Conflict resolution and clear communication are fundamental to establishing and maintaining a positive and effective work environment for employees. If a problem arises and an informal resolution cannot be found, then an academic staff employee may use the appeals/grievance process to address their concerns.
This page is intended as a resource for academic staff employees and does not supersede any Academic Staff Policies and Procedures (ASPP).
Learn more
- Who does this information apply to?
- Resources for grievance/appeal submissions
- Timelines and requirements
- Rights to representation
- Burden of proof
- Open vs. closed session
How to file a grievance/appeal
Questions?
Please contact your school, college, or division’s HR office or Workforce Relations.
Language assistance
For assistance with translation or interpretation, please contact Cultural Linguistic Services.
Who does this information apply to?
ASPP 1.03 defines academic staff as professional and administrative personnel other than faculty with duties and types of appointments that are primarily associated with higher education institutions or their administration. Each academic staff has a principal role related to research, teaching, outreach, student services, information technology, libraries, communications, clinical/health services, or other responsibilities. Academic staff may also have an ancillary role that is complementary and related to the principal role. Academic staff may hold positions and/or have working titles that include the term “professor,” which is authorized by Faculty Policies and Procedures 1.03A. Academic staff titles can be found in the Title and Standard Job Description Library using the Employee Category filter.
This page does not provide appeal or grievance resources for university staff, faculty, limited appointees, post degree trainees, student hourly employees, or temporary employees. If an employee is unsure of their employment category, they should review their appointment letter or contact the human resources office in their college, school, or division.
Applicable Academic Staff Policies and Procedures (ASPP)
For matters related to academic staff appeals and grievances, UW-Madison follows policies explained in the following chapters of Academic Staff Policies and Procedures (ASPP):
Resources for grievance/appeal submissions
Employees who need an accommodation throughout the process should contact their Divisional Disability Representatives
Accommodations
Employees who need an accommodation to complete the written statement, or other accommodations throughout the process should contact their Divisional Disability Representatives.
Additional resources from the Office of the Secretary of the Academic Staff
Timeline and requirements
Academic staff employees must submit their appeal/grievance to the specified recipient within a certain number of days from the date the employee became aware of the issue. The number of days is specified in ASPP for each type of appeal/grievance. University representatives must also respond to appellants (employee filing the appeal) within a certain number of days from the date they received the appeal/grievance. The information below explains how those days are counted.
Working days: All days except Saturdays, Sundays, legal holidays observed by Universities of Wisconsin, and days when the campus is closed by order of the Chancellor.
Date of receipt: The date the appeal/grievance was received by the person/office specified in ASPP. The “clock” for the next timeline starts on the day after the appeal/grievance is received.
Example
An academic staff employee sends an appeal of their dismissal to the dean on March 18, 2024. When it comes to counting the 20 working days that the dean’s office has to respond:
- Day 0 is March 18, 2024
- Day 1 is March 19, 2024
- Day 20 is April 15, 2024
Steps in the appeal/grievance process must be initiated and completed within the designated time periods except when modified by consent of both parties (appellant and university).
- If the appellant fails to initiate the next step in the appeal/grievance procedure within the designated time period, the appeal/grievance will be considered resolved by the decision at the last completed step.
- If there is no response from the university to a step in the grievance process within the designated time period at any step, the appellant can proceed to the next step in the grievance process within 10 working days of the expiration of the designated period.
- In cases of an appeal of dismissal for cause under ASPP 6, additional grievances filed by the appellant may be suspended pending the resolution of the appeal.
Rights to representation
Appellants have the right to legal counsel or other representation at their own expense. Appellants can get assistance from a representative of their choice at any step in the grievance process. The University does not provide representation to appellants. All parties shall be informed of who the representatives for each side are. Representatives may take part in presentation of the appellant’s/university’s case during the review or hearing.
Burden of Proof
The party who has the burden of proof is responsible for showing that it is more likely than not that their version of events is true. This is also referred to as a “preponderance of the evidence” standard.
Cases where Appellant has the burden of proof:
- Appeal of nonrenewal (ASPP 3)
- Grievances other than discipline resulting in a loss of pay (ASPP 6, 7)
- In these appeals/grievances, the appellant has the burden to show, by a preponderance of the evidence, that the action being appealed/grieved is arbitrary, capricious, for reasons prohibited by law, or in violation of ASPP.
- ASPP 3 defines an arbitrary or capricious nonrenewal decision as “one that is made without a basis in fact or for inconsequential or unsubstantial reasons when the needs of the program have not changed, funds for the position are available, and performance has been satisfactory.”
Cases where the University has the burden of proof:
- Appeal of layoff (ASPP 5)
- The university’s burden in layoff cases is “to show by a preponderance of the evidence
- (i) that the layoff is in fact the result of funding loss or a budget or program decision requiring program discontinuance, curtailment, modification, or redirection,
- (ii) that another academic staff member should not have been laid off instead, and
- (iii) that the layoff is not arbitrary, capricious, for reasons prohibited by law, or in violation of ASPP.”
- The university’s burden in layoff cases is “to show by a preponderance of the evidence
- With the exception of layoffs above, in these appeals/grievances, the university has the burden to show, by a preponderance of the evidence that the seven tests of just cause in ASPP 6.03.C.2 have been met.
Seven tests of just cause:
- Was the employee aware or should the employee have been aware of the possible or probable consequences of the employee conduct or performance?
- Reasonable Rule or Expectation. Were the employer’s rules or expectations reasonably related to a) the orderly, efficient and safe operation of the work unit and b) the performance that the employer might properly expect of the employee?
- Did the employer, before taking disciplinary action or dismissing the employee, make an effort to discover whether the employee did in fact engage in the conduct or performance in question?
- Fair Investigation. Was the employer’s investigation conducted fairly and objectively?
- At the investigation, did the employer obtain substantial evidence or proof that the employee did engage in the conduct or performance in question?
- Equal Treatment. Has the employer applied the rules, orders and penalties evenhandedly?
- Was the employer’s action reasonably related to a) the seriousness of the employee’s proven conduct or performance deficiencies and b) the record of the employee during their service to the university?
Open vs. Closed Session
Reviews and Hearings of the Academic Staff Appeals Committee (ASAC) are held in closed session unless the appellant chooses to have the proceedings held in open session.
The following individuals generally attend a closed session. Attendees could vary based on the circumstances of the facts of the grievance.
- Appellant and their representative (optional)
- University representatives (this could include school/college/division HR representative, Workforce Relations representative and Office of Legal Affairs representative)
- Academic Staff Appeals Committee (ASAC) Panel (5-person panel including chair)
- Legal Counsel to ASAC Panel (attorney from Universities of Wisconsin Legal)
- Secretary of the Academic Staff
- Witnesses (sequestered until they are called, and then leave the room once they have answered questions from all parties)
If there is a disagreement between the parties about someone being allowed to attend a closed-session review/hearing, the ASAC chair will make the final decision as to whether that person can attend.
In open session, any member of the public may attend the proceedings. For hearings, witnesses will still be sequestered until they are called, after which they may stay for the remainder of the proceedings.
Steps for Grievance of an Employment Problem (ASPP 7)
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Informal Resolution
An academic staff member who has an employment problem that may lead to the grievance procedure is first encouraged to attempt to resolve the matter informally. Establishing open lines of communication between the parties in a non-intimidating manner may be sufficient to resolve the problem.
Information is available from a variety of university resources, including those listed below. Academic staff members may seek advice and information from any of these resources without initiating formal or informal action:
- Division Human Resource representative or the UW–Madison Office of Human Resources Workforce Relations can provide information on policy, procedure, campus resources and appropriate procedures for resolving a problem, either informally or through the grievance procedure. Workforce Relations cannot submit a grievance for an employee or advise them as to whether they should or should not submit a grievance.
- The Office of Compliance can provide information and assistance if the problem might involve discrimination or disability issues.
- The Employee Assistance Office can provide resources and support to employees who are experiencing employment problems.
- LifeMatters provides resources, support and mediation to employees with expanded hours.
- The Ombuds Office is an informal, confidential, and independent resource for staff seeking help in resolving problems and conflicts.
- Members of the Personnel Policies and Procedures Committee – Office of the Secretary of the Academic Staff, the Office of the Secretary of the Academic Staff, or the Academic Staff Executive Committee (ASEC) are available to assist individuals in determining where to go for help.
An academic staff member who has an employment problem that may lead to the grievance procedure is first encouraged to attempt to resolve the matter informally. Some options may include:
- Discussion with the academic staff member’s immediate supervisor, principal investigator, department chair or unit head.
- Discussion with the dean, director or designee if:
-
- discussion with the individual in ASPP 7.01.B.1 did not resolve the matter; or
- the academic staff member prefers not to discuss the problem with the individual in ASPP 7.01.B.1.
- Discussion with the divisional human resources representative, the Office of Human Resources or, in cases of alleged discrimination, the Office of Compliance.
- In response to a specific request for assistance in resolving an employment problem, these offices may initiate discussions with the academic staff member, supervisor, principal investigator, chair, director, dean, or other appropriate persons and recommend corrective action as needed.
- These discussions concerning the employment problem will be initiated only with the academic staff member’s consent. Extreme cases may require notification of appropriate university officials without such consent. Certain circumstances require mandatory reporting. Examples include but are not limited to safety, child abuse and patient abuse.
Step 1: Appeal to Department Chair, Unit Head, or Designee
Appellant:
- Submit a written statement to the department chair or unit head
- Copy to the dean/director/designee, the Secretary of the Academic Staff, and the Office of Human Resources
- Initiate the grievance no later than 20 working days from the time the grievant knew or could reasonably be expected to have known of the circumstances giving rise to the grievance (NOTE: Initiation of the informal procedure described in 7.01 within the 20-working-day period will extend the deadline for initiating the grievance to 40 working days).
- The statement must include:
- Grievant’s name
- The employment problem
- Facts and allegations related to the problem
- The relief sought
- Cite relevant sections of ASPP, if applicable, in the statement.
Following the receipt of the written statement of grievance, there shall be a period of 20 working days, unless modified by mutual agreement, during which attempts shall be made to resolve the matter. At the request of either party, a conference shall be held during this period.
Department Chair/Unit Head:
- Issues a written response to the formal grievance within 20 working days of receipt of the written grievance, with copy to the dean/director, the Secretary of the Academic Staff, and the Office of Human Resources
- This response must notify the grievant of their right of appeal under 7.02.D.2.
If there is no response by the department chair or unit head the written statement of grievance within the designated time period, the grievant can appeal to the dean or director within 10 working days of the expiration of the designated period.
NOTE: If the grievant has changed operational areas or has left UW–Madison employment, the unit being grieved shall refer the grievance in writing to the Academic Staff Appeals Committee (ASAC) to decide if the grievance shall be processed. The unit shall provide a copy of the referral to the grievant. The Committee shall submit its written decision to the provost regarding whether the grievance can be processed and shall send a copy to the grievant, the former employing department and its dean or director, and the Secretary of the Academic Staff.
Step 2: Appeal to Dean, Director, or Designee
Appellant:
- If the Step 1 decision is not accepted, file the appeal with the dean, director or designee together with any additional information the appellant deems appropriate
- Copy the Secretary of the Academic Staff, the Office of Human Resources, and the employing department.
At the request of either party, a conference shall be held prior to the decision.
Dean/Director/Designee:
- Render a written decision within 10 working days
- Send copies to the appellant, the chair, director or designee, the Secretary of the Academic Staff, the Office of Human Resources, and the employing department.
- This decision must notify the appellant of their right of appeal under 7.02.D.3.
Step 3: Appeal to the Academic Staff Appeals Committee
If the Step 2 decision is not accepted by the appellant, they have 20 working days from receipt of the dean or director’s decision to file an appeal with the Office of the Secretary of the Academic Staff, which will forward the files to the ASAC and the dean or director, with a copy to the Office of Human Resources (OHR), within five working days. The dean or director shall provide the employing department and the appellant’s supervisor with a copy of the appeal. The ASAC shall conduct a review in accordance with ASPP 9.
The Secretary of the Academic Staff will work with all parties to schedule the date for the review. Reviews are typically scheduled for a half-day. Reviews typically follow this process, however the process may change based on the circumstances of the case.
Once the review is scheduled and the panel is assigned, the Secretary of the Academic Staff will also schedule a pre-review teleconference to occur typically a few weeks prior to the review. This meeting is largely a logistical one, where the following matters are discussed:
- The question(s) to be decided by the panel
- Confirmation of the time and location of the review
- Confirmation of the panel members and whether there are any concerns/conflicts of interest
- A date by which the appellant will receive all information the university used to make the decision (see “Access to the Evidence”)
- A date by which both parties will exchange exhibits to be considered in advance of and during the review (no later than 1 week prior to the date of the review)
On behalf of the ASAC Chair, the Secretary of the Academic Staff will send a letter to the parties summarizing the information agreed upon at the teleconference.
For reviews, once the chair calls the meeting to order and explains procedural matters, the parties will make their case in the following order:
- Appellant Presentation of case (30 minutes)
- University Presentation of case (30 minutes)
- Appellant Rebuttal presentation (10 minutes)
- University Rebuttal presentation (10 minutes)
- Appellant Closing remarks (3 minutes)
- University Closing remarks (3 minutes)
ASAC panel members may ask questions of the presenter at any time during or after their presentation. If it is during their presentation, it will not count against their time limit.
Once the review is concluded, regardless of whether it is held in open or closed session, the ASAC panel may move into executive session to hold its deliberations and take a vote on the question(s) it is deciding. This means all parties except the panel, counsel to the panel, and the Secretary of the Academic Staff will leave the room during deliberations.
It can take a month or longer to write a draft of the letter with ASAC’s findings of fact and recommendation(s). Once the committee has finalized the letter, SOAS will send the letter to the chancellor or their designee, with copies to the appellant (and their representative, if applicable), the dean/director, OHR, ASAC panelists, and counsel for the university and the ASAC. Upon receipt of ASAC’s recommendation letter, the chancellor or their designee then has 30 working days to either implement the recommendation or give the appellant and ASAC written reasons for any decision to modify ASAC’s recommendation. The chancellor or their designee’s decision is final. If the decision hasn’t been issued within 30 working days, the recommendation of ASAC becomes final. The use of this grievance procedure shall not prevent the grievant from seeking redress through another administrative or legal process.
Steps for Appeal of Dismissal
Academic Staff with Fixed-Term and Probationary Appointments (ASPP 6.03.A)
*Note that Probationary Appointments are not the same academic staff in their evaluation period.
No Academic staff member shall be subject to dismissal except for just cause based upon a determination of either unsatisfactory performance or misconduct (see ASPP 6.01.A and 6.01.B). Layoffs (ASPP 5) and nonrenewals (ASPP 3) are not dismissals for cause. When the employer decides dismissal is necessary, they must obtain the approval of the dean, director, or designee to proceed.
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Step 1: Review by the Dean or Director
Appellant:
- Submit a written request for review of the dismissal.
- Send to the dean/director/designee, with a copy to the Secretary of the Academic Staff .
- Submit the request within 20 working days of receipt of the dismissal notice.
- The request must include a summary of facts and circumstances concerning the allegations.
- Has an opportunity to make a personal presentation to the dean/director/designee.
Dean/Director/Designee:
- Makes a determination of just cause for dismissal.
- Notifies the appellant of their decision in writing within 15 working days after the receipt of the request for a review or 15 working days after the personal presentation, whichever is later.
If there is no response by the dean or director to the written request for a review within the designated time, the appellant can appeal to the Academic Staff Appeals Committee (ASAC) within 20 working days of the expiration of the designated period.
Step 2: Appeal to the Academic Staff Appeals Committee
The appellant has 15 working days (20 working days if notice is by first-class mail and publication) from receipt of the notification of the dean, director, or designee’s decision to file an appeal with the Secretary of the Academic Staff, which will forward the files to the Academic Staff Appeals Committee, the Office of Human Resources, and the dean, director, or designee within five working days. The dean, director, or designee shall provide the employing department and the appellant’s supervisor with a copy of the appeal. The Academic Staff Appeals Committee shall conduct a hearing in accordance with ASPP 9.
The Secretary of the Academic Staff will work with all parties to schedule the date for the hearing. Hearings are typically scheduled for a full day. The hearing typically follows this process, however the process may change based on the circumstances of the case.
Once the hearing is scheduled and the panel is assigned, the Secretary of the Academic Staff will also schedule a pre-hearing teleconference to occur typically a few weeks prior to the hearing. This meeting is largely a logistical one, where the following matters are discussed:
- The question(s) to be decided by the panel
- Confirmation of the time and location of the hearing
- Confirmation of the panel members and whether there are any concerns/conflicts of interest
- A date by which the appellant will receive all information the university used to make the decision (see “Access to the Evidence”)
- A date by which both parties will exchange exhibits to be considered in advance of and during the hearing (no later than 1 week prior to the date of the hearing)
On behalf of the ASAC Chair, the Secretary of the Academic Staff will send a letter to the parties summarizing the information agreed upon at the teleconference.
For hearings, once the chair calls the meeting to order and explains procedural matters, the parties will make their case in the following order:
- University Opening Statement
- Appellant Opening Statement
- University Presentation of Case
- University Witness Testimony
- Appellant Presentation of Case
- Appellant Witness Testimony
- University Closing Statement
- Appellant Closing Statement
Witness Testimony proceeds as follows: The witness testimony typically follow this process, however the process may change based on the circumstances of the case.
The University calls its first witness and then asks them questions. The appellant may then cross-examine the witness. After cross-examination, ASAC will ask the witness questions. When the panel has asked their questions, the University may redirect if it so chooses. Then the appellant is given an opportunity to re-cross. After this, if ASAC has further questions, they may ask them. Otherwise, that witness will be dismissed and the next one called. This process will continue until the university has gone through their witness list. Witnesses for the appellant will follow a similar process.
Once the hearing is concluded, regardless of whether it is held in open or closed session, the ASAC panel will move into executive session to hold its deliberations and take a vote on the question(s) it is deciding. This means all parties except the panel, counsel to the panel, and the Secretary of the Academic Staff will leave the room during deliberations.
It can take a month or longer to write a draft of the letter with ASAC’s findings of fact and recommendation(s). Once the committee has finalized the letter, SOAS will send the letter to the chancellor or their designee, with copies to the appellant (and their representative, if applicable), the dean/director, OHR, ASAC panelists, and counsel for the university and the ASAC. Upon receipt of ASAC’s recommendation letter, the chancellor or their designee then has 30 working days to either implement the recommendation or give the appellant and ASAC written reasons for any decision to modify ASAC’s recommendation. The chancellor or their designee’s decision is final. If the decision hasn’t been issued within 30 working days, the recommendation of ASAC becomes final.
NOTE: An indefinite appointee may request a review by the Board of Regents under UWS 11.10. A fixed-term or probationary appointee may request a review by the Board of Regents under Wisconsin State Statutes 36.115(4)(c).
Academic Staff with Indefinite Appointments (ASPP 6.03.B)
No academic staff member holding an indefinite appointment shall be subject to dismissal except for just cause, based upon a determination that the academic staff member’s conduct or performance directly and substantially affects adversely the ability to carry out satisfactorily their responsibilities to the university. Layoff (ASPP 5) is not dismissal for cause. In contrast to the procedure for fixed-term academic staff in 6.03.A, only the chancellor, in consultation with the appropriate dean or director, has the authority to begin the dismissal process. Therefore, the appeal process begins at Step 2.
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Step 2: Appeal to the Academic Staff Appeals Committee
The appellant has 15 working days (20 working days if notice is by first-class mail and publication) from receipt of the notification of the dean, director, or designee’s decision to file an appeal with the Secretary of the Academic Staff, which will forward the files to the Academic Staff Appeals Committee, the Office of Human Resources, and the dean, director, or designee within five working days. The dean, director, or designee shall provide the employing department and the appellant’s supervisor with a copy of the appeal. The Academic Staff Appeals Committee shall conduct a hearing in accordance with ASPP 9.
The Secretary of the Academic Staff will work with all parties to schedule the date for the hearing. Hearings are typically scheduled for a full day. The hearing typically follows this process, however the process may change based on the circumstances of the case.
Once the hearing is scheduled and the panel is assigned, the Secretary of the Academic Staff will also schedule a pre-hearing teleconference to occur typically a few weeks prior to the hearing. This meeting is largely a logistical one, where the following matters are discussed:
- The question(s) to be decided by the panel
- Confirmation of the time and location of the hearing
- Confirmation of the panel members and whether there are any concerns/conflicts of interest
- A date by which the appellant will receive all information the university used to make the decision (see “Access to the Evidence”)
- A date by which both parties will exchange exhibits to be considered in advance of and during the hearing (no later than 1 week prior to the date of the hearing)
On behalf of the ASAC Chair, the Secretary of the Academic Staff will send a letter to the parties summarizing the information agreed upon at the teleconference.
For hearings, once the chair calls the meeting to order and explains procedural matters, the parties will make their case in the following order:
- University Opening Statement
- Appellant Opening Statement
- University Presentation of Case
- University Witness Testimony
- Appellant Presentation of Case
- Appellant Witness Testimony
- University Closing Statement
- Appellant Closing Statement
Witness Testimony proceeds as follows: The witness testimony typically follow this process, however the process may change based on the circumstances of the case.
The University calls its first witness and then asks them questions. The appellant may then cross-examine the witness. After cross-examination, ASAC will ask the witness questions. When the panel has asked their questions, the University may redirect if it so chooses. Then the appellant is given an opportunity to re-cross. After this, if ASAC has further questions, they may ask them. Otherwise, that witness will be dismissed and the next one called. This process will continue until the university has gone through their witness list. Witnesses for the appellant will follow a similar process.
Once the hearing is concluded, regardless of whether it is held in open or closed session, the ASAC panel will move into executive session to hold its deliberations and take a vote on the question(s) it is deciding. This means all parties except the panel, counsel to the panel, and the Secretary of the Academic Staff will leave the room during deliberations.
It can take a month or longer to write a draft of the letter with ASAC’s findings of fact and recommendation(s). Once the committee has finalized the letter, SOAS will send the letter to the chancellor or their designee, with copies to the appellant (and their representative, if applicable), the dean/director, OHR, ASAC panelists, and counsel for the university and the ASAC. Upon receipt of ASAC’s recommendation letter, the chancellor or their designee then has 30 working days to either implement the recommendation or give the appellant and ASAC written reasons for any decision to modify ASAC’s recommendation. The chancellor or their designee’s decision is final. If the decision hasn’t been issued within 30 working days, the recommendation of ASAC becomes final.
NOTE: An indefinite appointee may request a review by the Board of Regents under UWS 11.10. A fixed-term or probationary appointee may request a review by the Board of Regents under Wisconsin State Statutes 36.115(4)(c).
Steps for Appeal of Non-Renewal Fixed-Term Renewable Appointments (ASPP 3.07)
An Academic staff member who is nonrenewed has the right to appeal when the staff member believes:
- there are no valid grounds for nonrenewal (see ASPP 3.01); or
- that another Academic staff member should have been nonrenewed instead; or
- that the nonrenewal is arbitrary, capricious, for reasons prohibited by law, or in violation of ASPP when the alleged violation is substantive enough to influence the decision under review.
- An arbitrary or capricious nonrenewal decision is one that is made without a basis in fact or for inconsequential or unsubstantial reasons when the needs of the program have not changed, funds for the position are available, and performance has been satisfactory.
NOTE: A pending appeal of a nonrenewal decision does not extend the appointment.
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Step 1: Review by the Dean or Director
Appellant:
- Submit a written request for review of the nonrenewal decision.
- Send to the dean/director/designee, with a copy to the Secretary of the Academic Staff
- Submit the request within 20 working days of receipt of the nonrenewal notice.
- The request must include a statement of facts and circumstances supporting the request.
- Appellants are entitled to request a meeting with the dean, director or designee, who shall meet with them if requested to do so.
Dean/Director/Designee:
- Conduct an objective review of all pertinent facts and circumstances.
- Notifies the appellant of their decision in writing within 20 working days of receipt of the written request for review.
- Copies the department or unit, the Secretary of the Academic Staff, and the Office of Human Resources on the decision.
If there is no response by the dean or director to the written request for a review within the designated time, the appellant can appeal to the Academic Staff Appeals Committee within 20 working days of the expiration of the designated period.
Step 2: Appeal to the Academic Staff Appeals Committee
The appellant has 20 working days from receipt of the dean or director’s decision to file an appeal with the Office of the Secretary of the Academic Staff, which will forward the files to the Academic Staff Appeals Committee (ASAC) and the dean or director, with a copy to the Office of Human Resources, within five working days. The dean or director shall provide the employing department and the appellant’s supervisor with a copy of the appeal. The Academic Staff Appeals Committee shall conduct a review in accordance with ASPP 9.
The Secretary of the Academic Staff will work with all parties to schedule the date for the review. Reviews are typically scheduled for a half-day.
Appeals to the committee typically follow this process. The process may change based on the circumstances of the case. Once the review is scheduled and the panel is assigned, the Secretary of the Academic Staff will also schedule a pre-review teleconference to occur typically a few weeks prior to the review. This meeting is largely a logistical one, where the following matters are discussed:
- The question(s) to be decided by the panel
- Confirmation of the time and location of the review
- Confirmation of the panel members and whether there are any concerns/conflicts of interest
- A date by which the appellant will receive all information the university used to make the decision (see “Access to the Evidence”)
- A date by which both parties will exchange exhibits to be considered in advance of and during the review (no later than 1 week prior to the date of the review)
On behalf of the ASAC Chair, the Secretary of the Academic Staff will send a letter to the parties summarizing the information agreed upon at the teleconference.
For reviews, once the chair calls the meeting to order and explains procedural matters, the parties will make their case in the following order:
- Appellant Presentation of case (30 minutes)
- University Presentation of case (30 minutes)
- Appellant Rebuttal presentation (10 minutes)
- University Rebuttal presentation (10 minutes)
- Appellant Closing remarks (3 minutes)
- University Closing remarks (3 minutes)
ASAC panel members may ask questions of the presenter at any time during or after their presentation. If it is during their presentation, it will not count against their time limit.
Once the review is concluded, regardless of whether it is held in open or closed session, the ASAC panel may move into executive session to hold its deliberations and take a vote on the question(s) it is deciding. This means all parties except the panel, counsel to the panel, and the Secretary of the Academic Staff will leave the room during deliberations.
It can take a month or longer to write a draft of the letter with ASAC’s findings of fact and recommendation(s). Once the committee has finalized the letter, SOAS will send the letter to the chancellor or their designee, with copies to the appellant (and their representative, if applicable), the dean/director, OHR, ASAC panelists, and counsel for the university and the ASAC. Upon receipt of ASAC’s recommendation letter, the chancellor or their designee then has 30 working days to either implement the recommendation or give the appellant and ASAC written reasons for any decision to modify ASAC’s recommendation. The chancellor or their designee’s decision is final. If the decision hasn’t been issued within 30 working days, the recommendation of ASAC becomes final.
Steps for Appeal of Layoff (ASPP 5.05)
An Academic staff member who is laid off has the right to appeal when the staff member believes that:
- there are no valid grounds for layoff (see ASPP 5.01); or
- that another Academic staff member should have been laid off instead; or
- that the layoff is arbitrary, capricious, for reasons prohibited by law, or in violation of ASPP when the alleged violation is substantive enough to influence the decision under review.
- An arbitrary or capricious layoff decision is one that is made without a basis in fact or for inconsequential or unsubstantial reasons when the needs of the program have not changed, funds for the position are available, and performance has been satisfactory.
NOTE: A pending appeal of a layoff decision does not extend the appointment.
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Step 1: Review by the Dean or Director
Appellant:
- Submit a written request for review of the layoff decision.
- Send to the dean/director/designee, with a copy to the Secretary of the Academic Staff (SOAS).
- Submit the request within 20 working days of receipt of the layoff notice.
- The request must include a statement of facts and circumstances supporting the request.
Dean/Director/Designee:
- When a review is requested, meets with the appellant, who shall have an opportunity to present facts and circumstances concerning the layoff.
- Conducts an objective review of all pertinent facts and circumstances.
- Notifies the appellant of their decision in writing within 20 working days of receipt of the written request for review.
- Copies the department or unit, the Secretary of the Academic Staff, and the Office of Human Resources on the decision.
If there is no response by the dean or director to the written request for a review within the designated time period, the appellant can appeal to the Academic Staff Appeals Committee within 20 working days of the expiration of the designated period.
Step 2: Appeal to the Academic Staff Appeals Committee
NOTE: The process below is for fixed-term appointees. For layoffs of indefinite appointees, refer to UWS 12.05(5) for details about the requirement to establish a prima facie case.
The appellant has 20 working days from receipt of the dean, director, or designee’s decision to file the written appeal with the Secretary of the Academic Staff, which will forward the files to the Academic Staff Appeals Committee, the Office of Human Resources, and the dean, director, or designee within five working days. The dean, director, or designee shall provide the employing department and the appellant’s supervisor with a copy of the appeal. The Academic Staff Appeals Committee shall conduct a hearing in accordance with ASPP 9.
The Secretary of the Academic Staff will work with all parties to schedule the date for the hearing. Hearings are typically scheduled for a full day. The hearing typically follow this process, however the process may change based on the circumstances of the case.
Once the hearing is scheduled and the panel is assigned, the Secretary of the Academic Staff will also schedule a pre-hearing teleconference to occur typically a few weeks prior to the hearing. This meeting is largely a logistical one, where the following matters are discussed:
- The question(s) to be decided by the panel
- Confirmation of the time and location of the hearing
- Confirmation of the panel members and whether there are any concerns/conflicts of interest
- A date by which the appellant will receive all information the university used to make the decision (see “Access to the Evidence”)
- A date by which both parties will exchange exhibits to be considered in advance of and during the hearing (no later than 1 week prior to the date of the hearing)
On behalf of the ASAC Chair, the Secretary of the Academic Staff will send a letter to the parties summarizing the information agreed upon at the teleconference.
For hearings, once the chair calls the meeting to order and explains procedural matters, the parties will make their case in the following order:
- University Opening Statement
- Appellant Opening Statement
- University Presentation of Case
- University Witness Testimony
- Appellant Presentation of Case
- Appellant Witness Testimony
- University Closing Statement
- Appellant Closing Statement
Witness Testimony proceeds as follows: The witness testimony follows this process, however the process may change based on the circumstances of the case.
The University calls its first witness and then asks them questions. The appellant may then cross-examine the witness. After cross-examination, ASAC will ask the witness questions. When the panel has asked their questions, the University may redirect if it so chooses. Then the appellant is given an opportunity to re-cross. After this, if ASAC has further questions, they may ask them. Otherwise, that witness will be dismissed and the next one called. This process will continue until the university has gone through their witness list. Witnesses for the appellant will follow a similar process.
Once the hearing is concluded, regardless of whether it is held in open or closed session, the ASAC panel will move into executive session to hold its deliberations and take a vote on the question(s) it is deciding. This means all parties except the panel, counsel to the panel, and the Secretary of the Academic Staff will leave the room during deliberations.
It can take a month or longer to write a draft of the letter with ASAC’s findings of fact and recommendation(s). Once the committee has finalized the letter, SOAS will send the letter to the chancellor or their designee, with copies to the appellant (and their representative, if applicable), the dean/director, OHR, ASAC panelists, and counsel for the university and the ASAC. Upon receipt of ASAC’s recommendation letter, the chancellor or their designee then has 30 working days to either implement the recommendation or give the appellant and ASAC written reasons for any decision to modify ASAC’s recommendation. The chancellor or their designee’s decision is final. If the decision hasn’t been issued within 30 working days, the recommendation of ASAC becomes final.
NOTE: An indefinite appointee may request a review by the Board of Regents under UWS 12.05(8).