UWPF Chapter 7:
Faculty Rights and Responsibilities

Preamble
7.01 Faculty Rights and Responsibilities Committee

Complaints and Discipline

7.02 Complaints and Discipline
7.03 Responsibility for Complaints
7.04 Hearing and Recommendation
7.05 Adequate Due Process
7.06 Chancellor's Disposition of Complaint

Outside Activities

Faculty Grievances

7.17 Definition

7.18 Time Limit

7.19 Procedures

7.20 Chancellor's Disposition of Grievance

Preamble

The Faculty of the University of Wisconsin-Parkside, possessing the powers and rights heretofore recognized and respected by the State of Wisconsin and the Board of Regents of the University of Wisconsin System, hereby reaffirms its acceptance of the responsibilities which are inherent in the exercise of such powers and rights.

The Faculty of the University of Wisconsin-Parkside reaffirms its conviction that individual Faculty members, and all others in the University community, should conduct themselves with professional responsibility, and that this includes the faithful performance of all duties they have undertaken in accepting their respective positions.

The Faculty of the University of Wisconsin-Parkside hereby expresses its agreement with and acceptance of the Statement of Faculty Responsibilities of the American Association of University Professors.

I. The professor, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognizes the special responsibilities placed upon him/her. His/her primary responsibility to his/her subject is to seek and to state the truth as he/she sees it. To this end he/she devotes his/her energies to the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. He/she practices intellectual honesty. Although he/she may follow subsidiary interests, these interests must never seriously hamper or compromise his/her freedom of inquiry.

II. As a teacher, the professor encourages the free pursuit learning in his/her students. He/she holds before them the best scholarly standards of his/her discipline. He/she demonstrates respect for the student as an individual, and adheres to his/her proper role as intellectual guide and counselor. He/she makes every reasonable effort to foster honest academic conduct and to assure that his/her evaluation of students reflects their true merit. He/she respects the confidential nature of the relationship between professor and student. He/she avoids any exploitation of students for his/her private advantage and acknowledges significant assistance from them. He/she protects their academic freedom.

III. As a colleague, the professor has obligations that derive from common membership in the community of scholars. He/she respects and defends the free inquiry of his/her associates. In the exchange of criticism and ideas he/she shows due respect for the opinions of others. He/she acknowledges his/her academic debts and strives to be objective in his/her professional judgment of colleagues. He/she accepts his/her share of faculty responsibilities for the governance of his/her institution.

IV. As a member of his/her institution, the professor seeks above all to be an effective teacher and scholar. Although he/she observes the stated regulations of the institution, provided they do not contravene academic freedom, he/she maintains his/her right to criticize and seek revision. He/she determines the amount and character of the work he/she does outside his/her institution with due regard to his/her paramount responsibilities within it. When considering the interruption or termination of his/her service, he/she recognizes the effect of his/her decision upon the program of the institution and gives due notice of his/her intentions.

V. As a member of his/her community, the professor has the rights and obligations of any citizen. He/she measures the urgency of these obligations in the light of his responsibilities to his/her subject, to his/her students, to his/her profession, and to his/her institution. When he/she speaks or acts as a private person he/she avoids creating the impression that he/she speaks or acts for his/her college or university. As a citizen engaged in a profession that depends upon freedom for its health and integrity, the professor has a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

7.01 Faculty Rights and Responsibilities Committee

Except as otherwise provided, this committee is subject to the general provisions for faculty committees found in UWPF 4.

(1) Membership
The Faculty Rights and Responsibilities Committee shall consist of nine faculty members one representing the School of Business and Technology, one representing each of the electoral divisions of the College of Arts and Sciences, and the remainder elected at large. Terms are for three years and are to be staggered so that three faculty members are elected each year.

(2) Restrictions on Membership
Only tenured faculty members are eligible to serve. No person who is a member of the University Committee or of the Personnel Review Committee shall be eligible to serve.

(3) Chairperson
The Chairperson shall be elected annually from among the members.

(4) Functions
The Committee shall:

(a) serve as the committee to hear dismissal cases and make recommendations under the provisions of UWS 4;
(b) serve as the committee to hear complaints of alleged misconduct and make recommendations under UWPF 7.04 and UWS 6.01;
(c) serve as the committee to hear appeals from decisions of impropriety and make recommendations under UWPF 7.10 and UWS 7.
(d) serve as the grievance committee for the faculty with power to conduct hearings and recommend solutions as specified in UWS 6.02;
(e) serve as the "faculty hearing committee" for layoff for reasons of fiscal emergency under UWS 5.11.
(f) serve as the "appeals committee" for nonrenewal of faculty appointments under UWS 3.08 and UWPF 6.08.
(g) Serve, together with members of the Academic Staff Policies and Personnel Committee, as the Institutional Ethics Committee for the purpose of implementing Regent Policy concerning a Code of Ethics for Unclassified Staff (UWS 8).

(5) Procedures

(a) The Committee shall operate under procedures adopted by the Faculty Senate which are consistent with this chapter, Chapter Six and applicable portions of the Wisconsin Administrative Code and Statutes.
(b) A member of the Committee must dissociate himself/herself from a case in which he/she has been involved in another capacity.
(c) Replacement for members who are unable to serve shall be made by the University Committee on a case-by-case basis, as necessary when the number of members who are able to serve falls below five. Such temporary members shall serve only for the duration of the case.
(d) A quorum of five members, elected or appointed, shall be required for the Committee to hear cases.

7.02 Complaints and Discipline

(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 a complaint is substantial and provides sufficient grounds for a 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.

7.03 Responsibility for Complaints

(1) Whenever the Chancellor receives a complaint against a faculty member, he/she shall within a reasonable time undertake an investigation of the complaint, and offer to discuss the complaint informally with the faculty member concerned. The Chancellor shall then proceed as follows:

(a) if he/she deems the complaint to be not substantial, he/she shall dismiss it; or
(b) if he/she deems the complaint to be substantial, and which if true, might lead to dismissal, he/she shall proceed under the provisions of UWS 4; or
(c) if he/she deems the complaint to be substantial, but which if true, would probably not lead to dismissal, he/she shall refer it to the Faculty Rights and Responsibilities Committee; and
(d) he/she shall notify in writing the faculty member who is the subject of the complaint of the specific nature of the complaint, the identity of the individual or party who made the complaint, and his/her disposition of the complaint under (a), (b), or (c).

7.04 Hearing and Recommendation

(1) The Faculty Rights and Responsibilities Committee shall serve as the hearing committee for all complaints of misconduct by faculty members which are not dismissed by the Chancellor. The Committee shall conduct the hearing, make a record of the hearing, prepare a summary of the evidence, and transmit such record and summary, along with its findings and recommendations on the hearing record, to the Chancellor.

(2) Whenever the Faculty Rights and Responsibilities Committee receives a complaint of misconduct from the Chancellor, it shall notify the faculty member who is the subject of the complaint in writing, and shall hold a hearing at a date, time, and place mutually convenient to the Committee and the faculty member, but in no case later than 30 days after the complaint is received from the Chancellor.

(3) The 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 that the complaint be dismissed, that the complaint be referred to the faculty member's dean or academic department chair, or that there exists sufficient grounds for discipline and the specific nature of the discipline to be imposed. The Committee shall provide the faculty member concerned with a written statement of its findings and recommendations to the Chancellor.

7.05 Adequate Due Process

A fair hearing for a faculty member against whom a complaint of misconduct is made shall include the following:

(1) Service of written notice of hearing on the specific complaint at least 10 days prior to the hearing;

(2) A right to the names of witnesses and of access to documentary evidence upon which the complaint is based;

(3) A right to be heard in his/her defense;

(4) A right to confront and cross-examine witnesses;

(5) A record of the hearing;

(6) Written findings and recommendations based on the hearing record.

7.06 Chancellor's Disposition of Complaint

(1) The Chancellor shall, within 10 days after receiving the recommendation of the Committee, make a decision to dismiss the complaint, refer it to the dean or department chair or impose discipline on the faculty member. The Chancellor shall advise the faculty member of his/her decision in writing, and if discipline is to be imposed, the nature of the discipline. Before making his/her decision, the Chancellor shall give full consideration to the hearing record and the findings and recommendations of the Committee.

(2) When a department chair receives a complaint referred by the Chancellor, he/she may not impose discipline or take any action against the faculty member concerned on the basis of the complaint, but may take action to remedy the complaint.

(3) If the Chancellor's decision on the disposition of a complaint does not confirm the recommendation of the Committee, he/she shall, prior to advising the faculty member of his/her decision, consult with the Committee and provide the Committee with an opportunity to prepare a written response to his/her decision. In the letter to the faculty member advising him/her of the disposition of the complaint against him/her, the Chancellor shall include the Committee's response and a statement of the reason why his/her decision does not confirm the Committee's recommendation.

(4) The decision of the Chancellor on the disposition of the complaint shall be final except that the Board at its discretion may grant a review on the record.

Outside Activities

7.07 Intent

Rules and procedures governing outside activities (UWS 8) are intended to insure devotion to teaching, research activities and all normal university responsibilities on the part of members of the instructional staff, while permitting their broad participation in public service or endeavors related to their fields of interest. Instructional staff members are free to engage in outside activities, whether or not such activities are remunerative or related to their field of academic interest or specialization. However, no member of the instructional staff may engage in an outside activity if it conflicts with her/his institutional responsibilities. Standards of conduct set forth in UWS 8.03 shall be observed.

7.08 Definitions

(1) As used in UWPF 7.07 through 7.16, "member of the instructional staff" includes faculty members as defined in UWPF 1.01(1)(a), and lecturers and visiting faculty as defined by UWPA 1.03 (2)(A and B) with a university commitment of 50% or more.

(2) "Reportable outside activities" are those activities of an instructional staff member which are defined in s. UWS 8.025.

(3) "Institutional Ethics Committee" consists of the members of the Faculty Rights and Responsibilities Committee and the members of the Academic Staff Policy and Personnel Committee.

7.09 Approval of Reportable Outside Activities

(1) Prior to undertaking reportable outside activities, a member of the instructional staff shall request in writing the permission of her/his department chair, describing the nature and substance of the activity.

(2) If, during the year, significant changes in a staff member's reportable outside activities occur, the staff member shall immediately inform, in writing, her/his department chair. This information shall be placed on file with the staff member's annual statement of outside interests.

(3) The department chair shall make a recommendation, within 15 days, regarding the submitted request and notify the member of the instructional staff. When formulating her/his recommendation, the chair may, at her/his discretion, consult with the Institutional Ethics Committee.

(4) The department chair shall forward the request with her/his recommendation to the dean. The dean shall approve or disapprove the request, within 15 days, and notify in writing the chancellor, the chair, and the instructional staff member concerned.

(5) If the dean disapproves the request, the instructional staff member concerned shall have the right to appeal, within 15 days after notice of the dean's decision, in accordance with UWPF 7.17-7.20.

7.10 Action to Avoid Possible Conflict of Interest

(1) When a material conflict may arise between the personal interests of a staff member and her/his public responsibilities to the university, the staff member shall notify her/his department chair by submitting a written statement describing the nature of the possible conflict.

(2) Procedures set forth in 7.09(3) through (5) shall apply, except that the finding of the dean shall conform to UWS 8.04(a) through (c).

7.11 Approval of Outside Activities Utilizing Institutional Facilities

and Personnel (1) Prior to undertaking outside activities requiring the use of institutional facilities and/or staff, the member of the instructional staff shall request in writing the permission of the Chancellor, through the department chair and dean, describing the required institutional facilities and/or personnel and the rationale for the usage.

(2) The use of institutional facilities for outside activities shall be decided by the Chancellor as guided by the rule and procedures in UWPF 9.02 and Regent's Policy (e.g. UWS 21).

7.12 Reporting of Outside Activities

(1) Each instructional staff member shall annually on or before April 30, file a report of outside activities with her/his department chair.

(2) The dean shall notify in writing any member of the instructional staff whose reportable outside activities are deemed by her/him after consultation with the appropriate department chair, to be excessive or improper.

(3) A member of the instructional staff whose reportable outside activities are judged by her/his dean to be excessive or improper may appeal the dean's decision in accordance with UWPF 7.15-7.18.

7.13 Outside Activities Involving Students

(1) The use of students in outside activities should be governed by the educational benefits to the students.

(2) The involved students should be informed of the implications of any agreements restricting their right to publish or communicate freely.

(3) The instructional staff member who either advises or serves on the dissertation committee of a graduate student shall request in writing the permission of her/his department chair to either hire or directly supervise such a student in employment activities.

7.14 Service as an Expert Witness or Consultant

Any expected or anticipated service by a member of the instructional staff as an expert witness in legal proceedings, or as a staff advisor or consultant to granting agencies, shall be subject to the approval procedure provided by UWPF 7.09.

7.15 Outside Activities Requiring Absence From Institutional Duties

Any expected or anticipated absence from institutional duties due to outside activities shall be subject to the approval procedure provided in UWPF 7.09 or UWPF 9.01.

7.16 Complaints

Complaints against a member of the instructional staff charging a violation of the provisions of UWS 8 shall be submitted to the chancellor.

(1) Where the complaint is against a faculty member, the chancellor shall proceed under the provisions of UWPF 7.02-7.06.

(2) Where the complaint is against a member of the academic staff, the chancellor shall proceed under the provisions of UWPA 10.04.

Faculty Grievances

7.17 Definition

A grievance is defined as a personnel problem, experienced by a faculty member, that adversely affects him/her, arises from circumstances that he/she does not fully control, and is not covered by other personnel rules.

7.18 Time Limit

In order to assure dealing with grievances in a timely manner, a grievant must file a written grievance, under the procedures set forth in paragraphs 7.17(1) and (2), within thirty days of the time when the grievant knew or should have known that the incident which forms the basis of the grievance occurred. (Under section UWS 1.098, "days" means calendar days.)

7.19 Procedures

(1) Informal Settlement

Before seeking a remedy through formal grievance procedures, a faculty member is urged to present the problem to his/her department chair with a view to settling the matter informally; or if the chair is a party to the grievance, the problem should be addressed to the appropriate dean. The chair or dean shall communicate the results of the informal settlement efforts to the grievant, in writing, within ten days after settlement efforts are concluded.

(2) Formal Procedure

If the faculty member decides not to submit a request for informal settlement, or if the proposed settlement is unsatisfactory to the grievant, the grievance may be presented, in writing, to the Faculty Rights and Responsibilities Committee. In dealing with a grievance, the committee shall be governed by the procedures set forth in UWPF 7.01(5).

(a) Receipt of Grievance

(1) Whenever the committee receives a grievance brought by a faculty member, it shall within a reasonable time undertake an investigation of the grievance and offer to discuss the grievance informally with the faculty member concerned.
(2) The committee may offer to informally mediate the grievance.
(3) In the absence of a mediated settlement, the committee shall undertake a formal hearing and reach a recommendation.

(b) Hearing and Recommendation

(1) The Faculty Rights and Responsibilities Committee shall serve as the hearing committee for all grievances brought by faculty members and not resolved by mediation.
(2) The committee shall have the power to conduct hearings and fact-finding related to the grievance.
(3) The committee shall conduct the hearing, make a record of the hearing, prepare a summary of the evidence, and transmit such record and summary, along with its findings and recommendations on the hearing record, to the chancellor.
(4) Investigation and Hearing Process The committee is authorized to establish its own procedures for the investigation and hearing of a grievance. The committee, within 10 days of the completion of its investigation and hearing, shall furnish to the grievant and the chancellor its written findings and recommendations.

7.20 Chancellor's Disposition of Grievance

(1) The chancellor shall act on the recommendations of the committee within thirty days, and shall advise the grievant and the committee of his/her decision in writing. Before making his/her decision, the chancellor shall give full consideration to the hearing record and the findings and recommendations of the committee.

(2) If the chancellor's decision on the disposition of a grievance does not confirm the recommendation of the committee, he/she shall consult with the committee, prior to advising the grievant of his/her decision, and provide the committee with an opportunity to prepare a written response to his/her decision. In the letter to the grievant advising him/her of the disposition of the grievance, the chancellor shall include the committee's response and a statement of the reason why his/her decision does not confirm the committee's recommendation.

(3) The decision by the chancellor on the recommendation of the committee shall be final except that the Board of Regents, at its discretion, upon petition of a grievant or the committee, may grant a review on the record.