of rights or status. In addition, an institution shall continue for 3 years from date of layoff to offer the reappointment rights stated in this section to a laid off fixed term appointee whose appointment has expired under its own terms if such appointee notified the chancellor or his/her designee by December I of each year, or more frequently if institutional policies and procedures require, as to his/her location, employment status, and desire to pursue reappointment rights. Failure to provide such notification shall terminate the academic staff member's reappointment rights under this section.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 12.09 Reappointment rights

    The Academic Staff Council may make additional suggestions to protect reappointment rights of those laid off as guaranteed in UWS 12.09.

    UWS 12.10 Retention of salary

    Any academic staff member reappointed within 3 years after layoff to reasonably comparable duties within the operational area shall be reappointed with a salary rate at least equivalent to the salary rate when laid off, together with such other rights and privileges which may have accrued at that time.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWS 12.11 Rights of academic staff members on layoff

    An academic staff member on layoff status in accord with the provisions of this chapter has the reemployment rights guaranteed by s. UWS 12.09 or 12.10, and has the following minimal rights:

    (1) Such voluntary participation in fringe benefit programs as is permitted by institutional policies;

    (2) Such continued use of campus facilities as is allowed by policies and procedures established by the institution; and

    (3) Such participation in institutional activities as is allowed by the policies and procedures established by the institution.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 12.11 Rights of academic staff members on layoff

    The Academic Staff Council shall recommend to the Chancellor additional services/benefits for laid off academic staff members. The Chancellor shall make final decisions on such services/benefits and shall inform those laid off of the services/benefits so granted.

    Chapter 13: Complaints and Grievances (Academic Staff)

    UWS 13.01 Complaints

    Each institution shall establish policies and procedures to deal with allegations by persons other than the academic staff member's supervisors, including administrators, students, other academic staff, faculty, classified staff, or members of the public concerning conduct by an academic staff member which violates university rules or policies, or which adversely affects the staff member's performance or obligation to the university but which allegations are not serious enough to warrant dismissal proceedings under ch. UWS 11. Such procedures shall include the designation of an individual or body with the power and authority to conduct a hearing on the complaint and to recommend solutions to the chancellor if the problem cannot be otherwise resolved.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 13.01 Complaints

    (1) Responsibilities for Charges, Hearing Requests, Due Process, Procedural Guarantees: The Chancellor shall review and act on the types of complaint specified in this chapter by the procedures specified in UWS 11.02. The rules for request for a hearing shall be those specified under UWS 11.04. The rules for adequate due process and procedural guarantees shall be those specified under UWS 11.05, 11.06; UWL 11.05-11,07; and corresponding Academic Staff Council bylaws, while substituting in these rules for dismissal the concept of severe sanctions other than dismissal.

    (2) Hearing Body: The standing committee to hear complaints shall be the same hearing body established under UWS 11.03, by UWL 11.03, and the Academic Staff Council bylaws. (X, A).

    (3) Procedures and Recommendations: At least two-thirds of the members hearing the case must concur in a finding of misconduct and in a recommendation of severe sanctions if such a finding and recommendation are to be reported to the Chancellor. Otherwise, a finding of no serious misconduct warranting severe sanctions shall be reported. The hearing body may by majority vote of those hearing the case recommend a minor sanction. If the hearing body finds sanctions are not warranted, it shall recommend dismissal of the complaint. The hearing body may recommend referral to appropriate officials or groups for informal resolution of remaining issues.

    (a) The hearing body shall transmit its finding of fact and recommendations in writing to the Chancellor and the academic staff member involved within ten calendar days after the conclusion of its proceedings.

    (b) Following the final decision of the Chancellor, the academic staff member involved shall not be charged again for the same instance(s) of alleged misconduct.

    (c) Within ten calendar days after the transmittal of the findings and recommendations of the hearing body, the academic staff member or the complainant may file written objections with the Chancellor.

    (d) Any objections must be based solely on the record as developed at the hearing before the hearing body.

    (e) The Chancellor shall render a decision as soon as practical after the expiration of this latter ten-day period and shall transmit the decision to the academic staff member, the complainant, and the hearing body. If the Chancellor does not accept the committee recommendation, he/she shall provide for the hearing body a written statement of the reasons for his/her disagreement. Failure to accept the hearing body's recommendations shall be rare, and the reasons compelling.

    (4) Board Review: Policies and procedures for board review of dismissal for cause of a member of the academic staff are specified in UWS 11.10.

    UWS 13.02 Grievances

    Each institution shall establish policies and procedures for adjudicating grievances involving members of the academic staff. Such procedures shall include the designation of an individual or body with the power and authority to investigate and to recommend solutions to the chancellor if the problem cannot be otherwise resolved.

    History: Cr. Register, October, 1975, No. 238, eff. 11-1-75.

    UWL 13.02 Grievances

    (1) The academic staff committee to investigate grievances of non-instructional academic staff members shall be the Academic Staff Grievance Committee established in the Academic Staff Council bylaws. (X, D).

    (2) A grievance is a personnel problem involving an appointee's expressed feeling of unfair treatment or dissatisfaction with aspects of his/her working conditions within the University which are outside his/her control. A grievance relates to such matters as salaries, promotions, assignments of duties, working conditions, and propriety of conduct claimed to harm the petitioner substantially whether the claim alleges unethical or improper action by colleagues or by administrator. A grievance is a matter other than one involving dismissal proceedings and other than a complaint proceeding involving (other) severe sanctions.

    (3) If an academic staff member feels cause for grievance the member may petition in writing the Academic Staff Grievance Committee for redress after other remedies are exhausted.

    (4) The written petition shall set forth in detail the nature of the grievance and shall state against whom the grievance is directed. It shall cite any data which the petitioner deems pertinent to the case.

    (5) Submission of a petition shall not automatically entail investigation or detailed consideration thereof. The committee shall have the right to decide whether or not the facts merit a detailed investigation.

    (6) The committee may seek to bring about a settlement of the issue satisfactory to the parties without a hearing.

    (7) If in the opinion of the committee such a settlement is not possible or is not appropriate, it shall conduct a fact finding hearing.

    (8) The hearing shall provide adequate due process: reasonable notice, hearing, and the right of the grievant to be accompanied by one other person (in addition to witnesses). The committee may establish procedures to conduct a hearing.

    (9) The committee shall report its findings and recommendations to the petitioner, to the Chancellor, or other appropriate administrative officer, and the Academic Staff Council.

    (10) The Chancellor shall respond in writing to the Committee's recommendations.

    (11) The committee to investigate grievance of instructional academic staff shall be the faculty committee on Grievance, Appeals, and Academic Freedom. (See senate bylaws and UWS 6.02 and UWL 6.02.)

    Last Updated: June 2007