archive-edu.com » EDU » W » WISC.EDU

Total: 170

Choose link from "Titles, links and description words view":

Or switch to "Titles and links view".
  • FP&P Ch. 9. Discipline and dismissal of faculty for cause | discipline and dismissal of faculty for cause | Secretary of the Faculty
    the imposition of discipline or for dismissal The provost shall also consider the timeliness of the complaint particularly in light of related state and federal limitations statutes As used in this section a prima facie case for discipline exists whenever the information submitted in support of the complaint would warrant disciplinary action if considered on its face to be true and not subject to refutation or exculpatory explanation A prima facie case for dismissal exists whenever this standard is met but with the additional requirement that the information submitted in support of the complaint be of such substantial character that the magnitude of the alleged conduct warrants contemplation of dismissal if determined to be true If a prima facie case does not exist or if the complaint is not considered timely the complaint shall be dismissed D Whenever the provost receives a complaint against a faculty member which he she deems substantial and which if true might lead to dismissal under UWS 4 the provost shall proceed under UWS 4 and the provisions of this chapter of FPP Return to the TOP 9 06 INVESTIGATION AND FURTHER ACTION A If the provost determines that a prima facie case exists for imposition of discipline or dismissal and the case is timely he she shall institute an investigation by appointing an investigator or investigators of his her choosing The provost shall also offer to discuss the matter with the faculty member concerned giving the faculty member an opportunity to speak to the matter and shall provide the faculty member with a written statement of the matter s to be investigated The faculty member shall also receive a copy of the original signed complaint subject to the possible need to redact information pertaining to third parties that will not be considered part of the investigation The faculty member concerned shall have the right to be advised and represented by counsel or other representative at his her expense throughout the investigation and thereafter B The faculty member can state objections to the provost s selection of investigator s The investigator s shall investigate the complaint as soon as practicable and provide an oral and or written report to the provost Following the investigation the provost shall consult with recent past chairs of the University Committee and the Committee on Faculty Rights and Responsibilities who shall advise the provost as to the actions that should be taken as enumerated in C below C Actions that the provost may take are dismiss the case or refer the complaint to the department s or the equivalent functional unit s in which the faculty member concerned holds membership if the investigation indicates that the case involves a matter which should be resolved at the departmental level and in which disciplinary action by the provost is not warranted or prepare to invoke an appropriate disciplinary action In doing so the provost will present the faculty member with a written summary of all evidence obtained both for and against each charge brought forward for disciplinary action or dismissal The provost shall then invite the faculty member to participate in voluntary and confidential settlement negotiations which could involve with agreement of both parties formal mediation If formal mediation is invoked the parties shall agree on the appointment of a mediator or mediators Formal mediation must be completed within 30 days of the appointment of the mediator s unless both parties agree to an extension of no more than 30 days At any time either party may withdraw from the mediation process If settlement is not achieved by negotiation or mediation invoke appropriate discipline or dismissal When the provost invokes either discipline or dismissal he she shall provide the faculty member with a copy of any investigatory report produced and a copy of any written recommendation as provided above The provost shall also inform the faculty member of his her right to appeal to the Committee on Faculty Rights and Responsibilities CFRR Return to the TOP 9 07 COMMITTEE ON FACULTY RIGHTS AND RESPONSIBILITIES A When a faculty member appeals a disciplinary action to the committee the committee shall conduct fact finding hearings if requested by the faculty member or by the provost or if deemed necessary by the committee make recommendations to the chancellor concerning the validity of the appeal B When a faculty member appeals dismissal the committee shall under UWS 4 03 serve as the standing committee to hear and act on the case except for cases involving allegations of misconduct in scholarly research in which the Hearing Committee on Misconduct in Scholarly Research shall be the standing committee under Faculty Document 867a Return to the TOP 9 08 CFRR HEARINGS When CFRR is holding a fact finding hearing in a discipline case or is acting as a hearing body in a dismissal case it shall operate as provided in UWS 4 05 and 4 06 Additionally the faculty member shall have a right to A service of notice of hearing with specific charges in writing at least twenty days prior to the hearing B notification of the name s of the complainant s C be heard by all bodies passing judgment or making recommendations D refrain from testifying without such omission being used as formal evidence of guilt and E a stenographic record of all hearings and transcripts thereof at no cost to him her Return to the TOP 9 09 FINDINGS BY CFRR A A finding of just cause for the imposition of discipline or just cause for dismissal must be based on clear and convincing evidence in the hearing record B A finding by the committee of just cause for discipline or just cause for dismissal requires a majority vote with not more than two dissenting votes Otherwise the committee shall report that just cause for discipline or just cause for dismissal has not been established The vote shall be reported in every case Return to the TOP 9 10 SUSPENSION The faculty committee to be

    Original URL path: http://www.secfac.wisc.edu/FPP_ch_9.htm (2016-04-30)
    Open archived version from archive


  • FP&P Ch. 10. Layoff or Termination | Layoff or termination | Secretary of the Faculty
    deferral of nonessential capital expenditures and cuts to non educational programs and services including expenses for administration If the chancellor decides to recommend the declaration of a state of financial emergency for the campus that recommendation to the system president and the board shall be accompanied by a report which shall be in conformity with UWS 5 06 1 Before any proposals for program discontinuance on grounds of financial emergency are made the faculty or an appropriate faculty body will have opportunity to render an assessment in writing of the institution s financial condition The faculty or an appropriate elected faculty body will have access to at least five years of audited financial statements current and following year budgets and detailed cash flow estimates for future years as well as detailed program department and administrative unit budgets The chancellor and the chair of the Faculty Consultative Committee on Financial Emergency or their designees and representatives of affected colleges schools departments and programs may appear before the board at the time the recommendation is considered Other interested parties may submit alternative recommendations or challenges to any part of the report in writing 10 04 FINANCIAL EMERGENCY INDIVIDUAL DESIGNATIONS Once the board has accepted the chancellor s declaration of a state of financial emergency it shall be the primary responsibility of the executive committees of the affected department s to recommend which individuals shall have their appointments reduced or terminated Such recommendations shall be made in accordance with the provisions of UWS 5 07 and this chapter 10 05 EDUCATIONAL CONSIDERATIONS The decision to discontinue formally a program or department of instruction will be based upon educational considerations as determined primarily by the faculty as a whole or an appropriate committee thereof as defined in FPP 5 02 Faculty members in a program being considered for discontinuance for educational considerations will promptly be informed of this activity in writing and provided at least thirty days in which to respond to it Tenured and probationary faculty and academic staff will be invited to participate in these deliberations Before the chancellor issues notice to a faculty member of an intention to terminate an appointment because of discontinuance of a program or department of instruction the institution will make every effort to place the faculty member concerned in another suitable faculty position that is acceptable to the faculty member If placement in another position would be facilitated by a reasonable period of training such retraining and relocation will be provided and the institution will bear the cost If no position is available within the institution with or without retraining the faculty member s appointment then may be terminated but only with provision for severance as indicated in 10 11 Faculty members may contest a proposed relocation under the hearing procedures described in section 10 08 below Faculty members recommended for termination due to discontinuance of a program for educational considerations shall have the same rights of notification hearing and review described in 10 07 10

    Original URL path: http://www.secfac.wisc.edu/FPP_ch_10.htm (2016-04-30)
    Open archived version from archive

  • FP&P Ch. 11. Summer session | Secretary of the Faculty
    P Ch 11 Summer session FACULTY POLICIES AND PROCEDURES UNIVERSITY OF WISCONSIN MADISON As approved by the Faculty Senate on 15 May 1978 with subsequent amendments as of 6 October 2014 CHAPTER 11 SUMMER SESSION 11 01 Summer Sessions 11 02 Summer Session Administration 11 03 Summer Session Compensation 11 04 Deferral of Summer Session Compensation Return to the TOP 11 01 SUMMER SESSIONS There shall be summer sessions of such lengths as may be approved by the chancellor Return to the TOP 11 02 SUMMER SESSION ADMINISTRATION A The director of the summer sessions is appointed by the chancellor and acts as the general coordinating officer with specific responsibility for publications related to the summer sessions B After the educational programming has been effected by the departments and the college deans the deans submit programs and budgets to the chancellor through the director After the budget has been approved appointments and payrolls are administered by the departments in the same manner as during the regular academic year Return to the TOP 11 03 SUMMER SESSION COMPENSATION For full service in a summer session rendered by a member of the faculty the compensation shall be at the rate of one ninth of the previous academic year s salary for each four weeks of service Compensation for part time service shall be appropriately prorated Return to the TOP 11 04 DEFERRAL OF SUMMER SESSION COMPENSATION A By depositing salaries earned by teaching in the summer sessions in the Summer Sessions Deposits of the University Trust Funds members of the university faculty as defined in 1 02 may defer compensation for that session s to a later academic term during which they have no other university compensation however deferred compensation under this program may not be taken in summer B For full service in summer sessions in lieu of money compensation members of the university faculty may be paid full salary at some future time at the rate of one semester s salary for teaching twelve weeks in summer sessions and one academic year s salary for teaching twenty four weeks in summer sessions C Participation in the accumulated leave program is available only to university faculty on academic year appointments D At the close of each summer session s those faculty members who are eligible to make deposits may endorse their checks and deliver them to the university trust officer for deposit in the Summer Sessions Account E Twelve weeks of summer salary is the maximum that may be deposited in any one year The maximum amount of summer salary deposits which may be accumulated at any one time by any one individual is twenty four weeks F A semester s payment under this program may occur only once in three years a year s payment only once in six years The one year s deferred compensation earned under this plan must be utilized within five years G Faculty members may upon due notice in writing withdraw their deposits in cash

    Original URL path: http://www.secfac.wisc.edu/FPP_ch_11.htm (2016-04-30)
    Open archived version from archive

  • Faculty Legislation - II 100-299. Academic matters | Secretary of the Faculty
    executive committee The divisional committee is to take into account the possible effects of such action on other departments and majors All approvals must be obtained prior to the publishing of the Timetable for the initial semester in which the course is to be offered Subsequent offerings of the course do not require further authorization All future Timetables and all subsequent catalogs must indicate the special grading rules in effect for such courses The CR N courses are independent of the student option pass fail system Intermediate grades of AB and BC shall be added between A and B and between B and C respectively For courses taken under the pass fail option the grade of S shall be recorded by the registrar in place of instructors grades of A AB B BC or C UW Madison Faculty Senate Minutes 15 January 1973 and 5 May 1980 Return to the TOP II 104 HONORS DESIGNATIONS AT COMMENCEMENT INVITATION TO THE HONORS CONVOCATION Invitation to participate in the honors convocation will be extended to students who are expected to graduate and who either have a cumulative gradepoint average which places them in the top 20 percent of students in the school or college in which they are enrolled who have earned 60 credits or more at the University of Wisconsin Madison or are candidates for an honors degree whether they are in the top 20 percent of their class or not NOTATIONS Notations citing graduation distinction or honors will be made as follows on the diplomas and transcripts of students who complete degree requirements A notation of the honors degree i e Bachelor of Arts Honors will be placed on the diploma and the transcript of students who have completed the requirements of an honors program The notation Graduate with Distinction will be placed on the transcript of any student who has earned a cumulative gradepoint average which places that student within the top 20 percent of students graduating that term in his or her college IMPLEMENTATION The revised criteria noted above will go into effect with the May 1979 honors convocation and commencement The registrar shall determine cumulative gradepoint average and student rank as required by these criteria employing procedures approved by the Associate Administrative Council OTHER FORMS OF RECOGNITION These criteria for the designation of honors at graduation and graduation with distinction shall not preclude schools and colleges from specifying additional types of recognition such as high honors or thesis honors UW Madison Faculty Document 298 6 February 1978 Return to the TOP II 105 SUMMARY PERIOD FOR ACADEMIC SEMESTER The academic semester consists of an advising and a course registration period a regularly scheduled instructional period and an eight day summary period The first day of the summary period is for individual study and review and no classes or exams are to be scheduled then The last seven days are prescheduled to include one two hour summary block for each course of two or more credits This two hour block shall be used for an examination or for other instructional activities as deemed appropriate by the instructor and as approved by the instructional unit offering the course Final examinations or other summary period activities cannot be scheduled during the two weeks preceding the summary period Take home final examinations are due at the scheduled two hour block The summary period block schedule must be published and must be adhered to by all faculty in accordance with faculty legislation requirements The Office of the Registrar is authorized to prepare the summary period block schedule without submitting it to the faculty for approval except that any college or school may prepare its own summary block schedule The time of a two hour block for a class and or the due date for the take home examination may be changed only with the prior approval of the dean Where a student has more than two summary blocks scheduled within a period of 24 hours the instructor may within guidelines adopted by the college or school faculty reschedule a final exam to avoid hardship Rescheduled summary blocks shall be of the same general nature and quality as the activities of the regular two hour summary block Special hours within the prescribed summary period shall be assigned by the Office of the Registrar in consultation with the dean for combined summary periods in multiple section courses that have no common meeting hour Undergraduate seminar courses independent study and directed study courses are exempted from the above rules Also the rules apply only to courses numbered 699 or below Course grades must be completed by each instructor and submitted to the Office of the Registrar within six calendar days 144 hours from the date and hour of the two hour block scheduled during the summary period UW Madison Faculty Senate Minutes 9 May 1977 UW Madison Faculty Document 2074 Faculty Senate Minutes 6 October 2008 Return to the TOP II 106 POLICY ON REVIEW OF TENURED FACULTY Each departmental executive committee shall establish written criteria and procedures governing the periodic review of each tenured faculty member I PURPOSE The purpose of the review of tenured faculty is to assess periodically each faculty member s activities and performance in accordance with the mission of the department college and institution in such a way as to determine that the faculty member is meeting his or her obligations to the university and the State of Wisconsin The review is to be appropriately linked to the merit process and should not involve the creation of unnecessary additional bureaucracy II CRITERIA The criteria should reflect the overall mission of the department and should be sufficiently flexible to accommodate faculty with differing responsibilities In developing such criteria departments may draw on statements used in their current faculty review procedures such as merit or promotion review The executive committee of each department shall ensure that the criteria governing faculty review do not infringe on the accepted standards of academic freedom of

    Original URL path: http://www.secfac.wisc.edu/FacLeg100_299.htm (2016-04-30)
    Open archived version from archive

  • Faculty Legislation - II 300-399. Miscellaneous statements and policies | Secretary of the Faculty
    staff For academic staff and faculty with no teaching responsibilities there is no need for this restriction We recommend that they simply be allowed up to 12 months of job guaranteed leave without pay Current regulation UW Madison Personnel Policies and Procedures Handbook Easing the Transition Back to Work We recommend that serious attention be given to the issue of easing the transition back to work and facilitating employment and new parenthood A stated policy is probably not appropriate here However a set of recommendations to department chairs and other supervisors is Appendix C contains a set of suggestions on this topic We recommend that it be distributed and that department chairs and other supervisors be urged to pay careful attention to these issues Some may want to adopt them as department policy Part Time Appointments As one concrete instance of easing the transition back to work we recommend a policy that faculty and academic staff be permitted to return to work part time for the first year after birth or adoption so long as part time work is consistent with the requirements of the job Those who work part time should be paid proportionately to the percentage of time they work Employees may wish to work part time either because of medical limitations or because they wish to devote more time to childcare All employing units should be receptive to reductions in percentage appointments for those individuals Both Parents May Take Leave at the Same Time We recommend that the stipulation be dropped that two parents both employed at the university may not be on leave at the same time The present policy should apply only if both are employed by the same department and a hardship to the department can be demonstrated if both take leave simultaneously Both parents should be permitted to take childcare leave whether at the same or different times This policy would allow both parents to be involved in childcare if they desire Current regulation Regent Resolution 506 Regent approval would be needed for change Use of Sick Leave by Father The current rules permit a spouse to use sick leave during the prenatal delivery and post delivery period only if there are documented medical reasons requiring both parents to be absent We recommend that the father be allowed to use sick leave for all prenatal physician s visits and the delivery without need for medical documentation We also recommend that the father be allowed to use sick leave for the post delivery period at the recommendation of a physician that his presence and care would be helpful although perhaps not required Current regulation Administrative Code UWS 19 01 May require Regent approval for a change in the Administrative Code Equal Treatment for Mothers and Fathers We recommend that policy treat fathers and mothers equally in all respects including paid sick leave We do not anticipate that a gender fair policy for paid leave programs that might be created in the future would mean noticeable monetary costs or work disruption because few fathers choose to take leaves of more than a few days even when asked what they would do under ideal conditions see Appendix D Regent and legislative approval are needed Equal Treatment for Adoptive Parents We recommend that policy for adoptive parents be in all respects equal to that for biological parents This would require modification of the Administrative Code which authorizes paid sick leave only in the case of pregnancy Adoptive parents should have equal rights to paid leave even though they cannot literally claim sick leave Some reasonable limitations on the length of paid sick leave might be imposed Regent and legislative approval are needed Paid Infant Care Leave We recommend that the university explore means of financing a paid or partially paid family leave of six months not just for disability but in order to meet important childcare responsibilities One possible source is our income continuation insurance plan which is already in existence although it would need to be modified to extend beyond disability to the care of infants or newly adopted children However such changes could not be made unilaterally for our university and most likely would have to cover all state employees This may well require action by the legislature Untenured Faculty and the Tenure Clock Faculty members in the tenure track present a unique case in dealing with birth and adoption The intensity of work required to attain tenure at the University of Wisconsin Madison greatly exceeds a 40 hour work week and the hours must extend into evenings and weekends The committee recommends that the university recognize in a number of ways the substantial responsibility carried by assistant professors with new children in the household Reduced Appointments In some cases a faculty member may wish to assume childcare responsibilities or may not be physically able to return to work on a full time basis after the birth of a child Temporarily reduced appointments should be available for these individuals with an appropriate extension of the tenure clock Faculty Policies and Procedures 7 04 D provides that each year of service at the rate of at least one half time but not more than three quarters time shall count as a half year in the probationary period and that a rate greater than three quarters time should be counted as a full year We recommend that faculty be informed of this option and permitted to use it for parental leave Extension of Tenure Clock When Paid Sick Leave Taken Under the current rules the tenure clock does not stop when paid sick leave is taken This means that an assistant professor who remains on the payroll for three months of sick leave has no extension of the tenure clock but the assistant professor who takes a research leave paid by another agency obtains additional time on the tenure clock Thus women who take sick leave due to pregnancy or childbirth remain on the tenure clock for the leave period We recommend that the University Committee in considering requests for extension of the tenure clock grant extension based on time lost due to sick leave and the negative impact this had on the opportunity to meet the criteria for tenure Extension of the Tenure Clock When No Leave Is Taken In some cases an extension of the tenure clock may be appropriate even though no leave is taken and the percentage appointment is not reduced In the past the University Committee has approved additional time on an individual s tenure clock because of the demands placed on an individual by illness or uncontrollable circumstances A similar case may be presented where an assistant professor has had a new child and has substantial childcare responsibilities We recommend that untenured faculty women or men who have had a birth or adoption during the probationary period have the right to apply to the University Committee for an extension of the tenure clock up to one year even when the faculty member does not take a leave or a reduced appointment The application would be based on the faculty member s substantial childcare responsibilities The faculty member should make the application through the department and dean to the University Committee Such requests must be made before the tenure review process begins Our rationale for this recommendation is that untenured faculty at the University of Wisconsin Madison need to work considerably more than 40 hours per week in order to do the research teaching and service required to earn tenure Many faculty women and men with new babies can work 40 hours per week and choose to do so but they cannot realistically be expected to work more than that They are therefore disadvantaged when judged for tenure Increased flexibility in the tenure clock creates more equitable opportunities for them Education and Dissemination We recommend that pending modification of policies the existing policies should be publicized We found that some department chairs and administrators were not well informed about existing policy and actually thought the policy was less generous than it is We recommend that the policy be printed as a pull out section of Wisconsin Week that it be distributed to all department chairs and that extra copies be printed and given to department administrators for distribution to new employees each year Serious consideration should be given to printing a brochure describing our leave policies which could be handed out to candidates for faculty and staff positions In winning prospective employees attractive fringe benefit programs may help to compensate for our relatively low pay scale Summary Rationale Two primary assumptions motivate our policy recommendations 1 Policies should be gender fair Men who take responsibility for childcare should receive support for their choice and this option should receive clear recognition in policy 2 There should be equity between those who use the provisions of the policy to the maximum extent and those who do not make use of them A more generous parental leave policy would be beneficial to the university as well as to individual employees Generous parental leaves would enhance the benefits package and be attractive to prospective employees helping to compensate for our relatively low pay scale A progressive parental leave policy should also help in the recruiting of dual career couples an effort in which the university is increasingly engaged These recommendations should be seen in the context of a national movement regarding parental leave and more generally support for families including childcare and care of seriously ill elderly parents as well Recent state legislation and pending federal legislation on parental leave and family leave speak to the growing consensus on the importance of these policies The University of Wisconsin has an opportunity to be a leader in this movement and to attract national attention with more generous policies UW Madison Faculty Document 771 3 October 1988 The Faculty Senate passed the motion to endorse recommendations 1 through 10 and adopt recommendation 11 at the October 3 1988 meeting Return to the TOP II 314 MISCONDUCT IN SCHOLARLY RESEARCH PROCEDURES FOR DEALING WITH MISCONDUCT IN SCHOLARLY RESEARCH January 15 1991 I INTRODUCTION The University of Wisconsin Madison has long recognized that honesty is an essential component of scholarly activity Faculty and staff are reminded that Chapter UWS 8 of the Wisconsin Administrative Code the Unclassified Staff Code of Ethics provides that Every member of the faculty and academic staff at the time of appointment makes a personal commitment to professional honesty and integrity that meets the demanding standards of the state and national academic communities In addition Section 8 02 A of the university Faculty Policies and Procedures states Furthermore every faculty member has an obligation to maintain professional honesty and integrity to seek knowledge Failure to adhere to these standards can be cause for discipline or dismissal Students are reminded that Chapter UWS 14 Student Academic Disciplinary Procedures provide under Statement of Principles The board of regents administrators faculty academic staff and students of the university of Wisconsin system believe that academic honesty and integrity are fundamental to the mission of higher education and of the university of Wisconsin system The university has a responsibility to promote academic honesty and integrity and to develop procedures to deal effectively with instances of academic dishonesty Students are responsible for the honest completion and representation of their work for the appropriate citation of sources and for respect of others academic endeavors Students who violate these standards must be confronted and must accept the consequences of their actions General Provisions For purposes of these procedures misconduct in scholarly research is defined as fabrication falsification plagiarism or other practices that seriously deviate from those that are commonly accepted within the scholarly community for proposing conducting or reporting research It does not include honest error or honest differences in interpretations or judgments of data Misuse by a researcher of university funds including grant and contract funding from extramural sponsors is also cause for discipline or dismissal and may be cause for criminal prosecution However an allegation of misuse of funds is not within the scope of this policy such allegation shall be referred promptly to the appropriate dean who will consult with the assistant vice chancellor for business services concerning an appropriate course of action A violation of institutional procedures or federal regulations on the protection of human or animal research subjects or a violation of state or federal safety laws or regulations is also not within the scope of this policy An allegation regarding any such violation shall be promptly referred to the chair of the appropriate human subjects committee to the chair of the appropriate animal research committee or to the chair of the appropriate safety committee at the university The goal of the procedures outlined below is to assure the integrity of scholarly research to achieve a rapid and equitable resolution of all charges and to assure that all parties are treated with fairness In order to protect the reputation of an innocent party the procedures will preserve the maximum level of confidentiality consistent with law and with justice for all parties to these procedures All parties will take whatever action is required to avoid any unnecessary conflict of interest At any stage of the inquiry review or hearing the vice chancellor for academic affairs and provost vice chancellor and provost shall be promptly notified if any of the following conditions exist 1 there is an immediate health hazard involved 2 there is an immediate need to protect federal funds or equipment 3 there is an immediate need to protect the interests of any person making the allegation or of any individual who is the subject of an allegation as well as his or her co investigators and associates 4 it is probable that the alleged incident is going to be reported publicly or 5 there is a reasonable indication of possible criminal violation Where an inquiry review or hearing results in a finding that no misconduct has occurred the university will not institute a new inquiry review or hearing into an allegation of misconduct where the allegation is made against the same person and is based on material facts which were reviewed and found not to constitute misconduct during the prior inquiry review or hearing unless new material evidence is presented by a different complainant or unless the person who is the subject of the inquiry review or hearing requests another proceeding Because of the difficulties of assessing stale claims and the unfairness to the person against whom the allegation is made allegations based on conduct which occurred seven years or more prior to the making of the allegation will not be inquired into under this policy unless the circumstances indicate that the alleged conduct was not discoverable earlier Procedures for Reviewing Reports of Possible Misconduct in Scholarly Research Against Faculty and Academic Staff see Faculty Policies and Procedures 9 14 and Academic Staff Policies and Procedures Chapter 6 FPP and ASA will need to be revised to add reference to the standing Hearing Committee on Misconduct in Scholarly Research and to incorporate the procedures below for addressing such alleged misconduct II INQUIRY Initial Steps An informal report of possible misconduct shall be brought to the attention of the person with immediate responsibility for the work of the individual involved The person receiving the informal report is responsible for either resolving the matter or encouraging the submission of a formal allegation An anonymous report shall not be treated as a formal allegation but may be the basis for an allegation filed by the recipient of the report The university will make every effort to protect the privacy of those making an accusation However if an inquiry is required fairness may necessitate revealing the identity of the individual making the accusation to the individual against whom the allegation is made and to the inquiry committee Such a release will occur during a chancellor s review and hearing Allegations A formal allegation of misconduct in scholarly research should be made to the chair of the department or functional equivalent or to the corresponding academic dean or in case of conflict of interest on the part of the chair or academic dean to the Dean of the Graduate School If the formal allegation is made to the chair of the department the chair will forward it to the academic dean of the school or college or in case of conflict of interest on the part of the academic dean to the Dean of the Graduate School The dean is responsible for determining whether the complaint is non frivolous and falls within the scope of these procedures or whether it should be resolved by other methods Any determination that a complaint is not a serious allegation of misconduct in scholarly research along with supporting documentation for reaching such a decision shall be transmitted promptly to the vice chancellor and provost Unless the allegation is determined to be outside the scope of these procedures or is not a serious allegation of misconduct in scholarly research the dean if directed to do so by the chancellor shall promptly convene an ad hoc committee to conduct an inquiry into the allegation This committee shall consist of at least three individuals who have no responsibility for the research under inquiry who can be impartial and who have no interests which would conflict with the university s interest in securing a fair and thorough inquiry The committee as a whole shall have the competence and expertise appropriate for the inquiry The inquiry committee may but need not include individuals from outside the university Simultaneously with the appointment of the inquiry committee the responsible dean shall notify the individual against whom the allegation has been made of the allegation The inquiry is an informal administrative process to gather and review factual information It is designed to separate allegations deserving of further investigation from those which are unjustified or clearly mistaken Even if the individual against whom the allegation has been made terminates or has terminated his or her status with the university student or employee the inquiry will be held When possible the inquiry committee shall interview the individual against whom the allegation has been made and other individuals with relevant information Summaries or tapes of the interviews shall be prepared and submitted to the interviewed person for comment or revision The committee shall collect review and protect all documentation and other materials relevant to the allegation including but not limited to research data proposals publications correspondence and memoranda All faculty staff and students are obliged to cooperate with the committee by supplying requested documents and information The individual against whom the allegation has been made shall be provided with a copy of the report of the committee by the committee chair prior to the committee s submission of the report to the appointing dean The individual shall be given an opportunity to respond in writing within ten 10 days of his her receipt of the report The committee shall consider any such response and make any appropriate changes in its report before submitting it to the appointing dean The report of the inquiry committee along with any response by the individual against whom the allegation of misconduct has been made shall be completed and transmitted to the appointing dean as soon as possible but in no case later than 60 days after formal notification to the individual Any extension of this deadline requires documentation of unusual circumstances and must be approved by the vice chancellor and provost The written report should contain a precise specification of any charges on which further formal investigation is recommended The report shall state the evidence reviewed summarize relevant interviews and include the conclusions of the inquiry The committee is responsible for maintaining and protecting the documentation relating to the decision and providing it to the vice chancellor and provost who shall preserve it for a period of at least three years Any determination by the inquiry committee of nonsubstance of the allegation shall be reported to the vice chancellor and provost through the appointing dean The dean shall advise the individual making the allegation and the individual against whom the allegation was made about the decision of nonsubstance An inquiry report recommending further investigation shall be provided to the dean vice chancellor and provost and chancellor immediately upon its completion The dean shall notify the individual against whom the allegation has been made and the complainant Within 20 days after receipt of an inquiry report recommending further action the chancellor after consultation with the appointing dean shall review the matter shall offer to discuss the matter with the person against whom the allegation has been made and shall determine whether to dismiss the case or to bring charges that would warrant discipline or dismissal If the chancellor decides to bring charges he she shall serve a statement of charges on the person charged in the manner provided for in UWS 4 02 or 11 02 The statement shall include notice of the hearing appeal procedures and shall specify the sanction deemed appropriate Service shall be made within 30 days after completion of the inquiry If the person charged does not request a hearing the matter shall proceed according to UWS 4 02 1 or 11 02 1 Charges are allegations not a determination of whether the matters alleged are true The person charged may request a hearing within 20 days after notice of the statement of charges 25 days if notice is by first class mail and publication The request for hearing shall be addressed in writing to the chancellor who shall forward it to the chair of the Hearing Committee on Misconduct in Scholarly Research The chancellor shall at the same time refer the matter to that committee for appropriate proceedings The vice chancellor and provost is responsible for notification of any funding agencies involved III HEARING AND REVIEW Hearing If charges are referred to the Hearing Committee on Misconduct in Scholarly Research the vice chancellor and provost shall appoint at least three individuals to that committee who were not on the inquiry committee who have no responsibility for the research under investigation who can be impartial who have no interests which would conflict with the university s interest in securing a fair and thorough investigation and who have the competence and expertise appropriate for the hearing of this matter One member of the committee shall be a person with legal training and experience and that person shall be the chair of the committee Where the person against whom charges have been made is a faculty member a majority of the hearing committee must be UW Madison faculty members The vice chancellor and provost may also consider appointment of parties to the committee from outside the university The vice chancellor and provost will consult with the University Committee or the Academic Staff Executive Committee as appropriate prior to selection of members for the hearing committee If the research is funded by an agency within PHS the vice chancellor and provost shall report the institution s decision to initiate a hearing in writing to the Director Office of Scientific Integrity OSI on or before the date the hearing begins The notification shall state the name of any individual against whom charges have been made the general nature of the charges and the PHS application or grant number involved A hearing on the charges shall be commenced not later than 20 days after the request therefor except this time limit may be enlarged by mutual written consent of the parties or by order of the hearing committee The hearing shall be a fair hearing and shall include the procedures and rights provided for faculty members in UWS 4 05 4 06 and for academic staff members in UWS 11 05 and 11 06 Any individual charged shall make available for examination by the committee all of the following if requested by the committee laboratory notebooks records of research activities such as summary reports and drafts of unpublished manuscripts and other materials associated with the research including data generated by others All faculty staff and students are obliged to cooperate with the committee by supplying requested documents and information The hearing committee is charged with determining whether the specific charges are true The hearing committee will be provided upon request legal counsel pursuant to UWS 4 06 f and 11 06 2 b The hearing committee shall be responsible for assuring that both the evidence tending to show that misconduct occurred and the evidence tending to dispute that misconduct occurred is presented The hearing committee shall have the responsibility to question all witnesses Expert opinions other information records and data may be requested by the hearing committee The committee will maintain a file of all information received during the hearing Following the hearing procedure the file will be transmitted to the vice chancellor and provost In order to make a finding of misconduct in scholarly research the committee must be satisfied that there is clear and convincing evidence of such misconduct The hearing procedure should ordinarily be completed by the hearing committee within 110 days of its initiation This includes conducting the hearing preparing the draft report of the findings making that report available for comment by the individual against whom the charges were made and submitting the final report to the vice chancellor and provost The committee will prepare a draft report and provide it to the individual against whom the charges were made Such individual will have ten 10 days from receipt of the draft report to submit a response to the committee At the end of that ten 10 day period the committee will prepare a final report for the vice chancellor and provost The final report of the hearing committee to the vice chancellor and provost should include the policies and procedures under which the hearing was conducted the findings of the committee and the basis for the findings and any recommended sanction s Except as provided below the committee report must be submitted to the vice chancellor and provost within 110 days of the service of notice of charges on the individual charged so that the vice chancellor and provost can report to OSI where appropriate within the required 120 days If the research is funded by an agency within PHS the vice chancellor and provost shall submit a report to OSI which describes the policies and procedures under which the hearing was conducted how and from whom information was obtained the findings and the basis for the findings an accurate summary of the views of any individual found to have engaged in misconduct and a description of any sanctions being sought by the university The vice chancellor and provost shall make the documentation substantiating the hearing committee s findings available to the Director of OSI If it appears that it will be impossible to complete the hearing committee report within 110 days no later than 90 days after service of the notice of charges the committee will provide the vice chancellor and provost with a written request explaining the need for extra time and an estimate of the expected date of completion If the research is funded by an agency within PHS that request will be forwarded to OSI by the vice chancellor and provost If the request for additional time is granted by the OSI the committee will prepare periodic progress reports as requested by the OSI Further Review for a Faculty Member Within 10 days of receipt of the hearing committee s final decision a faculty member may ask for review of the decision by the Committee on Faculty Rights and Responsibilities CFRR on the hearing committee record on either or both of these grounds 1 that the decision of the hearing committee is clearly erroneous 2 that the recommended sanction is inappropriate If such review is not requested within 10 days the faculty member is deemed to have waived the right to such review and the hearing committee decision will be deemed submitted to the chancellor for review under UWS 4 07 If the faculty member makes a timely request for review by CFRR CFRR will provide an opportunity for the faculty member and hearing committee to submit a written statement and to appear personally before CFRR CFRR based on the hearing committee record and any statement and arguments submitted by the faculty member or hearing committee will make a decision and provide it to the chancellor for review Procedures thereafter shall be according to UWS 4 07 and 4 08 or UWS 6 01 Further Review for an Academic Staff Member Within 10 days of the receipt of the hearing committee s final decision an academic staff member may ask for review of the decision by the appropriate review committee to be determined in consultation with the Academic Staff Assembly hereinafter called Review Committee on the hearing committee record on either or both of these grounds 1 that the decision of the hearing committee is clearly erroneous 2 that the recommended sanction is inappropriate If such review is not requested in 10 days the academic staff member is deemed to have waived the right to such review and the hearing decision will be deemed submitted to the chancellor for review under UWS 11 07 or 11 11 If the academic staff member does request review by the Review Committee within 10 days that committee will provide an opportunity for the academic staff member and the hearing committee to submit a written statement and to appear personally before the Review Committee The Review Committee based on the hearing committee record and any statement and arguments submitted by the academic staff member or the hearing committee will make a decision and provide it to the chancellor for review Procedures thereafter shall be according to UWS 11 07 11 10 or 11 11 Procedures for Reviewing Reports of Possible Misconduct in Scholarly Research Against Students Reports of possible misconduct against students shall be handled according to the requirements of UWS 14 Any time limits applicable under 42 CFR Part 50 will be observed in student misconduct in scholarly research investigations Institutional Responsibility to Notify OSI Where Research is Supported by PHS Grants During the course of the hearing the hearing committee shall apprise the chancellor and the vice chancellor and provost shall apprise OSI of any significant findings which might affect current or potential Department of Health and Human Services funding of any individual charged or which might require agency interpretation of funding regulations At any stage of the inquiry or hearing the committee shall promptly notify the vice chancellor and provost and the vice chancellor and provost shall notify OSI if any of the following conditions exists 1 there is an immediate health hazard involved 2 there is an immediate need to protect federal funds or equipment 3 there is an immediate need to protect the interests of any person making the allegation or of any individual who is the subject of an allegation as well as his or her co investigators and associates 4 it is probable that the alleged incident is going to be reported publicly or 5 there is a reasonable indication of possible criminal violation If a criminal violation is possibly involved the institution must inform OSI within 24 hours If an inquiry chancellor s review or hearing is to be terminated for any reason without completing all the relevant requirements the vice chancellor and provost shall make a report of such planned termination including a description of the reasons for such termination to OSI which will then decide whether further investigation review should be undertaken If further review by CFRR or the Review Committee the chancellor or the Board of Regents alters the decision the vice chancellor and provost shall notify OSI of the changes with an explanation of such changes IV SUBSEQUENT ACTION Subsequent Action Following Completed Hearing and Appeal or Student Academic Misconduct Procedures If the alleged misconduct in scholarly research is substantiated the vice chancellor and provost shall notify any agency sponsoring the research of the results of the hearing and appeal or student academic misconduct procedures under UWS 14 If it appears that the research is based on scholarly misconduct and is invalid the researchers shall be requested to withdraw all pending abstracts and papers emanating from the research and editors of journals in which relevant papers appeared shall be notified Moreover institutions and sponsoring agencies with which the individual has been affiliated shall be notified if it is believed that the previous research is based on scholarly misconduct and is invalid Appropriate disciplinary action where misconduct in scholarly research is substantiated by the above stated procedures shall be taken with regard to a faculty member an academic staff member or a graduate assistant or other student If an allegation of misconduct in scholarly research is not substantiated by the hearing and appeal or by the student academic misconduct procedures under UWS 14 the university shall make diligent efforts as appropriate to protect or restore the reputation of any person alleged to have engaged in the misconduct The university shall also take steps to assure that any person who made an allegation in good faith will not experience retaliation Additional protection against retaliation is afforded under Wis Stats sec 230 80 et seq UW Madison Faculty Document 867a 4 February 1991 APPENDICES BRIDGING DOCUMENTS REGARDING FEDERAL PROCEDURES FOR DEALING WITH MISCONDUCT IN SCHOLARLY RESEARCH Appendix A Implementation of Federal Policies Regarding Misconduct in Research Introduction In 2000 the Office of Science and Technology Policy OSTP promulgated a policy regarding misconduct in research in the conduct of federally sponsored research or proposal submitted to Federal agencies for research funding The policy requires all federal funding departments and agencies to adopt regulations which become a term and condition of receipt of federal research funding The OSTP policy encourages a certain amount of uniformity among funding agencies In 1991 the Faculty Senate adopted Faculty Document 867a Procedures for Dealing with Misconduct in Scholarly Research This bridging document provides processes for implementing the federal policies consistent with Faculty Document 867a Research Misconduct Misconduct in federally funded research is fabrication falsification or plagiarism in proposing performing or reviewing research or in reporting research results Fabrication is making up data or results and recording or reporting them Falsification is manipulating research materials equipment or processes or changing or omitting data or results such that the research is not accurately represented in the research record Plagiarism is the appropriation of another person s ideas processes results or words without giving appropriate credit Research misconduct does not include honest error or differences of opinion nor does it supersede or establish an alternative to existing regulations or procedures for handling fiscal improprieties the ethical treatment of human or animal subjects criminal matters personnel actions against federal employees or actions taken under the HHS debarment and suspension regulations Research misconduct under Faculty Document 867a may also include other practices that seriously deviate from those that are commonly accepted within the scholarly community for proposing conducting or reporting research Confidentiality Consistent with a thorough competent objective and fair misconduct proceeding and to the extent allowed by law disclosure of the identity of respondents and complainants is limited to the extent possible to those who need to know Preservation of Evidence As soon as feasible at the allegation or inquiry stages the institution shall take all reasonable and practical steps to obtain custody of all research records and to the extent possible sequester them in a secure manner Additional Information For allegations of misconduct in federally funded research the Graduate School shall provide information to the Inquiry Committee convened under II B 2 or the Hearing Committee convened under III A 1 of Faculty Document 867a regarding the procedures

    Original URL path: http://www.secfac.wisc.edu/FacLeg300_399.htm (2016-04-30)
    Open archived version from archive

  • Faculty Legislation - II 400-499. Library matters | Secretary of the Faculty
    II 400 through II 499 II 400 General Library System Glossary II 400 GENERAL LIBRARY SYSTEM GLOSSARY GENERAL LIBRARY SYSTEM A system of libraries on the Madison Campus headed by the Director of Libraries and consisting of the Memorial Library and 15 Branch Libraries together with central service divisions and units BRANCH LIBRARY A library which is a branch within the General Library System initially these were considered branches of a comprehensive main library Memorial Library As Memorial Library became more specialized the other General Library System libraries became less branches of Memorial Library and more members of the General Library System PROFESSIONAL LIBRARIES The Middleton Weston Health Sciences Libraries Law Library Wendt Library Engineering and Steenbock Library Agriculture Life Sciences Veterinary Medicine Family Resources and Consumer Sciences Only Steenbock is a full member of the General Library System as well while Wendt is half in and half out of the General Library System SPECIAL PURPOSE LIBRARIES A small number circa 20 of libraries outside the General Library System each headed by a professional librarian and providing most or all of the traditional library services on a formal basis to certain organizational units This definition is purposely narrower than the Special Campus Library Group organization s membership REFERENCE READING ROOMS Many academic departments and other organizational units maintain rooms in which various reference materials are held for use of staff and students Some are called libraries others are called reference or reading rooms They are categorized as reference reading rooms unless a professionally trained librarian or archivist is in charge and most traditional library functions are present LIBRARY OF RECORD Any library on the UW Madison Campus whose collection holdings are listed in the Union Card Catalog in Memorial Library This includes all General Library System libraries all Professional Libraries

    Original URL path: http://www.secfac.wisc.edu/FacLeg400_499.htm (2016-04-30)
    Open archived version from archive

  • Faculty Legislation - II 500-599. Records | Secretary of the Faculty
    keep informed on major issues of concern to the profession and participates in networking arrangements to share resources with other research institutions ROLE OF DIRECTOR OF THE ARCHIVES The Director of the Division of Archives has the working title of University Archivist and is responsible for arranging the retention disposition of records transferred to the custody of the Archives approving records retention policies and providing general advice and guidance to university offices concerning the preservation of their historical papers and materials The Director establishes working policies and procedures as necessary to carry out the functions of the Archives DEFINITION OF UNIVERSITY RECORDS The University of Wisconsin Madison is subject to the definition of public records Wisconsin Statutes Chapter 16 61 2 b This statutory definition applies to all official records created and or maintained by university offices All official public records must be scheduled for retention disposition in accordance with Wisconsin Statutes 16 61 subject to approval by the Public Records and Forms Board No department or other office may destroy any public record without the permission of the Board and University Archivist Because of the wide range of responsibilities carried out by members of the faculty their public papers contain a unique combination of professional research and instructional documentation While certain portions of faculty papers are covered under the statutory definition other portions are traditionally considered private papers The Archives collects both the public and private faculty papers and will provide assistance to faculty members regarding the disposition and preservation of their records ACCESS REFERENCE POLICY Like all other offices of the university the Archives is subject to the provisions of the Open Records Law Wisconsin Statutes Chapter 19 35 Records in the Archives are open without restriction unless they have been closed or otherwise restricted by statute or other legal agreement The use of the University Archives is governed by UW Archives Reference Policy and Rules dated January 1988 Return to the TOP II 501 DEPARTMENTAL PERSONNEL RECORDS POLICY At its meeting on April 3 1978 the Faculty Senate requested the University Committee in conjunction with the Administration to develop a policy statement to govern faculty personnel records at the departmental level An ad hoc committee was appointed jointly by the University Committee and the Administration to help work toward such a policy statement and it submitted a report on January 18 1979 The following statement of policy is drawn from the majority view in that report Law and legal interpretation in the area of personnel records are subject to frequent change This statement addresses the general principles that should govern university policy within the scope of the law as we currently understand it It is intended to provide guidance to departments and to individual faculty members on how personnel files are to be maintained and on the rights and limits of access to them PURPOSE AND CONTENTS OF DEPARTMENTAL PERSONNEL RECORDS Departmental personnel files for each faculty member should contain only that information which is relevant to

    Original URL path: http://www.secfac.wisc.edu/FacLeg500_599.htm (2016-04-30)
    Open archived version from archive

  • Faculty Legislation - II 600-699. Faculty committees | Secretary of the Faculty
    Committee II 600 INSTITUTIONAL ADVISORY COMMITTEE ON OUTSIDE ACTIVITIES INSTITUTIONAL ADVISORY COMMITTEE ON OUTSIDE ACTIVITIES see UWS 8 035 MEMBERSHIP The committee consists of twelve members appointed by the chancellor from names submitted by the University Committee and the Academic Staff Committee or its delegate as specified under the Academic Staff Rules In selecting members of the committee the value of having different perspectives represented on the committee shall be taken into account A majority of those selected should be knowledgeable about or have experience in outside activities Four members shall be selected each year to serve three year terms FUNCTIONS Provides to any member of the unclassified staff and to the administration consultation and advice on the application of UWS Chapter 8 Committee deliberations and actions upon requests for consultation or advice shall be in meetings not open to the public Records obtained in connection with requests for consultation or advice shall be considered confidential university information Summaries of advice provided by the committee without disclosing the identities of persons requesting such advice shall be made public in an annual report The committee may form panels of at least three persons each An order of rotation shall be established for the panels and requests for advice shall be assigned to the panels in sequence When a request for advice is received the chair shall decide whether the request should be heard by the full committee or assigned to one of the panels Return to the TOP II 601 MEMORIAL LIBRARY COMMITTEE MEMBERSHIP Six faculty members three each from the humanities and social sciences and no more than one from any department appointed to staggered three year terms by the chancellor Nominations are to be obtained from all deans of colleges and schools having faculty members in the humanities or

    Original URL path: http://www.secfac.wisc.edu/FacLeg600_699.htm (2016-04-30)
    Open archived version from archive



  •