UWPF Chapter 7: Faculty Rights and Responsibilities
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
- 7.07 Outside Activities
- 7.08 Definitions
- 7.09 Approval of Reportable Outside Activities
- 7.10 Action to Avoid Possible Conflict of Interest
- 7.11 Approval of Outside Activities Utilizing Institutional Facilities and Personnel
- 7.12 Reporting of Outside Activities
- 7.13 Outside Activities Involving Students
- 7.14 Service as an Expert Witness or Consultant
- 7.15 Outside Activities Requiring Absence from Institutional Duties
- 7.16 Complaints
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.
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.
(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.
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.
7.18 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 7.19(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. “Days” shall be defined as in UWS 1.08.) If a grievant engages the Faculty Ombudsperson within the thirty day period, the Ombudsperson shall, without identifying the parties unless they consent to being identified, inform the Committee that a potential grievance is being mediated. The Ombudsperson shall inform the Committee promptly if the potential grievance is resolved or if the mediation fails. The elapse of the thirty day period shall be suspended from the day the Ombudsperson is engaged, until the day the Committee is informed that the potential grievance is resolved or that the mediation has failed. The elapse of the thirty day period shall resume on the day following the receipt by the Committee of the Ombudsperson’s conclusory notification.
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(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. The committee may engage the services of the Faculty Ombudsperson at this stage as a possible form of informal mediation.
(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.
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