Faculty Rights & Responsibilities Committee
Procedure for Complaints Against a Faculty Member

Preamble

The procedures and activities of the Faculty Rights and Responsibilities Committee are established primarily by UW-Parkside Faculty Policies and Procedures Chapter 7, and in part by other Wisconsin regulations and statutes. Its activities are further regulated by procedures it has adopted for its own guidance, as presented in this document. As and when additional guidelines are needed, the Committee may consult additional relevant materials, insofar as these do not contradict the spirit or letter of its other regulations. Documents to be used for this purpose include, but are not limited to, the following:

"Freedom and Responsibility." American Association of University Professors.
"Statement on Professional Ethics." American Association of University Professors.
"Joint Statement on Rights and Freedoms of Students." American Association of University Professors.
"A Statement of the Association's Council: Freedom and Responsibility." American Association of University Professors.

It is the function of the Faculty Rights and Responsibilities Committee to serve as an advisory committee to the Chancellor. The Committee may recommend administrative sanctions only, and in no case are its proceedings to be construed as being criminal in nature. Therefore, due process protection afforded by the Committee to defendants need not meet the standards required in criminal proceedings.

1. Complaints and Discipline (UWPF 7.02)

(1) Faculty members as defined by UWPF 1.01(1)(a) shall be subject to discipline only by the Chancellor pursuant to the procedures hereinafter provided, for conduct which violates university rules or policies, or which adversely affects a faculty member's performance of his/her obligation to the university, except that misconduct serious enough to warrant dismissal proceedings shall be subject to the provisions of UWS 4.

(2) Discipline means any sanction by the Chancellor against a faculty member for conduct specified in UWPF 7.02(1) other than dismissal.

(3) Complaints of alleged misconduct by faculty members may be made to the Chancellor by members of the administration, students, academic staff members, or faculty members, classified staff members, and members of the public. The complaint shall be in writing, and shall describe specifically the alleged misconduct.

(4) 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 a complaint is substantial and provides sufficient grounds for discipline. The burden of proof of the existence of misconduct on the part of a faculty member shall be on the individual or party making the complaint.

(5) The person or party who is the subject of the complaint shall be called the respondent, and the person or party filing the complaint shall be called the complainant.

2. Responsibility for Complaints (UWPF 7.03 modified)

Upon receipt of a complaint, the Chancellor shall forward a copy of the complaint to the respondent within a reasonable time, undertake an investigation of the complaint, and offer to discuss the complaint informally with the persons concerned.

The Chancellor may then

(a) dismiss the complaint, if the complaint is deemed to not be substantial, or
(b) proceed under UWS 4, if that the complaint is deemed substantial but, if true, might lead to dismissal, or
(c) refer the complaint to the FRR Committee, if the complaint is deemed substantial but, if true, probably would not lead to dismissal.

The Chancellor shall notify in writing all persons involved of his/her disposition of the complaint.

3. Initiating a Hearing (UWS 6.01(2), UWPF 7.04(2)).

(a) Whenever the FRR Committee receives a complaint of misconduct from the Chancellor, it shall notify the respondent in writing.

(b) Should the Chancellor decide to refer the complaint to the Faculty Rights and Responsibilities Committee, he/she may request that a hearing be held. Should he/she not ask that a hearing be held, the respondent may ask that there be a hearing. In either case, the hearing will be held by the FRR Committee at a time as convenient as possible for all parties concerned within 30 days after the complaint is received from the Chancellor. The 30 day period may be extended by mutual written agreement of the parties. In exceptional circumstances, the Committee may unilaterally set the time of the hearing or extend the 30 day period.

(c) Normally, all Committee members will participate in all cases. However, Committee members shall be excused from participation where the Committee determines that a clear conflict of interest exists.

(d) Voting and deliberation shall be restricted to Committee members who participated in the hearing.

4. Hearing Procedures and Adequate Due Process (UWPF 7.05 expanded)

(a) The complainant shall at least 10 days prior to the hearing provide the Committee with the names of witnesses and access to any documentary materials to be introduced at the hearing so that these may be provided to the respondent along with any such material the Committee may acquire and consider. Such material shall accompany the formal written notice of the hearing to the respondent. This notice of hearing shall be served at least ten days prior to the hearing.

(b) The respondent, the complainant, and the Committee may each elect to have counsel present at the hearing. But the function of counsel for the parties and the Committee shall be advisory, not participatory, in nature unless the Committee agrees otherwise.

(c) A verbatim account of the hearing shall be kept by the Committee, which shall be the sole judge of its form. Each party shall be provided with a copy of the account.

(d) The hearing shall proceed in the following order:

1. The complainant shall present his/her case.
2. The respondent shall have the opportunity to cross-examine.
3. The Committee shall have the opportunity to cross examine.
4. The respondent shall present his/her case.
5. The complainant shall have the opportunity to cross-examine.
6. The Committee shall have the opportunity to cross examine.
7. The hearing shall be declared adjourned.

(e) The Committee shall deliberate in closed session pursuant to Wis. Stats. 19.85 within 10 days of the hearing.

(f) During these deliberations:

1. The complainant must not assume that the Committee will seek additional information to substantiate his/her allegation(s).
2. The respondent must not assume that the Committee will seek additional information to discredit his/her defense.
3. Notwithstanding the above, the Committee reserves the right to gather whatever information it deems necessary or desirable such that a fair and honest recommendation can be made. If such be done, the above procedures (4a-d) shall apply, including proper notification to the parties and an additional hearing.

5. Recommendations (UWPF 7.04(3) modified)

The Faculty Rights and Responsibilities Committee on the basis of its findings on the evidence presented at the hearing, and within 10 days after the hearing, shall recommend to the Chancellor:

(a) that the complaint be dismissed, or
(b) that the complaint be referred to the faculty member's dean or academic department chairman, or
(c) that there exists sufficient grounds for discipline and the specific nature of the discipline to be imposed, or
(d) that there may exist sufficient grounds for dismissal.

The Committee shall provide all parties concerned with a written statement of its findings. All documentation shall be transmitted to the Chancellor along with the Committee's recommendation.

6. Chancellor's Disposition of Complaint (UWPF 7.06 modified)

The Chancellor shall, within 10 days after receiving the recommendation of the FRR Committee:

(a) dismiss the complaint, or
(b) refer the complaint to the faculty member's dean or academic department chairman, or
(c) impose discipline on the faculty member, or
(d) initiate dismissal proceedings.

Before making his/her decision the Chancellor shall give full consideration to the hearing record and the findings and recommendations of the Committee. If the Chancellor's decision does not confirm the recommendation of the Committee, he/she shall consult with the Committee and provide the Committee with an opportunity to prepare a written response to his/her decision, prior to advising the faculty member of that decision.

The Chancellor shall advise the faculty member of his/her decision in writing and should his/her decision not confirm the Committee's recommendation, he/she shall include the Committee's response and a statement of the reasons why his/her decision does not confirm the Committee's recommendation.

7. When a dean or department chairman receives a complaint referred by the Chancellor under (6) (b), he/she may not impose discipline or take any action against the faculty member but may take action to remedy the complaint. (UWPF 7.06(2))

8. The decision of the Chancellor on the disposition of the complaint shall be final except in the case of a dismissal and except that the Board of Regents, at its discretion, may grant a review on the record. (UWPF 7.06(4))

9. Upon resolution of a case, all pertinent records of the Committee shall be forwarded to the Chancellor for his/her disposition.