FACULTY PERSONNEL RULES
Wisconsin Administrative Code
University of Wisconsin System/University of Wisconsin-La Crosse
This document is published as a complete file of Chapters 3, 4, 5, 6, and 8. For your
convenience and ease in printing a specific chapter, each chapter is also available individually:
Select individual chapters here: Chapter 3,
Chapter 4, Chapter 5,
Chapter 6, Chapter 7, Chapter 8.
Chapter 3: Faculty Appointments
3.01 Types of appointments
3.02 Recruiting
3.03 Appointments - General
3.04 Probationary appointments
3.05 Periodic review
3.06 Renewal of appointments and granting of tenure
3.07 Nonrenewal of probationary appointments
3.08 Appeal of a nonrenewal decision
3.09 Notice periods
3.10 Absence of proper notification
3.11 Limitation
Chapter 4: Procedures for Dismissal
4.01 Dismissal for cause
4.02 Responsibility for charges
4.03 Standing faculty committee
4.04 Hearing
4.05 Adequate due process
4.06 Procedural guarantees
4.07 Recommendations: to the chancellor: to the regents
4.08 Board review
4.09 Suspension from duties
4.10 Date of dismissal
Chapter 5: Layoff and Termination for Reasons of
Financial Emergency
5.01 General
5.02 Financial emergency
5.03 Layoff and termination
5.04 Faculty consultative committee
5.05 Consultation
5.06 Recommendation to the system president and the board
5.07 Individual designations
5.08 Seniority
5.09 Notification
5.10 Notification period
5.11 Faculty hearing committee
5.12 Review hearing
5.13 Hearing procedure
5.14 Recommendations and review by the board
5.15 Board review
5.16 Layoff status
5.17 Alternative employment
5.18 Reappointment rights
5.19 Retention of rank and salary
5.20 Rights of faculty members on layoff
5.21 Systemwide tenure
5.22 Lack of faculty action
Chapter 6: Complaints and Grievances
Chapter 7 Dismissal of Faculty in Special Cases
Chapter 8: Unclassified Staff Code of Ethics
Chapter 3: Faculty Appointments
UWS 3.01 Types of appointments.
(1) Appointments to the faculty are either tenure or probationary appointments. Faculty appointments carry the following titles: professor, associate professor, assistant professor, and instructor.
Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.
All other appointments to faculty duties shall be clearly limited to a brief association with the institution, including reappointments of retired faculty member under special conditions. Merger statute 36.15 (1) (b) recognized some such appointments as "academic staff" "professional appointments" under titles such as visiting faculty, clinical staff, lecturer, scientist, specialist, etc.; and provides under (2) for probationary periods and permanent status if such appointments should not be brief associations with the institution. The appropriate administrative officer shall annually supply the faculty senate documentary justification for denial of half-time or more faculty duties where the association with the institution is clearly not a brief association. Such appointments to the faculty require affirmative recommendation of the appropriate academic departments, and lead toward tenure on the faculty.
- (a) "Tenure appointment" means an appointment for an unlimited period granted to a ranked faculty member by the board upon the affirmative recommendation of the appropriate academic department, or its functional equivalent, and the chancellor of an institution via the president of the system.
- (b) "Probationary appointment" means an appointment by the board upon the affirmative recommendation of the appropriate academic department, or its functional equivalent, and the chancellor of an institution and held by a faculty member during the period which may precede a decision on a tenure appointment.
- (c) In accordance with s. 36.05 (8), Stats., academic staff appointments may be converted to faculty appointments by the action of the board upon the recommendation of the appropriate faculty body and the chancellor of an institution. Such faculty appointees shall enjoy all the rights and privileges of faculty.
- (d) In accordance with s. UWS 1.05 members of the academic staff may be given faculty status. Members of the academic staff who have been given faculty status have employment rights under the rules and policies concerning academic staff.
- (e) A person holding a faculty appointment under ss. 36.13 and 36.15, Stats., shall not lose that appointment by accepting a limited appointment for a designated administrative position.
Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.
The "appropriate faculty body" is the appropriate department or its functional equivalent.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
The faculty of each institution, after consultation with appropriate students and with the approval of the chancellor, shall develop procedures relating to recruitment of members of the faculty. The procedure shall be consistent with board policy and state and federal laws with respect to nondiscriminatory and affirmative action recruitment. The procedures shall allow maximum flexibility at the departmental, school and college levels to meet particular needs. In all instances the procedures shall provide for departmental peer review and judgment as the operative step in the recruiting process.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 3.02 Recruiting.
(1) To 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 faculty.
(2) When a department and the appropriate academic administrative officers determine that, according to department staffing plans, a faculty vacancy exists in the department, the department shall proceed with the development of a position description for a faculty appointment.
(3) The appropriate academic administrative officers shall be responsible for approving position descriptions and for authorizing recruitment. A copy of the position vacancy shall be submitted if and as needed or required to System Administration for clearance to proceed in the recruitment process. Notices of the position vacancy shall be distributed by the appropriate academic administrative officer and the department chairperson.
(4) The department shall have responsibility for careful screening of all applications received and for the recommendation of candidates to be invited to the campus for interviews. Departmental review and judgement shall be the operative step in the recruiting process. In the case of creation of a new department, appropriate academic administrative officers shall give consideration to the judgment of the faculty of related disciplines.
(5) Each fall semester, the appropriate academic administrative officer shall distribute to department chairpersons such instructions and sample record forms as will facilitate compliance with affirmative action obligations and procedures as well as budgetary requirements. The Affirmative Action Office shall advise appropriate administrative officers and department chairpersons of the status of current utilization of women and minorities in each department/unit. Where underutilization exists, departments will be required to establish affirmative action goals for the hiring of women and/or minorities prior to the initiation of recruitment efforts.
UWS 3.03 Appointments--general.
The faculty of each institution, after consultation with appropriate students and with the approval of the chancellor, shall develop rules relating to faculty appointments. Each person to whom an appointment is offered must receive an appointment letter in which an authorized official of the institution details the terms and conditions of the appointment, including but not limited to, duration of the appointment, salary, starting date, ending date, general position responsibilities, probation, tenure status, and crediting of prior service. Accompanying this letter shall be an attachment detailing institutional and system rules and procedures relating to faculty appointments. If the appointment is subject to the advance approval of the board, a statement to this effect must be included in the letter.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 3.03 Appointments--general.
(1) Appointments to the teaching staff of a department shall be made as probationary faculty, with the limited exceptions provided for in UWS 3.04 of the Wisconsin Administrative Code and in the current UWL tenure density policy. The number of probationary faculty appointments in a department shall not be limited by the tenure density guidelines. Temporary appointments as fixed-term instructional academic staff, as provided for in UWL 10.01, may be used in some instances at the request of a department and with the approval of the dean.
(2) Appointments and all terms of appointments shall be made only if based on an affirmative recommendation of the department and with the approval of the appropriate academic administrative officers.
(3) Copies of all official appointment documents shall be supplied by the chancellor to the faculty member appointed and to the department.
(4) Any subsequent extensions or modifications of an appointment, and any special understandings, or any notices incumbent upon either part to provide, shall be stated or confirmed in writing by the chancellor. Copies shall be given to the faculty member and to the department chairperson, and a copy shall become a part of the faculty member's permanent file.
Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.
Throughout the rules the term "department" refers to departments and to all equivalent functional units; and "college" to all units similar to college, such as schools and divisions.
The term "department" shall be limited to instructional entities which include among their major functions credit-producing teaching activities (lecture and/or laboratory) and the primary functions of which are instruction and research related to the body of knowledge being taught. *The rules in this section augment information found in the Wisconsin Administrative Code for the University of Wisconsin System and the UW-L Faculty Personnel Rules. These documents are issued to all faculty in addition to this handbook.
UWS 3.04 Probationary appointments.
(1) Each institution's rules for faculty appointments shall provide for a maximum 7-year probationary period in a full-time position, and may provide for a longer maximum probationary period in a part-time position of at least half time. Such rules may permit appointments with shortened probationary periods or appointments to tenure without a probationary period. Provision shall be made for the appropriate counting of prior service at other institutions and at the institution. Tenure is not acquired solely because of years of service.
(2) A leave of absence, sabbatical or a teacher improvement assignment does not constitute a break in continuous service and shall not be included in the 7-year period under sub. (1).
(3) Circumstances in addition to those identified under sub. (2) that do not constitute a break in continuous service and that shall not be included in the 7-year period include responsibilities with respect to childbirth or adoption, significant responsibilities with respect to elder or dependent care obligations, disability or chronic illness, or circumstances beyond the control of the faculty member, when those circumstances significantly impede the faculty member's progress toward achieving tenure. It shall be presumed that a request made under this section because of responsibilities with respect to childbirth or adoption shall be approved. A request shall be made before a tenure review commences under s. UWS 3.06 (1) (c). A request for additional time because of responsibilities with respect to childbirth or adoption shall be initiated in writing by the probationary faculty member concerned and shall be submitted to a designated administrative officer who shall be authorized to grant a request and who shall specify the length of time for which the request is granted. Except for a request because of responsibilities with respect to childbirth or adoption, a request made because of other circumstances under this section shall be submitted to a designated administrative officer who shall be authorized to grant a request in accordance with institutional policies. A denial of a request shall be in writing and shall be based upon clear and convincing reasons. More than one request may be granted because of responsibilities with respect to childbirth or adoption. More than one request may be granted to a probationary faculty member but the total, aggregate length of time of all requests, except for a request because of responsibilities with respect to childbirth or adoption, granted to one probationary faculty member ordinarily shall be no more than one year. Each institution shall develop procedures for reviewing the requests.
(4) If any faculty member has been in probationary status for more than 7 years because of one or more of the reasons set forth in sub. (2) or (3), the faculty member shall be evaluated as if he or she had been on probationary status for 7 years.
Example: A faculty member has been on probationary status for a total of 9 years because the faculty member was granted 2 requests under sub. (3) for one-year extensions because of the birth of 2 children. The faculty member's teaching, research and professional and public service and contribution to the institution shall be evaluated as if the faculty member had only 7 years to work towards achieving tenure, rather than as if the faculty member had been working towards achieving tenure for 9 years.
UWL 3.04 Probationary appointments.
(1) Probationary appointments may be for one year or for other stated periods, subject to renewal. The total period of full-time service prior to the awarding of tenure shall not exceed seven years. Full-time service with the rank of instructor or higher in other institutions of higher learning and/or full-time service with an instructional staff appointment (or equivalent) at UW-La Crosse or other institutions of higher learning may be counted as part of the probationary period. The length of the probationary period shall be stated by the chancellor in writing at the time of initial appointment.
(2) There shall be two kinds of faculty appointments, full-time appointments and part-time appointments, either of which may be tenure appointments. The maximum probationary periods prior to the awarding of tenure for full-time appointments and part-time appointments of half time or more are as follows:
-
(a) Maximum probation for full-time tenured appointments shall be:
(i) seven full-time years, or
(ii) for any combination of full-time and part-time appointments in which the final three
years are consecutive full-time years:
four part-time semesters and six full-time years, or
eight part-time semesters and five full-time years, or
twelve part-time semesters and four full-time years, or
fourteen part-time semesters and three full-time years.
(b) Maximum probation for part-time tenured appointments (See Merger Law 36.13 (2)) shall be:
(i) fourteen part-time semesters, or
(ii) any combination of full-time and part-time appointments accumulating to seven
academic years.
(3) The circumstances described in UWS 3.04 (2) and (3) do not constitute a break in continuous service and shall not be included as part of the maximum probationary period.
(4) A leave of absence, sabbatical or a teacher improvement assignment which is approved by the Provost/Vice Chancellor shall be documented in the faculty member's personnel file. The length of any of these circumstances shall be rounded to the nearest semester or academic year. The effect of any of these circumstances on the faculty member's tenure decision date shall be noted in that faculty member's annual retention letter.
Tenure Clock Stoppage
UW-System and UW-L statutes allow probationary faculty to “stop” their tenure clock for several reasons, including responsibilities with regard to childbirth or adoption. A faculty member can request a delay of up to one year. Tenure clock stoppage results in extending the probationary period. Both UWS 3.04 and UW-L 3.04 apply. UW-L may develop policies that are stricter than UWS. The policies and procedures regarding tenure clock stoppage are different from those regarding leave.
The UWL administrative officer designated to act on faculty requests made under UWS 3.04(3) to exclude a certain time period from the maximum probationary period is the Provost/Vice Chancellor. To initiate the process the faculty member shall submit a written request to the member's department chair. In case of membership in more than one department, the request shall be submitted to the chair of the department in which the faculty member would hold a tenured appointment (if granted) after being continuously reappointed throughout the probationary period. Such requests can be made at any time during the probationary period. However, a request made during the academic year in which the faculty member's tenure decision is scheduled must be submitted to the department chair at least ten days prior to the scheduled date of the departmental tenure review meeting for the faculty member. The department shall review the request and forward it along with a recommendation to the Dean of the College who, after reviewing the faculty member's request and the departmental recommendation, shall forward these two items along with a recommendation to the Provost/Vice Chancellor for final action. Departments, deans, and the Provost/Vice Chancellor shall have written procedures for reviewing such requests. The procedures shall ensure compliance with the presumption (UWS 3.04(3)) that requests because of responsibilities with respect to childbirth or adoption shall be approved. In addition, for requests made under any of the other circumstances described in UWS 3.04(3), an unfavorable recommendation by the department or dean, or a denial by the Provost/Vice Chancellor, shall be in writing and shall be based upon clear and convincing reasons.
The time related to circumstances in UWS (2) and the time requested and approved in circumstances indicated in UWS (3) will be converted to the nearest full semester or academic year and recorded in the annual appointment letter to the faculty member. This letter will inform the faculty member of the status of the tenure decision time line either confirming it has remained the same or that it has been extended by circumstances indicated above.
(5) Nothing in this process shall be construed as preventing a faculty member from requesting an early tenure decision.
(6) Faculty members on part-time appointments with tenure shall acquire full-time appointments with tenure either upon completing the maximum probation period under (2) (a) or three consecutive years full-time employment subsequent to acquiring tenure. The final year of the three must be an appointment made subsequent to the effective date of these local rules.
(7) In exceptional cases appointments to tenure may occur with no probationary period or with a shortened probationary period if the appropriate (involved) department and the chancellor so agree. If such an agreement between the department and the chancellor occurs, the appointee shall be informed in writing of that agreement and approval at the time of the initial appointment or reappointment.
(8) A faculty member on probation who resigns or is non-renewed and is reappointed after a break in service, shall be credited with all prior probationary years of service at UW-La Crosse.
(9) Prior professional service may be counted for promotion and salary, and for purposes other than tenure or seniority, except as provided elsewhere in these rules.
Revision approved on April 12, 1999 by Chancellor Kuipers.
Revision approved by the Board of Regents on December 10, 1999, Resolution 8038.
The faculty and chancellor of each institution, after consultation with appropriate students, shall establish rules providing for periodic review of faculty performance.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 3.05 Periodic Review.
(1) Requirement for evaluation. Performance of all faculty members shall be reviewed annually. The areas of review shall include teaching, scholarship, and service (professional and university). Departments shall establish written bylaws specifying the review procedures. The bylaws shall include the criteria used in the review, how the criteria are applied, the occasions and methods of review, and any appellate procedures. The review procedures shall also provide faculty members with the opportunity to document their performance in the review areas for the time period under review. These bylaws shall be filed with the appropriate academic dean for the purpose of ensuring compliance with UWS and UWL personnel rules and faculty policies.
The results of the review shall be used in making recommendations for salary adjustments, retention, tenure, promotion, tenured faculty review and development, and for other considerations as needed. The review criteria used for making these different recommendations need not be identical; departments may conduct separate reviews as needed. The results of reviews for a faculty member over a period of several consecutive years shall be part of the basis for making retention, tenure, promotion, and tenured faculty review and development recommendations for the faculty member.
(2) Methods of Review
- (a) Teaching. The methods used to review teaching shall include both peer and student evaluation. These methods may also include self-evaluation.
(b) Scholarship and Service. Peer evaluation shall be used to review scholarship and service. Departmental bylaws shall govern the interpretation of the peer evaluation data.
(3) Procedures.
- (a) At least 20 days prior to a review, the department chairperson shall notify each faculty member of the date of the review and provide each faculty member with the appropriate form to be used to report the member's performance in the review areas for the time period under review. The department chairperson shall inform each faculty member of the date by which these forms should be completed and submitted. Faculty members are responsible for completing their own evaluation form.
(b) Within 14 days after completion of the review of a faculty member, a written report of the results of the review shall be given to the faculty member. Results shall be reported for each of the review areas.
UWS 3.06 Renewal of appointments and granting of tenure.
(1)(a) General. Appointments may be granted only upon the affirmative recommendation of the appropriate academic department, or its functional equivalent, and the chancellor of an institution. When specified by the board, the institutional recommendation shall be transmitted by the president of the system with a recommendation to the board for action. Tenure appointments may be granted to any ranked faculty member who holds or will hold a half-time appointment or more. The proportion of time provided for in the appointment may not be diminished or increased without the mutual consent of the faculty member and the institution, unless the faculty member is dismissed for just cause, pursuant to s. 36.13 (5), Stats., or is terminated or laid off pursuant to s. 36.21, Stats.
- (b) Criteria. Decisions relating to renewal of appointments or recommending of tenure shall be made in accordance with institutional rules and procedures which shall require an evaluation of teaching, research, and professional and public service and contribution to the institution. The relative importance of these functions in the evaluation process shall be decided by departmental, school, college, and institutional faculties in accordance with the mission and needs of the particular institution and its component parts. Written criteria for these decisions shall be developed by the appropriate institutional faculty bodies. Written criteria shall provide that if any faculty member has been in probationary status for more than 7 years because of one or more of the reasons set forth in s. UWS 3.04 (2) or (3), the faculty member shall be evaluated as if he or she had been in probationary status for 7 years.
- (c) Procedures. The faculty and chancellor of each institution, after consultation with appropriate students, shall establish rules governing the procedures for renewal or probationary appointments and for recommending tenure. These rules shall provide for written notice of the departmental review to the faculty member at least 20 days prior to the date of the departmental review, and an opportunity to present information on the faculty member's behalf. The probationary faculty member shall be notified in writing within 20 days after each decision at each reviewing level. In the event that a decision is made resulting in non-renewal, the procedures specified in s. UWS 3.07 shall be followed.
UWL 3.06 Renewal of appointments and granting of tenure.
(1) Renewal of appointments and granting of tenure require probationary faculty to be reviewed at three levels in the following order: 1) department; 2) college dean; and 3) chancellor. The process advances as the department's decision and the dean's recommendations are forwarded, in writing, to the chancellor. The timing of the reviews is determined by the university's Personnel Schedule Deadlines.
(2) The probationary faculty member shall be notified in writing within seven days after each decision or recommendation at each reviewing level.
(3) When a negative renewal/tenure decision or recommendation is made at any reviewing level, the provisions of UWS 3.07/UWL 3.07 on reconsideration and UWS 3.08/UWL 3.08 on appeal shall apply.
(4) The initial review of probationary faculty shall be conducted by the tenured faculty of the appropriate department in a manner determined by the tenured members. If there are no tenured members in the department, the appropriate supervisor who is tenured shall make the determination. Department procedures for review, criteria for retention and tenure, and the weighting of criteria shall be documented and on file in the appropriate dean's office. Any changes to department procedures, criteria, and their weighting during the six month period preceding the review shall not be applicable to the review.
(5) The department chair shall give written notice of the department review to the probationary faculty member at least 20 days prior to the date of the review. The probationary faculty member may present written and oral support for renewal. The requirements of sub chapter IV of Chapter 19, Wisconsin Statutes concerning open meeting of governmental bodies shall apply.
(6) An affirmative decision by the department or a successful reconsideration by the department that reverses an earlier non-renewal decision is required for renewal and tenure.
(7) The department shall forward the decision and the vote results to the appropriate dean (or other administrative officer). The dean shall submit to the chancellor a written recommendation either affirming or not affirming the department decision. The dean's criteria for renewal and tenure shall be consistent with department criteria. Further, the dean shall take the magnitude of the faculty vote into account when making the recommendation.
(8) Following a non-renewal decision at the department level, and reconsideration and appeal that do not reverse the decision, the department's decision and the vote results shall be forwarded to the appropriate dean (or other administrative officer). The dean shall submit to the chancellor a recommendation either affirming or not affirming the department decision. The dean's criteria for renewal and tenure shall be consistent with department criteria. Further, the dean shall take the magnitude of the faculty vote into account when making the recommendation.
(9) Following an affirmative decision at the department level, but a non-renewal recommendation at the dean level and reconsideration and appeal that do not reverse the recommendation, the process advances to the chancellor.
(10) If the department's decision and the dean's recommendations are both positive the chancellor's decision should be positive unless there are compelling reasons for a negative decision. A faculty member who is denied renewal/tenure at this stage may request the reasons in writing within 10 days. Written reasons shall be provided to the faculty member within 10 days of the receipt of the request. The reasons then become part of the official file of the faculty member.
UWL 3.06 was revised and approved by the Faculty Senate, approved by Chancellor Kuipers on April 15, 1998 and approved by the Board Of Regents on June 5, 1998.
UWS 3.07 Non-renewal of probationary appointments.
(1) (a) Rules and procedures. The faculty and chancellor of each institution, after consultation with appropriate students, shall establish rules and procedures for dealing with instances in which probationary faculty appointments are not renewed. These rules and procedures shall provide that, upon the timely written request of the faculty member concerned, the department or administrative officer making the decision shall, within a reasonable time, give him or her written reasons for non-renewal. Such reasons shall become a part of the personnel file of the individual. Further, the rules and procedures shall provide for reconsideration of the initial non-renewal decision upon timely written request.
- (b) Reconsideration. The purpose of reconsideration of a non-renewal decision shall be to provide an opportunity to a fair and full reconsideration of the non-renewal decision, and to insure that all relevant material is considered.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 3.07 Non-renewal of probationary faculty member's appointment.
(1) In making a decision of non-renewal, the authorized official (or body) shall inform the appointee early enough to allow time for possible reconsideration and appeal and adequate notice of non-renewal.
(2) The Right to Reconsideration at the lowest level where a non-renewal recommendation or decision is made: An authorized official (or body) who makes a recommendation of non-renewal shall formulate and retain written reasons for the decision. If the faculty member wishes reasons he/she shall request them in writing within 10 days. Written reasons shall be provided the faculty member within 10 days of the receipt of the written request. The reasons then become part of the official personnel file of the faculty member.
(3) If the faculty member wishes a reconsideration of the initial non-renewal recommendation, he/she shall request a reconsideration meeting in writing within two weeks of the receipt of the copy of the reasons.
(4) The meeting for reconsideration with the authorized official or body shall be held within two weeks of the receipt of the request. The faculty member shall be notified a minimum of seven days prior to the meeting. At the reconsideration meeting the authorized official (or body) and the faculty member shall be present. Each may choose up to two members of the university community to be present also. These third parties may question either of the other parties and make comments to them. These third parties also shall file a report of the reconsideration meeting with the authorized official and the faculty member. In later appeals such third parties may be called as witnesses. The faculty member may make a personal presentation at the reconsideration meeting. The meeting shall be held in accordance with sub chapter IV of Chapter 19, Wisconsin Statutes.
(5) At the meeting for reconsideration the faculty member is entitled to present documentary evidence. The reconsideration is not a hearing nor an appeal and shall be non-adversary in nature. Its purpose is to allow the faculty member an opportunity to persuade the authorized official or group to change the recommendation of non-renewal by challenging the stated reasons and/or by offering additional evidence. The burden of proof is on the faculty member requesting the reconsideration. This reconsideration proceeding shall occur at the lowest level where a non-renewal recommendation was made.
(6) Following the reconsideration, the authorized official or group shall forward a recommendation (with written reasons) to the next immediate supervisor. A copy of the recommendation and the reasons shall also be sent to the probationary faculty member within seven days of the reconsideration.
UWS 3.08 Appeal of a non-renewal decision.
(1) The faculty and chancellor of each institution, after consultation with appropriate students, shall establish rules and procedures for the appeal of a non-renewal decision. Such rules and procedures shall provide for the review of a non-renewal decision by an appropriate standing faculty committee upon written appeal by the faculty member concerned within 20 days of notice that the reconsideration has affirmed the non-renewal decision (25 days if notice is by first class mail and publication). Such review shall be held not later than 20 days after the request, except that this time limit may be enlarged by mutual consent of the parties, or by order of the review committee. The faculty member shall be given at least 10 days notice of such review. The burden of proof in such an appeal shall be on the faculty member, and the scope of the review shall be limited to the question of whether the decision was based in any significant degree upon one or more of the following factors, with material prejudice to the individual:
- (a) Conduct, expressions, or beliefs which are constitutionally protected, or protected by the principles of academic freedom, or
- (b) Factors proscribed by applicable state or federal law regarding fair employment practices, or
- © Improper consideration of qualifications for reappointment or renewal. For purposes of this section, "improper consideration" shall be deemed to have been given to the qualifications of a faculty member in question if material prejudice resulted because of any of the following:
(2) The appeals committee shall report on the validity of the appeal to the body or official making the non-renewal decision and to the appropriate dean and the chancellor.
(3) Such a report may include remedies which may, without limitation because of enumeration, take the form of a reconsideration by the decision maker, a reconsideration by the decision maker under instructions from the committee, or a recommendation to the next higher appointing level. Cases shall be remanded for reconsideration by the decision maker in all instances unless the appeals committee specifically finds that such a remand would serve no useful purpose. The appeals committee shall retain jurisdiction while reconsiderations are pending. The decision of the chancellor will be final on such matters.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 3.08 Appeal of a non-renewal decision.
(1) The standing committee to hear appeals of a non-renewal decision shall be the same hearing committee established under UWL 4.03.
(2) The appellant shall send a written request for a review of his/her case to the hearing committee and shall include a statement of the factors alleged to be materially prejudicial (see UWS 3.08 (1) a, b, c) and shall provide evidence to support his/her claim. The Hearing Committee may deny further consideration of the case if these materials are not provided.
(3) The hearing shall be held in conformity with sub chapter IV, Chapter 19, Wisconsin Statutes.
(4) While providing due process, the faculty hearing committee shall not be bound by common law or statutory rules of evidence.
(5) The Hearing Committee shall report its recommendations to the body or the officials involved in the non-renewal decision. The Hearing Committee also shall inform the faculty member of the recommendations if the officials do not do so within two working days.
(6) The recommendation of the committee shall be based on a majority vote of the committee members hearing the case.
(7) If the Hearing Committee finds that impermissible factors, as defined in UWS 3.08 (1)(a),(b) and (c), were involved in reaching a decision not to recommend tenure, and after all required reconsiderations have been completed, the Chancellor shall direct the Provost/Vice Chancellor to appoint an ad hoc committee of no fewer than five (5) tenured faculty members. Committee members may be off campus peers but may not be members of the appellant's department or its functional equivalent. No person may be appointed to the ad hoc committee unless the person is knowledgeable in the appellant's academic field or in a substantially similar field. The Provost/Vice Chancellor shall consult with the appellant's Dean to ensure that persons appointed to the ad hoc committee are so qualified. The ad hoc committee shall conduct a new review of the appellant's record with reference to the department's criteria for tenure. The appellant shall be afforded an opportunity to make an appearance before the committee and answer questions. Upon completion of the review, the ad hoc committee shall vote on whether the appellant should be granted tenure. The ad hoc committee shall submit a report of their findings to the Chancellor and provide a copy to the appellant. The findings of the ad hoc committee shall not be based on impermissible factors, as defined in UWS 3.08 (1)(a), (b) and (c).
If a majority of the ad hoc committee has recommended that tenure may be granted, the Chancellor may then recommend to the Board of Regents that a tenure appointment be granted without the concurrence of the appellant's department or functional equivalent.
(1) A faculty member who is employed on probationary appointment pursuant to s. 36.13, Stats., shall be given written notice of reappointment or non-reappointment for another academic year in advance of the expiration of the current appointment as follows:
- (a) When the appointment expires at the end of an academic year, not later than March 1 of the first academic year and not later than December 15 of the second consecutive academic year of service;
- (b) If the initial appointment expires during an academic year, at least 3 months prior to its expiration; if a second consecutive appointment terminates during the academic year, at least 6 months prior to its expiration;
- © After 2 or more years of continuous service at an institution of the university of Wisconsin system, such notice shall be given at least 12 months before the expiration of the appointment.
History: Cr. Register, January, 1975, No. 229. eff. 2-1-75.
UWS 3.10 Absence of proper notification.
If proper notice is not given in accordance with s. UWS 3.09, the aggrieved faculty member shall be entitled to a one-year terminal appointment. Such appointments, however, shall not result in the achievement of tenure.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
Tenure and probationary appointments are in a particular institution; a tenure appointment is limited to the institution in which the appointment is held, unless another institution has, through normal procedures and explicit agreement, undertaken to share in the appointment. The explicit agreement shall specify both the tenure responsibility and the budget responsibility.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
Chapter 4: Procedures for Dismissal
UWS 4.01 Dismissal for cause.
(1) Any faculty member having tenure may be dismissed only by the board and only for just cause and only after due notice and hearing. Any faculty member having a probationary appointment may be dismissed prior to the end of his/her term of appointment only by the board and only for just cause and only after due notice and hearing. A decision not to renew a probationary appointment or not to grant tenure does not constitute a dismissal.
(2) A faculty member is entitled to enjoy and exercise all the rights and privileges of a United States citizen, and the rights and privileges of academic freedom as they are generally understood in the academic community. This policy shall be observed in determining whether or not just cause for dismissal exists. The burden of proof of the existence of just cause for a dismissal is on the administration.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 4.02 Responsibility for charges.
(1) Whenever the chancellor of an institution within the university of Wisconsin system receives a complaint against a faculty member which he/she deems substantial and which, if true, might lead to dismissal under s. UWS 4.01, the chancellor shall within a reasonable time initiate an investigation and shall, prior to reaching a decision on filing charges, offer to discuss the matter informally with the faculty member. A faculty member may be dismissed only after receipt of a written statement of specific charges from the chancellor as the chief administrative officer of the institution and, if a hearing is requested by the faculty member, in accordance with the provisions of this chapter. If the faculty member does not request a hearing, action shall proceed along normal administrative lines but the provisions of ss. UWS 4.02, 4.09, and 4.10 shall still apply.
(2) Any formal statement of specific charges for dismissal sent to a faculty member shall be accompanied by a statement of the appeal procedures available to the faculty member.
(3) The statement of charges shall be served personally or by certified mail, return receipt requested. If such service cannot be made within 20 days, service shall be accomplished by first class mail and by publication as if the statement of charges were a summons and the provisions of s. 262.06 (1) (c), Stats., were applicable. Such service by mailing and publication shall be effective as of the first insertion of the notice of statement of charges in the newspaper.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 4.03 Standing faculty committee.
The faculty of each institution shall provide a standing committee charged with hearing dismissal cases and making recommendations under this chapter. This standing faculty committee shall operate as the hearing agent for the board pursuant to s. 227.12, Stats., and conduct the hearing, make a verbatim record of the hearing, prepare a summary of the evidence and transmit such record and summary along with its recommended findings of law and decision to the board according to s. UWS 4.07.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 4.03 Standing faculty committee.
The faculty standing committee for dismissal cases shall be the hearing committee specified in the Faculty Senate By-laws.
If the faculty member requests a hearing within 20 days of notice of the statement of charges (25 days if notice is by first class mail and publication), such a hearing shall be held not later than 20 days after the request except that this time limit may be enlarged by mutual written consent of the parties, or by order of the hearing committee. The request for a hearing shall be addressed in writing to the chairperson of the standing faculty committee created under s. UWS 4.03.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 4.05 Adequate due process.
(1) A fair hearing for a faculty member whose dismissal is sought under s. UWS 4.01 shall include the following:
- (a) Service of written notice of hearing on the specific charges at least 10 days prior to the hearing;
- (b) A right to the names of witnesses and of access to documentary evidence upon the basis of which dismissal is sought;
- (c) A right to be heard in his/her defense;
- (d) A right to counsel and/or other representatives, and to offer witnesses;
- (e) A right to confront and cross-examine adverse witnesses;
- (f) A verbatim record of all hearings, which might be a sound recording, provided at no cost;
- (g) Written findings of fact and decision based on the hearing record;
- (h) Admissibility of evidence governed by s. 227.10, Stats.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 4.06 Procedural guarantees.
(1) Any hearing held shall comply with the requirements set forth in s. UWS 4.05. The following requirements shall also be observed:
- (a) The burden of proof of the existence of just cause is on the administration or its representatives;
- (b) No faculty member who participated in the investigation of allegations leading to the filing of a statement of charges, or in the filing of a statement of charges, or who is a material witness shall be qualified to sit on the committee in that case;
- (c) The hearing shall be closed unless the faculty member under charges requests an open hearing, in which case it shall be open (see s. 66.77, Stats., Open Meeting Law);
- (d) The faculty hearing committee may, on motion of either party, disqualify any one of its members for cause by a majority vote. If one or more of the faculty hearing committee members disqualify themselves or are disqualified, the remaining members may select a number of other members of the faculty equal to the number who have been disqualified to serve, except that alternative methods of replacement may be specified in the rules and procedures adopted by the faculty establishing the standing committee under s. UWS 4.03;
- (e) The faculty hearing committee shall not be bound by common law or statutory rules of evidence and may admit evidence having reasonable probative value but shall exclude immaterial, irrelevant, or unduly repetitious testimony, and shall give effect to recognized legal privileges;
- (f) If the faculty hearing committee requests, the chancellor shall provide legal counsel after consulting with the committee concerning its wishes in this regard. The function of legal counsel shall be to advise the committee, consult with them on legal matters, and such other responsibilities as shall be determined by the committee within the provisions of the rules and procedures adopted by the faculty of the institution in establishing the standing faculty committee under s. UWS 4.03;
- (g) If a proceeding on charges against a faculty member not holding tenure is not concluded before the faculty member's appointment would expire, he/she may elect that such proceeding be carried to a final decision. Unless he/she so elects in writing, the proceeding shall be discontinued at the expiration of the appointment;
- (h) If a faculty member whose dismissal is sought has requested a hearing, discontinuance of the proceeding by the institution is deemed a withdrawal of charges and a finding that the charges were without merit;
- (i) Nothing in paragraph (h) shall prevent the settlement of cases by mutual agreement between the administration and the faculty member, with board approval, at any time prior to a final decision by the board;
- (j) Adjournment shall be granted to enable either party to investigate evidence as to which a valid claim of surprise is made.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 4.07 Recommendations: to the chancellor: to the regents.
(1) The faculty hearing committee shall send to the chancellor and to the faculty member concerned, as soon as practicable after conclusion of the hearing, a verbatim record of the testimony and a copy of its report, findings, and recommendations. The committee may determine that while adequate cause for discipline exists, some sanction less severe than dismissal is more appropriate. Within 20 days after receipt of this material the chancellor shall review it and afford the faculty member an opportunity to discuss it. The chancellor shall prepare a written recommendation within 20 days following the meeting with the faculty member, unless his/her proposed recommendation differs substantially from that of the committee. If the chancellor's proposed recommendations differ substantially from those of the faculty hearing committee, the chancellor shall promptly consult the faculty hearing committee and provide the committee with a reasonable opportunity for a written response prior to forwarding his/her recommendation. If the recommendation is for dismissal, the recommendation shall be submitted through the president of the system to the board. A copy of the faculty hearing committee's report and recommendations shall be forwarded through the president of the system to the board along with the chancellor's recommendation. A copy of the chancellor's recommendation shall also be sent to the faculty member concerned and to the faculty committee.
(2) Disciplinary action other than dismissal may be taken by the chancellor, after affording the faculty member an opportunity to be heard on the record, except that, upon written request by the faculty member, such action shall be submitted as a recommendation through the president to the board together with a copy of the faculty hearing committee's report and recommendation.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
(1) If the chancellor recommends dismissal, the board shall review the record before the faculty hearing committee and provide an opportunity for filing exceptions to the recommendations of the hearing committee or chancellor, and for oral arguments, unless the board decides to drop the charges against the faculty member without a hearing or the faculty member elects to waive a hearing. This hearing shall be closed unless the faculty member requests an open hearing (see s. 66.77, Stats., Open Meeting Law).
(2) If, after the hearing, the board decides to take action different from the recommendation of the faculty hearing committee and/or the chancellor, then before taking final action the board shall consult with the faculty hearing committee and/or the chancellor, as appropriate.
(3) If a faculty member whose dismissal is sought does not request a hearing pursuant to s. UWS 4.04 the board shall take appropriate action upon receipt of the statement of charges and the recommendation of the chancellor.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 4.09 Suspension from duties.
Pending the final decision as to his/her dismissal, the faculty member shall not normally be relieved of duties; but if, after consultation with appropriate faculty committees the chancellor finds that substantial harm to the institution may result if the faculty member is continued in his/her position, the faculty member may be relieved immediately of his/her duties, but his/her salary shall continue until the board makes its decision as to dismissal.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 4.09 Suspension from duties.
The faculty consultation shall concern the propriety, the length, and the other conditions of the suspension.
A decision by the board ordering dismissal shall specify the effective date of the dismissal.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
Chapter 5: Layoff and Termination for Reasons of Financial Emergency
UWS 5.01 General.
Notwithstanding s. 36.13 Stats., the board may lay off or terminate a tenured faculty member, or lay off or terminate a probationary faculty member prior to the end of his or her appointment, in the event of a financial emergency. Such layoffs or terminations may be made only in accord with the provisions of this chapter, and imply the retention of rights indicated herein. A non-renewal, regardless of reasons, is not a layoff or termination under this section.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
(1) For the purposes of this chapter, "financial emergency" is a state which may be declared by the board to exist for an institution if and only if the board finds that the following conditions exist:
- (a) The total general program operations (GPR/fee) budget of the institution, excluding adjustments for salary/wage increases and for inflationary impact on non-salary budgets, has been reduced;
- (b) Institutional operation within this reduced budget requires a reduction in the number of faculty positions such that tenured faculty must be laid off, or probationary faculty must be laid off prior to the end of their respective appointments. Such a reduction in faculty positions shall be deemed required only if in the board's judgment it will have an effect substantially less detrimental to the institution's ability to fulfill its mission than would other forms of budgetary curtailment available to the institution; and
- (c) The procedures described in ss. UWS 5.05 and 5.06 have been followed.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.03 Layoff and termination.
For the purposes of this chapter "layoff" is the indefinite suspension or an involuntary reduction in services and compensation of a faculty member's employment by the university of Wisconsin system. A laid off faculty member retains the rights specified in ss. UWS 5.16 through 5.21, inclusive. For the purposes of this chapter, "termination" is the permanent elimination of a faculty member's employment by the university of Wisconsin system. A terminated faculty member retains rights specified in ss. UWS 5.18 and 5.19.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.04 Faculty consultative committee.
The faculty of each institution shall, promptly after February 1, 1975, designate or create a standing faculty committee to consult with the chancellor if at any time a declaration of financial emergency is to be considered. The committee shall consist of faculty members of the institution chosen by the faculty in a manner to be determined by the faculty. It is the right and responsibility of this committee to represent the faculty before the board if a declaration of a state of financial emergency for the institution is being considered, and to assure that the procedures of ss. UWS 5.05 and 5.06 are followed.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 5.04 Faculty consultative committee.
The membership and functions of the Faculty Consultative Layoff Committee shall be established by the Faculty Senate.
(1) In the event that a declaration of financial emergency is contemplated, the chancellor of the affected institution shall consult with and seek advice from the faculty committee provided for in s. UWS 5.04 at least 3 months before the matter is taken to the board. The chancellor and committee shall:
- (a) Consider identifiable alternative methods of budget reduction;
- (b) Determine whether reductions in faculty positions under the provisions of this chapter can be made with less detriment to the institution's ability to fulfill its mission than would follow from reasonable alternative courses of action;
- (c) Determine from which colleges, schools, departments, or programs faculty positions should be eliminated:
- (d) Consult with faculties of colleges, schools, departments and programs potentially involved; and
- (e) Consult with such other individuals and groups as they feel may be able to provide valuable advice.
(1m) The committee shall prepare a report, with supporting documents, for submission to the chancellor, the faculty senate, or institutional equivalent, and the board.
(2) It shall be the primary responsibility of the faculty of the institution to establish criteria to be used by the chancellor and committee for academic program evaluations and priorities. A decision to curtail or discontinue an academic program for reasons of financial emergency shall be made in accordance with the best interests of students and the overall ability of the institution to fulfill its mission.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 5.05 Consultation.
Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.
(1)(a) All budget information shall be made available to the committee. Appropriate university personnel shall be made available as necessary to assist the committee to interpret the budgets. The committee shall place a high priority on the instructional programs of the University.
- (e)e.g. Faculty Senate or appropriate senate committees.
(2) Major criteria in evaluating programs to meet the interests of students and the university mission shall include, but not be limited to, the following (not necessarily listed in order of importance):
- (a) The workload of faculty;
- (b) The uniqueness of each program;
- (c) The number of students served and the numbers of majors and minors in each program;
- (d) The conservation of programs traditionally a part of a university; and
- (e) Program cost.
UWS 5.06 Recommendation to the system president and the board.
(1) If the chancellor decides to recommend that the board declare a state of financial emergency for the chancellor's institution, the recommendation to the system president and the board shall be accompanied by a report which shall include the following:
- (a) A statement of the procedures followed in arriving at the recommendation, showing compliance with s. UWS 5.05;
- (b) Data clearly demonstrating the need for a reduction of faculty positions in accord with the provisions of this chapter;
- (c) An identification of the colleges, schools, departments or program areas in which reductions will be made, with data indicating the appropriateness of such choices;
- (d) The report of the faculty committee, expressing its views on these matters; and
- (e) A report of any action of the faculty senate or institutional equivalent on this matter.
(2) The chancellor and the chairman of the faculty committee, or their designees, and representatives of affected colleges, schools, departments and programs, may appear before the board at the time the recommendation is considered. Other interested parties may submit in writing alternative recommendations or challenges to any part of the report.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.07 Individual designations.
Once the board has declared a state of financial emergency it shall be the primary responsibility of the tenured members of the affected department(s) to recommend which individuals are to be laid off. These recommendations shall follow seniority, as provided in s. UWS 5.08, unless a clear and convincing case is made that program needs dictate other considerations, e.g., the need to maintain diversity of specializations within a department. The department may seek the advice of other groups or individuals in formulating its recommendations. The departmental recommendation shall be forwarded to the chancellor, and the chancellor shall prepare recommendations for the system president and the board, as provided in s. UWS 5.14.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
The faculty of each institution shall promptly after February 1, 1975, determine the form of seniority that is to be considered. Such a determination shall be effective uniformly throughout the institution. Seniority may be, but is not limited to, the following definitions:
(1) Without regard to rank, with seniority established by total years of service in the institution;
(2) By rank, and within rank according to total years of service in the institution; or
(3) By rank, and within rank, according to length of service in the institution at that rank.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 5.08 Seniority.
(1) All non-tenured instructional staff in a department or program shall be released prior to layoff of tenured faculty members in that department or program.
(2) For tenured faculty members of an instructional department or program seniority shall be determined by rank, and within rank by total years of service in the university, except as qualified by other rules in this section on seniority.
(3) Method of calculation.
- (a) In calculating the total years of service the units of full-time service and fractions of part-time service per semester shall be totaled, excluding summer school service. Only service of half-time or more in a semester shall be counted.
- (b) The years and fractions in a concurrent limited appointment (See UWS 3.01 (e)) shall be counted as service for the faculty member.
- © Released time for tenured faculty (approved by the appropriate dean and the chancellor) for full-time teacher-improvement activities and for sabbaticals shall count. However, teacher-improvement activities in the summer shall not count. Time on sick leave shall count. Other leaves of absence shall not count.
- (d) In the calculation, only time served as ranked or unranked faculty shall count, except that instructional service in instructional departments or programs as academic staff (e.g., lecturer) shall also count.
- (e) The calculation for faculty members who are or are to be laid off and who transfer into another department (or program) shall be in terms of time of service in the new department, unless more semesters of service from the time served at UW-La Crosse are permitted by the new department. Time served in the new department or program shall count for a faculty member who returns to his/her former department. Lay-off time shall count for a faculty member who returns to his/her former department.
- (f) In the case of formation of new departments or merger of previously existing departments to form a new department, the members shall carry with them the years of service they had established in the prior department.
- (g) A faculty member transferring after January 1, 1977, from one department to another not as a result of a layoff shall negotiate the amount of creditable service in the new department. The negotiation of creditable service shall occur prior to the transfer and be acceptable to department and faculty member involved
- (h) A faculty member who transfers after January 1, 1977, to a new department (not his/her former one) from an academic staff position shall negotiate the amount of creditable service in the new department with the department involved. The negotiation of creditable service shall occur prior to the transfer and be acceptable to the department and faculty member involved. Any faculty member who transfers to his/her former department after January 1, 1977, from an academic staff position shall count earlier service in that department, and may count more of the time served at UW-La Crosse if permitted by the department to do so.
- (i) Faculty members equal in seniority in terms of rank and years in the university shall have seniority further determined by years in the department. If they are still equal then years in the rank shall be used to determine seniority.
Each faculty member whose position is recommended for elimination shall receive prompt written notification from the chancellor. This statement of notification shall include:
(1) A summary of the reasons and evidence supporting the declaration of a state of financial emergency and of the reasons and data leading to the choice of the colleges, schools, departments or programs in which reductions are to be made;
(2) A statement of the basis on which the individual position was selected for elimination (if on the basis of seniority, the criterion used and data supporting the choice; if on another basis, the data and reasons supporting that choice);
(3) A statement of the date on which the layoff is to be effective (this must be consistent with the provisions of s. UWS 5. 10); and
(4) A copy of these rules and such other information or procedural regulations as the chancellor or faculty hearing committee shall deem appropriate.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
(1) For an academic year appointment the effective date of layoff must coincide with the end of an academic year. For an annual appointment it shall be June 30. In either case notification must be given at least 12 months in advance of the effective date. The notification referred to here is that specified in s. UWS 5.09 informing the faculty member that his or her position has been recommended for elimination.
(2) During this period, and prior to entering layoff status (see s. UWS 5.16), the chancellor may offer as appropriate, and the faculty member may accept:
- (a) Terminal leave and early retirement
- (b) Relocation leave accompanied by resignation.
(3) Acceptance of either of these options will terminate the faculty members association with the university of Wisconsin system at the end of the leave period.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.11 Faculty hearing committee.
The faculty of each institution shall, promptly after February 1, 1975, establish a committee or designate an existing committee to serve as a hearing committee for the purposes of this chapter. The committee shall consist of faculty members of the institution chosen by the faculty in a manner to be determined by the faculty. This standing faculty committee shall operate as the hearing agent for the board pursuant to s. 227.12, Stats., and conduct the hearing, make a verbatim record of the hearing, prepare a summary of the evidence and transmit such record and summary along with its recommended findings of law and decision to the board according to s. UWS 5.14
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 5.11 Faculty hearing committee.
The standing committee to hear layoff appeals shall be the same hearing committee established in UWL 4.03.
Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.
The standing committee to hear layoff appeals shall be the Hearing Committee established under UWS 4.03, by UW-L 4.03, and bylaw X:4.03. The supplementary local rules and procedures for layoff hearings shall be those established under UWS 5.04 and 4.06 and under bylaw X:4.06.
(1) A faculty member whose position is recommended for elimination is entitled to a hearing before the faculty hearing committee as to the appropriateness of the decision to lay off that particular individual. The existence of a state of financial emergency and the designation of the colleges, schools, departments or programs in which faculty positions are to be eliminated are not subject to review in the hearing.
(2) A hearing must be requested within 20 days of the receipt by the faculty member of notification of recommended layoff. The request shall state with particularity the grounds to be relied upon in establishing the impropriety of the decision. Relevant information supplementary to that contained in the notification statement may be requested. The question to be considered in the review is whether one or more of the following improper factors entered into the decision to lay off:
- (a) Conduct, expressions, or beliefs on the faculty member's part which are constitutionally protected, or protected by the principles of academic freedom; or
- (b) Factors proscribed by applicable state or federal law regarding fair employment practices; or
- (c) Improper selection of the individual to be laid off. For the purposes of this section, "improper selection" occurs if material prejudice resulted from any of the following:
(3) The faculty member shall present evidence on whether one or more of the improper factors specified above entered into the decision to lay off. The committee shall then consider whether the evidence presented establishes a prima facie case that such factor or factors did enter significantly into the layoff decision. If the committee finds that a prima facie case has not been established, the layoff decision shall be found to have been proper and the hearing shall be ended. The committee shall report this finding to the chancellor and faculty member.
(4) If the committee finds that a prima facie case has been established, the chancellor or designee shall be entitled to present evidence to support the layoff decision, and, thereafter, the faculty member may present evidence in rebuttal. On the basis of all the evidence presented, the committee shall make its determination as follows:
- (a) The committee shall first consider whether one or more of the above specified improper factors entered significantly into the decision to lay off. Unless the committee is convinced that such factors did significantly enter into that decision, the committee shall find the decision to have been proper.
- (b) If the committee believes that improper factors may have entered into the decision, but is convinced that the same decision would have been reached had the error(s) not occurred, it shall find the decision to have been proper.
- (c) If the committee is convinced that improper factors entered significantly into and affected the decision, it shall be found to be improper.
(5) The Committee shall report its findings and recommendations to the chancellor and the faculty member.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWL 5.12 Review hearing.
(3) Denial that a prima facie case has been established requires a two-thirds vote of those hearing the case.
(4) A majority vote of those hearing the case is required for recommendations in this section (4).
(1) If the faculty hearing committee requests, the chancellor shall provide legal counsel to the committee. The hearing shall be closed unless the faculty member whose position has been recommended for elimination requests an open hearing, in which case it shall be open (see s. 66.77. Stats.. Open Meeting Law).
(2) The faculty hearing committee may, on motion of either party, disqualify any one of its members for cause by a majority vote. If one or more of the faculty hearing committee members disqualify themselves or are disqualified, the remaining members may select a number of other members of the faculty equal to the number who have been disqualified to serve, except that alternative methods of replacement may be specified in the rules and procedures adopted by the faculty establishing the standing committee under s. UWS 5.11. No faculty member who participated in the decision to lay off or who is a material witness may sit in on the hearing committee.
(3) The faculty member shall be given at least 10 days notice of the hearing; such hearing shall be held not later than 20 days after the request except that this time limit may be extended by mutual consent of the parties or by order of the hearing committee.
(4) The faculty member shall have access to the evidence on which the administration intends to rely to support the decision to lay off, and shall be guaranteed the following minimal procedural safeguards at the hearing:
- (a) A right to be heard in his or her own behalf;
- (b) A right to counsel and/or other representatives, and to offer witnesses;
- (c) A right to confront and cross-examine adverse witnesses;
- (d) A verbatim record of the hearing, which might be a sound recording, provided at no cost;
- (e) Written findings of fact and decision based on the hearing record; and
- (f) Admissibility of evidence governed by s. 227.10, Stats.
(5) Adjournments shall be granted to enable either party to investigate evidence as to which a valid claim of surprise is made.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.14 Recommendations and review by the board.
The recommendations of the chancellor and the recommendations, if any, of the faculty hearing committee, shall be transmitted to the president of the university of Wisconsin system and to the board and acted upon as follows:
(1) If the faculty member has not requested a hearing before the faculty hearing committee, the recommendation shall be deemed proper and shall be reported for information to the system president and the board.
(2) If the faculty member has requested a hearing and the faculty hearing committee has found the decision to be proper, the report of the faculty hearing committee shall be forwarded to the system president and board by the chancellor with a recommendation. The faculty member may request a review by the board, and the board review panel may at its option grant a review. Unless the board review panel grants the request for review, the recommended findings of fact and decision of the standing faculty committee shall be the final decision of the board of regents.
(3) If after a hearing, the faculty hearing committee's recommended findings of fact and decision are that the initial decision was improper, the chancellor shall review the matter and give careful consideration to the committee's finding. If the chancellor accepts the committee's findings the chancellor's decision shall be final. If the chancellor contests the recommended findings that the decision was improper, the verbatim record, a summary of the evidence and the recommended findings of law and decision shall be forwarded to the board review panel (see s. UWS 5.15). The chancellor and the faculty member shall be furnished with copies of this material and shall have a reasonable opportunity to file written exceptions to such summary and proposed findings and decision and to argue with respect to them orally and in writing before the board review panel. The board review panel shall hear and decide the case in accordance with s. 227.12, Stats. The decision of the board review panel shall be final.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
A review panel shall be appointed by the president of the board of regents, and shall include 3 members of the board, and 2 nonvoting staff members from the academic affairs office of the university system. The panel shall review the criteria and reasoning of the chancellor and the findings and recommendations of the faculty hearing committee in each case forwarded for its review, and shall reach a decision on the recommendation to be approved. The decision shall be final and binding upon the chancellor and the faculty member affected unless one or more of the regent members of the review panel request that the decision be reviewed by the full board of regents, in which case the record shall be reviewed and a decision reached by the full board.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
(1) A faculty member whose position has been eliminated or reduced in accordance with the provisions of this chapter shall, at the end of the appropriate notice period, be placed on layoff status, unless the layoff notice has been rescinded prior to that time.
(2) The faculty member whose notice period has expired, and who is placed on layoff status shall remain on layoff status until:
- (a) For probationary faculty, the probationary appointment would have expired under its own terms;
- (b) For tenured faculty, one of the following occurs:
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.17 Alternative employment.
Each institution shall devote its best efforts to securing alternative appointments within the institution in positions for which faculty laid off under this chapter are qualified under existing criteria. In addition, the university of Wisconsin system shall provide financial assistance for one year for faculty who are designated for layoff to readapt within the department or within another department of the institution, where such readaptation is feasible. Further, the university of Wisconsin system shall devote its best efforts to insure that faculty members laid off or terminated in any institution shall be made aware of openings within the system.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.18 Reappointment rights.
Each institution shall establish administrative procedures and policies to insure that where layoff or terminations occur for reasons of financial emergency, no person may be employed at that institution within 3 years to perform reasonably comparable duties to those of the faculty member laid off or terminated without first offering the laid off or terminated faculty member reappointment without loss of tenure, seniority and other rights. The 3 year period shall be computed from the effective date of layoff as specified in the original notice.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.19 Retention of rank and salary.
Any faculty member reappointed within 3 years after layoff or termination shall be reappointed with a rank and salary at least equivalent to the rank and salary when laid off or terminated, together with such other rights and privileges which may have accrued at that time; any faculty member relocated within an institution or within the university of Wisconsin system shall not have either rank or salary adversely affected except by consent at the time of relocation.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.20 Rights of faculty members on layoff.
A faculty member on layoff status in accord with the provisions of this chapter has the reemployment rights guaranteed by ss. UWS 5.18 and 5.19, and has the following minimal rights:
(1) Such participation in fringe benefit programs as is allowed by state regulations governing rights of laid off state employees;
(2) Such continued use of campus facilities as is allowed by policies and procedures established by the department and institution; and
(3) Such participation in departmental and institutional activities as is allowed by guidelines established by the department and institution.
UWL 5.20 Rights of faculty members on layoff.
Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.
(1) The faculty member shall consult the department involved and the appropriate dean on his/her continued use of campus facilities.
(2) The faculty member shall consult the department involved and the appropriate dean. Faculty members on layoff shall have participatory rights in faculty governance suspended and shall not be eligible for membership on the Faculty Senate nor on faculty committees.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
The commitment to Systemwide tenure within the former chapter 37 institutions shall be honored by those institutions for those eligible under s. 36.13 (4), Stats., 1973 in the event of layoff or termination under the provisions of this chapter.
UWL 5.21 System-wide tenure.
Note: Please read in conjunction with the following UW-L local supplementary rule, which is not Board approved and may be revised by joint action of the Faculty Senate and Chancellor without submitting revisions to UWS or the Board.
(1) The right of "Tenure within the System" applies only to faculty in the former Chapter 37 units and has reference only to employment rights within the Chapter 37 universities.
(2) The tenure right of the faculty member initially is in the department or division of the Chapter 37 unit of the system in which the faculty member is currently employed.
(3) Within the unit layoff of a tenured faculty member for fiscal reasons in one department or division gives to that faculty member a first claim upon any open position in another department or division for which he or she is professionally prepared and which involves duties her or she is judged to be competent to perform. The judgment on preparation and competence should be made by the employing department or division, subject to approval by the relevant administrative officers, including the chancellor. Denial of the opening to a tenured faculty member of the unit who has been laid off, and who believes himself/herself to be prepared and competent to fill the opening, must be based on documented evidence from the employing department or division which supports its judgment.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
UWS 5.22 Lack of faculty action.
If the faculty of an institution is given due notice of its rights and responsibilities under this chapter, and does not act, the chancellor may act as follows in lieu of the faculty action:
(1) If a faculty committee provided for in s. UWS 5.04 is not established, the chancellor may consult those members or representatives of the faculty he considers appropriate to satisfy the intent of s. UWS 5.05. All departments potentially involved shall be consulted and representatives of the faculty may dispute the chancellor's recommendation for a state of financial emergency before the board.
(2) If the faculty does not act to determine the form of seniority to be followed, the chancellor may designate the form. Such designation shall be effective campus wide and shall be made prior to the declaration by the board of a state of financial emergency.
(3) If an affected department or program does not recommend individuals for layoff or termination following declaration of a state of financial emergency, the chancellor shall determine the individuals to be affected, using such advice as is deemed of value.
(4) If a faculty hearing committee provided for in s. UWS 5.11 is not established by the faculty, the chancellor may appoint a Committee of faculty members to provide this function.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.
Chapter 6: Complaints and Grievances
UWS 6.01 Complaints.
The faculty of each institution, with the approval of the chancellor, shall establish rules and procedures to deal with allegations by the administration, students, academic staff members, other faculty members, classified staff members, or members of the public concerning conduct by a faculty member which violates university rules or policies, or which adversely affects the faculty member's performance of his/her obligation to the university but which allegations are not serious enough to warrant dismissal proceedings under ch. UWS 4. Such rules and procedures shall include, but not necessarily be limited to, the following:
(1) Review of and administrative action on the complaint by the chancellor. Administrative action may include dismissing the complaint, invoking an appropriate disciplinary action, or referring the complaint to the standing faculty committee created under sub. (2).
(2) Provision for a hearing before a standing faculty committee selected by the faculty of each institution in such manner as they shall determine. Such hearing shall be held at the request of the chancellor or, if the chancellor invokes a disciplinary action, at the request of the faculty member concerned.
(3) Guarantee of adequate due process to include, but not limited to, written notification of the complaint, fair and complete hearing procedures, written statement of findings, transmittal of findings to the faculty member involved and appropriate administrative officials within a reasonable period of time, and prohibition of further jeopardy for the same alleged misconduct after a final decision.
(4) Delineation of the powers of the faculty committee to make recommendations to the chancellor concerning disciplinary action, to recommend dismissal of the complaint, or to recommend referral of the complaint to the appropriate department or administrative officer.
(5) The decision by the chancellor on the recommendations of the committee, or on the complaint in the absence of committee recommendation, shall be final except that the board at its option might grant a review on the record.
History: Cr. Register, January, 1975, No. 229, eff. 2-1-75.<