ACADEMIC STAFF PERSONNEL RULES

Wisconsin Administrative Code
University of Wisconsin System/University of Wisconsin - La Crosse

This document is published as a complete file of Chapters 8, 9, 10, 11, 12, and 13. For your convenience and ease in printing a specific chapter, each chapter is also available individually: Select individual chapters here: Chapter 8, Chapter 9, Chapter 10, Chapter 11, Chapter 12, Chapter 13.

8.01 Declaration of policy
8.02 Definitions
8.025 Outside Activities and interests; reports
8.03 Standards of conduct
8.04 Action to avoid possible conflict
8.05 Sanctions
8.06 Reports

Chapter 9: Academic Staff Rules: Coverage and Delegation

9.01 Coverage
9.02 Delegation

Chapter 10: Academic Staff Appointments

10.01 Types of appointments
10.02 Recruitment and letter of appointment
10.03 Appointment policies
10.04 Nonrenewal of probationary academic staff appointments

10.05 Notice

Chapter 11: Dismissal of Academic Staff for Cause

11.01 Dismissal for cause - indefinite academic staff appointments

11.015 Definition
11.02 Responsibility for charges
11.03 Hearing body
11.04 Hearing
11.05 Adequate due process
11.06 Procedural guarantees
11.07 Recommendations: to the chancellor
11.08 Suspension from duties
11.09 Date of dismissal
11.10 Board review

11.101 Dismissal for cause in special cases - indefinite academic staff appointments

11.102 Serious criminal misconduct

11.103 Reporting responsibility

11.104 Expedited process

11.105 Temporary suspension from duties without pay

11.106 Board Review
11.11 Dismissal for cause - fixed term or probationary academic staff appointments
11.12 Dismissal for cause - teaching members of the academic staff

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

12.01 General
12.02 Layoff
12.03 Individual layoff decision
12.04 Hearing body
12.05 Review and hearing for indefinite appointments
12.06 Review for fixed term and probationary academic staff members
12.07 Layoff status
12.08 Alternative employment
12.09 Reappointment rights
12.10 Retention of salary
12.11 Rights of academic staff members on layoff

Chapter 13: Complaints and Grievances

13.01 Complaints
13.02 Grievance

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;

(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 topical terms 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.

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 benefitting 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

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

The fixed term academic staff appointment shall be used in filling positions where there is no assurance of continuing need or permanent funding for the position. The fixed term appointment shall be used only when any of the following circumstances prevail:

(1) When the position is clearly known to be of temporary duration (such as in replacements for sick leave, leaves of absence, and sabbaticals), or

(2) When the position has temporary funding not anticipated to be available beyond a given period of time, or

(3) When the position has a history of unstable program revenue funding, or

(4) When the position is less than a full-time nine month position, or

(5) When the position is best filled by someone lacking the appropriate degree or qualification in that field of expertise, or

(6) When an instructional academic staff position does not include the full range of faculty responsibilities (teaching, research, public and University service).

Fixed term appointments may also be used to provide flexibility in operational units or programs even though needs require sustained staffing in positions over time.

Fixed term appointments for individuals hired under conditions 1 or 2 shall be for the term of the replacement period or for the funding period.

The probationary appointment shall meet one of two basic criteria: (1) the position is stable in that it is supported by state funds and is considered permanent in nature, or (2) the position incorporates functions considered important enough so that the possibility of attaining an indefinite appointment is needed in order to attract quality candidates. On an annual basis the Chancellor shall report to the Academic Staff Council the names, positions and appointment status of all academic staff to insure that positions are not created by use of fixed term rather than probationary appointment.

Appointment letters shall specify the position, the unit and the operational areas as defined by the Academic Staff Council bylaws.

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) Appropriate administrative officers shall solicit from units position descriptions and other relevant data for academic staff vacancies. Such officers shall be responsible for approving positions descriptions and for authorizing recruitment. Notices of the position vacancy shall be distributed by the appropriate administrative officers, and other appropriate administrative officers.

(3) The 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 unit's peer review and judgment shall be the operative step in the recruiting process. In the case of creation of a new unit, appropriate academic 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 units such instructions and sample record forms to facilitate compliance with affirmative action obligations and procedures as well as budgetary requirements.

(5) Each year the Affirmative Action Office shall provide appropriate administrative officers and operational areas with the current utilization of women and minorities. Where under utilization exists, operational areas shall be required to establish affirmative action goals for the hiring of women and/or minorities prior to the initiation of recruitment efforts.

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

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.

UWL 10.03 Appointment policies.

(1) Fixed Term Appointments: 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 two months 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.

Unless otherwise stated, fixed term appointment of .50 F.T.E. or greater shall be for a period of one year. The use of fixed term appointments is restricted according to section 10.01 of these local rules.

A fixed term academic staff appointee with a 50% or more appointment who is reappointed after four years of continuous service shall receive at minimum, a two-year rolling horizon contract, if his/her performance is determined to be appropriate and there is reasonable certainty that the position will be continued and that resources for the position will continue to be available. The rolling term appointment shall be for a specified time period set forth in the letter of appointment. Notice shall be given annually that 1) the appointment shall be extended another year, 2) the rolling horizon contract will not be extended but the appointee shall be given an appointment for a fixed term, or 3) the appointment shall not be renewed. If the appointment is not renewed, notice shall be given according to the time specified in UWS 10.05. If an academic staff member with a rolling horizon contract is notified that the contract will not be extended but that the appointee shall be given an appointment for a fixed term or that the appointment shall not be renewed, the appointee may request written reasons for the decision from the decision maker. Such a request must be made within 10 working days of the issuance of the notice (20 calendar days if notice is by first class mail and publication). If a request is made, the decision maker shall issue the written reasons for the decision within 10 working days of receipt of the request. These time lines may be extended only by the mutual consent of the parties. The written reasons shall be included in the appointee's personnel file in the Office of Human Resources & Diversity.

After seven years of continuous service fixed term academic staff members with a 50% or more appointment shall receive at a minimum a three-year rolling horizon contract is his/her performance is determined to be appropriate and there is reasonable certainty that the position will be continued and that resources for the position will continue to be available. Notice shall be given annually that 1) the appointment shall be extended another year, 2) the rolling horizon contract will not be extended but the appointee shall be given an appointment for a fixed term, or 3) the appointment shall not be renewed. If the appointment is not renewed, notice shall be given according to the time specified in UWS 10.05. If an academic staff member with a rolling horizon contract is notified that the contract will not be extended but that the appointee shall be given an appointment for a fixed term or that the appointment shall not be renewed, the appointee may request written reasons for the decision from the decision maker. Such a request must be made within 10 working days of the issuance of the notice (20 calendar days if notice is by first class mail and publication). If a request is made, the decision maker shall issue the written reasons for the decision within 10 working days of receipt of the request. These time lines may be extended only by the mutual consent of the parties. The written reasons shall be included in the appointee's personnel file in the Office of Human Resources & Diversity.

In instances of nonrenewal because of budget or program reductions, the institution shall devote its best efforts to ensure that such staff members be considered for opening within the institution for which they qualify for three (3) years.

(2)(a) Probationary Appointments: A probationary academic staff appointment is one leading to review and a decision on indefinite appointment. The probationary period at the University of Wisconsin-La Crosse shall not exceed seven years for full-time academic year staff members and academic year staff members. Up to and not exceeding three years of prior service at another institution may be counted in the probationary period. The initial letter of appointment shall clearly state the amount of prior service to be counted.

(2)(b) Indefinite Appointments: Indefinite appointments may be made prior to the end of the probationary period, or, in some cases, without a probationary period.

Affirmative Review Process for Indefinite Appointment:

1. A decision on indefinite appointment must be made at least one year prior to the end of the probationary period. The authorized official (in most cases the unit head or immediate supervisor) must notify the probationary academic staff member in writing at least thirty days prior to the review conference at which promotion to indefinite appointment is to be considered. 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.

2. The recommendation of the authorized official for change of status to indefinite appointment shall be forwarded to the dean or division head within five working 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.

Annual Performance Review: Every academic staff member shall undergo 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. At the time of appointment the academic staff member shall be provided a copy of the position description and criteria of evaluation which apply to his/her position. The description and criteria shall be developed and annually revised (as necessary) by the supervisor in consultation with the staff and the supervisor's immediate superior. Instructional academic staff shall be annually evaluated in accordance with faculty personnel rules. (See UWS 3.05 and UWL 3.05) Their letters of appointment shall stipulate that such annual evaluations are required.

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, the authorized official 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 Reconsideration at the lowest level where a nonrenewal recommendation (decision) is made: An authorized official who makes a recommendation of nonrenewal shall formulate and retain written reasons for the decision. If the staff member wishes reasons he/she shall request them in writing within ten working days. Written reasons shall be provided the staff member within ten working days of the receipt of the written request. The reasons then become part of the official personnel file of the staff member. If the staff member wishes a reconsideration of the initial nonrenewal recommendation, he/she shall request a reconsideration meeting in writing within five working days of the receipt of the copy of the reasons.

The meeting for reconsideration with the authorized official shall be held within ten working days of the receipt of the request. The academic staff member shall be notified a minimum of three working days prior to the meeting. At the reconsideration meeting, the two principals shall be present. Each principal may choose up to two members of the university community to be present also. The third parties present may question either party and make comments to them. They shall file a report of the reconsideration meeting with the authorized official and the staff member. In later appeals such third parties may be called as witnesses. The academic staff member may make a personal presentation at the reconsideration meeting. The reconsideration meeting shall be held in accordance with the requirements of the open meetings law in Wisconsin.

At the meeting for reconsideration, the academic staff member is entitled to present documentary evidence. The reconsideration is not a hearing nor an appeal. Its only purpose is to allow the academic staff member an opportunity to persuade the authorized official 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 person requesting the reconsideration. This reconsideration proceeding shall occur at the lowest level where a nonrenewal recommendation was made.

Following the reconsideration, the authorized official shall forward a recommendation to his/her immediate supervisor with written reasons. The recommendations, with written reasons, shall also be sent to the employee under consideration within one week of the reconsideration.

(2) The appeal of the NonRenewal Decision: An appointee who is not reappointed by the chancellor or his designee shall receive notice of nonrenewal. Within one week the appointee may request of the chancellor written reasons for nonrenewal. If so requested, the chancellor shall transmit written reasons within one week. The reasons then become part of the official personnel file of the staff member. Within two weeks the non-renewal member, in accordance with UWS 10.04 (1), may send an appeal of the non-renewal to the Chancellor. Within one week the Chancellor shall transmit the appeal to the hearing body established in the Academic Staff Council bylaws for UWS 11.03 (1). The hearing body shall proceed in accordance with applicable laws and with UWS 10.04. The scope of its review is specified in 10.04 (1). The hearing shall be conducted on the basis of procedures set in the Academic Staff Council bylaws. Recommendations of the hearing body, based on a majority vote of the members hearing the case, shall be sent to the chancellor. A report of the recommendations shall be sent to the academic staff member.

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

(3) The rules for notice periods in UWS 3.09 and UWS 3.10 shall apply to instructional academic staff except for the first year of appointment in which UWS 10.05 (3) shall apply.

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(1) Hearing Body.

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;

(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 (1) & 11.07 Procedural guarantees. (cf UWS 11.06(1)(a),(2)(a))

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.

(2) 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;

(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 (5), (6) 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

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 1