Unclassified Personnel Rules
Wisconsin Administrative
Code
University of Wisconsin System/University of Wisconsin-La Crosse
The University of Wisconsin System portion of the Administrative
Code is indicated by UWS. UW-La Crosse has provided a
further definition, specific to our campus and this in indicated
by UWL.
Chapter 10: Academic Staff Appointments
·
UWS 10.01
Types of
appointments
·
UWL 10.01
Types of
appointments
· UWS_10.02
Recruitment and letter of appointment.
·
UWL_10.02
Recruitment and letter of appointment
·
UWS 10.03
Appointments policies
·
UWL 10.03
Appointments policies
·
UWS 10.04
Nonrenewal
of probationary academic staff appointments
·
UWL 10.04
Nonrenewal
of probationary academic staff appointments
·
UWS 10.05
Notice
·
UWL 10.05
Notice
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.
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.
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.