CHAPTER 4C - PERSONNEL RULES

SECTION 13 OVERVIEW OF THE PROCESS AND PROCEDURES FOR HEARING OF CHARGES AND NOTICE OF DISMISSAL OF ACADEMIC STAFF UNDER UWSP 11.04

(See Chapters UWS 11 & UWSP 11)

(To see who has authority to approve changes to this section, please see the Approval of Changes page).

NOTE. Under the provisions of UWSP 11.03 (2) and 11.12 (see 4A.2), classroom teaching academic staff may elect to file appeals of dismissal with either the Academic Staff Mediation Subcommittee or the Faculty Mediation Subcommittee, but may have access to only one subcommittee for each case. For ease of reading, all references in this chapter are to the Academic Staff Mediation Subcommittee only.

Regardless of which subcommittee hears the appeal, the hearing shall be held pursuant to the provisions of Chapter UWSP 11 (see 4A.2) and these procedures.

ALL ACADEMIC STAFF

INTRODUCTORY COMMENTS.

Coverage.

These proceedings apply to all allegations, from whatever source, concerning conduct based directly and substantially on an academic staff member’s actions in carrying out professional responsibilities where such conduct has resulted in substantial or fundamental harm to the university, and which might provide cause for dismissal.

Rights.

The exercise of rights shall not constitute adequate cause for dismissal or other disciplinary action. These are rights guaranteed by

• the United States Constitution;

• the Constitution of the state of Wisconsin;

• Board action;

• System rules, policies, or procedures;

• the Constitution of the Common Council;

• UWSP rules, policies, or procedures; or

• one’s professional code of ethics.

Student and Peer Evaluations.

Regardless of their content, including specific allegations of inappropriate behavior, neither student nor peer evaluations are allegations of inappropriate conduct under Chapters UWS 11 and UWSP 11 (see 4A.2) or these policies and procedures.

Applicable Documents.

An academic staff member against whom allegations of misconduct which might lead to dismissal have been brought or an individual who is contemplating bringing allegations which might lead to dismissal of an academic staff member is advised to become familiar with

• Chapters UWSP 9 - 13 (see 4A.2), the institutional academic staff personnel rules;

• unit or departmental personnel rules and procedures;

• appropriate sections of the Wisconsin Administrative Code, the UW System academic staff personnel rules;

• Chapters 801.11 (1)(c), 227.45, and 227.46 of the Wisconsin statutes; and

• related documents in this handbook.

Counsel.

An academic staff member who has been notified that an allegation of misconduct which might lead to dismissal has been received by the chancellor may wish to seek advice from senior academic staff or faculty familiar with the policies and procedures, and is advised to retain legal counsel. The right to be represented at meetings or hearings by individuals of the academic staff member’s choice is guaranteed under Chapters UWS 11 and UWSP 11 (see 4A.2) and these procedures.

Time Limits.

Termination of Hearing.

Failure to meet any time limits established by these procedures will likely end the proceedings. An academic staff member against whom allegations of misconduct have been brought is urged to review these procedures and to act promptly.

Length of Process.

The time limits are intended to ensure action within a reasonable time period; nevertheless, the hearing process may be lengthy. The deliberative process in particular may take several months to conclude: the issue is significant; there is no limit on the number of deliberative sessions which may be held; and there is no limit on the length of recesses which may occur between sessions.

Presence at Meetings.

No Exclusions.

Under the provisions of 19.89 of the Open Meetings Law, no member of a governmental body may be excluded from any meeting of that body. In addition, no member may be excluded from meetings of any of the body’s subunits unless the rules of the parent body specifically state otherwise.

Personnel Matters.

No academic staff member under consideration for any personnel matter (including consideration of filing of a complaint or taking action on a complaint) may be excluded from a unit or department meeting at which the matter is to be considered, even if the meeting is moved into closed session. No academic staff member may be excluded from any unit or departmental committee meeting at which the matter is to be considered unless unit or departmental rules specifically state to the contrary.

Right to Open Meeting.

19.85 Wis. Stats.

Under the provisions of the Open Meetings Law, an academic staff member has the right to request and receive an open evidentiary hearing for any meeting of a unit or subunit involving consideration of disciplinary action against that individual.

NOTE. A meeting with an administrator or a chairperson for the purpose of discussion or investigation of allegations of charges which might lead to dismissal, even where the end result of the discussion or investigation may be a recommendation for disciplinary action or hearing, is not subject to the provisions of the Open Meetings Law: neither an individual administrator nor a chairperson is a “formally constituted subunit.”

Under the Open Meetings Law, even when departmental or unit policies provide that subunit or committee meetings be restricted to members of the subunit or committee, any academic staff member under consideration has the right to request and receive an open meeting for the portion of the meeting that constitutes an evidentiary hearing involving consideration of disciplinary action against that individual.

Unit/Departmental Policies.

Normally, unit/departmental policies will require a written request for an open meeting reasonably in advance of the meeting.

Settlement.

Nothing in these procedures or in Chapters UWS 11 or UWSP 11 (see 4A.2) shall be construed to prevent the settlement of allegations by mutual agreement between the administration and the academic staff member, with the approval of the chancellor, at any time in the proceedings prior to a final decision by the chancellor, or when appropriate, with the Board’s approval prior to a final decision by the Board.

• Any such settlement consists of an appropriate response, which may include disciplinary action, mutually agreed upon by the academic staff member and the chancellor, and, where appropriate, having the approval of the Board.

• Every settlement shall be reduced to writing and signed by the academic staff member and the chancellor; no further action shall be taken on the matter.

• One copy of the signed document shall be retained by the chancellor and one given to the academic staff member.

Charges.

Basis for Charges.

Dismissal of an academic staff member may be sought only for cause based directly and substantially on the academic staff member’s conduct in carrying out professional responsibilities where such conduct has resulted in substantial or fundamental harm to the university.

Complaints to Chancellor.

Whenever any official receives a complaint which might lead to dismissal, the complainant and the complaint shall immediately be referred to the chancellor for action.

Filing of Charges.

Charges seeking dismissal of an academic staff member shall be filed by the appropriate chancellor’s designee.

INDEFINITE APPOINTMENT ACADEMIC STAFF

Under the provisions of UWSP 11.12 (see 4A.2), a member of the academic staff whose primary responsibility is as a classroom teacher, with a fixed term appointment of .5 FTE or more, and who has accumulated 7 academic years of service at .5 FTE or more per semester follows the same procedures as academic staff holding indefinite appointments. In this subsection, wherever the phrase “teaching academic staff” appears, it refers only to those fixed term personnel.

PROCEDURES UPON RECEIPT OF A COMPLAINT.

Chancellor’s Action on a Complaint.

Whenever the chancellor receives or initiates a complaint against a teaching academic staff member or an academic staff member holding an indefinite appointment and where the complaint might lead to dismissal, before taking any action other than discussing the allegations with a designee or the complainant, the chancellor (or a designee) shall promptly notify the appropriate director or dean of the allegations and ask the administrator to take appropriate action.

In those instances where the immediate supervisor of the academic staff member concerned is a director or dean, the chancellor shall appoint an appropriate administrative officer to carry out the director’s or dean’s responsibilities under UWSP 11.02 (see 4A.2) and these procedures.

Notification of Complaint Required; Administrator’s Action.

Informal Discussion.

When a director, dean, or other administrator receives from the chancellor notification of allegations of misconduct which might lead to dismissal of a teaching academic staff member or an academic staff member holding an indefinite appointment, the administrator may consult with appropriate administrative personnel or System legal counsel and shall:

• promptly send written notification of the allegations to the academic staff member;

• afford the academic staff member the opportunity to meet promptly to discuss the complaint informally; and

• proceed immediately to an investigation of the charges if the academic staff member declines to meet.

o Notification normally shall be within 7 working days of the receipt of the allegations from the chancellor.

o The administrator’s offer of the opportunity for an informal discussion may be in the notification of the allegations or by telephone.

o Normally, no meeting with an academic staff member on such allegations shall occur before the academic staff member has received written notification of the allegations reasonably in advance of the meeting.

o Normally, the administrator shall not proceed with any investigation of allegations before the academic staff member has received written notification of the allegations and met or declined to meet with the administrator informally to discuss the allegations.

o Accompanying the notification of allegations shall be a copy of these procedures and information as to where to locate other rights under UWS 11/UWSP 11 (see 4A.2).

NOTE. An academic staff member against whom a complaint is made and who is invited to meet informally on the complaint or to respond to the complaint is advised to consult legal counsel.

 Informal discussion with the administration may be advisable but an academic staff member is not obligated to meet with the administrator.

 If the academic staff member decides to meet informally with the administrator, the academic staff member is advised to bring a representative, which may be legal counsel, to the informal discussion.

Informal Discussion Outcomes.

One of these alternatives will result from the informal discussion:

• the administrator will determine that the complaint is unjustified: no charges will be filed nor will other action adverse to the academic staff member be taken;

If the administrator determines the complaint is unjustified, a written statement to that effect shall be sent to the academic staff member and the chancellor, and a copy placed in the academic staff member’s personnel file.

• the administrator will determine that the complaint may be justified and either

o the administrator and the academic staff member will agree to a mutually satisfactory resolution, which will end the matter; or

o the administrator will proceed to an investigation of the charges.

Investigation Outcomes.

One of these alternatives will result from the administrator’s investigation:

• the administrator will determine and inform the academic staff member that the complaint is unjustified: no charges will be filed nor will other action adverse to the academic staff member be taken; or

• the administrator will determine and inform the academic staff member that the complaint is justified but warrants disciplinary action less severe than dismissal, and the university will proceed under the provisions of Chapter UWSP 13.01 (see 4A.2); or

• the administrator will determine and notify the academic staff member that the complaint is justified and file formal charges for dismissal against the academic staff member.

Request for Hearing.

A member of the teaching academic staff or an academic staff member who holds an indefinite appointment who has received a formal statement of charges seeking dismissal has 20 days from the receipt of the charges to request a hearing conducted under the auspices of the Academic Staff Mediation Subcommittee.

Hearing Outcomes.

Following a hearing on charges for dismissal, the hearing commit-tee issues its report of findings and recommendations. The committee may find that the charges are without foundation or not proven, that the charges are valid but a sanction less than dismissal is warranted, or that the charges are valid and dismissal is an appropriate response on the part of the university.

Termination of Proceedings.

Indefinite Appointment.

If the hearing process for an academic staff member holding an indefinite appointment is not concluded before the academic staff member’s retirement or resignation, the proceedings will automatically end at the academic staff member’s retirement or resignation unless the academic staff member sends a written request to the chairperson of the Academic Staff Mediation Subcommittee that the proceedings continue to their conclusion.

Fixed Term Appointment.

If the hearing process for an academic staff member holding a fixed term appointment is not concluded before the expiration of the appointment or the academic staff member’s retirement or resignation, the proceedings will automatically end at the expiration of the appointment or the academic staff member’s retirement or resignation unless the academic staff member sends a written request to the chairperson of the Academic Staff Mediation Subcommittee that the proceedings continue to their conclusion.

Discontinuance.

If the university discontinues proceedings for dismissal against an academic staff member who has requested a hearing, the charges are deemed to be withdrawn and without merit.

Settlement.

The proceedings may be discontinued by a settlement reached by mutual agreement between the administration and the academic staff member and with the concurrence of the chancellor prior to a final decision by the chancellor, or if appropriate, concurrence of the Board prior to a final decision by the Board.

Continuation of Duties and Salary.

Suspension.

Unless the chancellor, in consultation with the Academic Staff Council, specifically finds that substantial harm may result to the institution if an academic staff member whose dismissal is sought continues with normal duties, the academic staff member shall not be relieved of those duties pending the final decision of the chancellor, or where appropriate, the Board.

Salary.

If an academic staff member is suspended before the final decision on dismissal by the chancellor or Board, the academic staff member’s salary shall nonetheless be continued until the decision is reached.

FILING A REQUEST FOR HEARING.

Written Request.

Upon receipt of a formal statement of specific charges for dismissal, a teaching academic staff member or an academic staff member holding an indefinite appointment has 20 days in which to request a hearing by the Academic Staff Mediation Subcommittee.

• Failure to meet the 20 day deadline will likely end the opportunity for a hearing.

• The request shall be in writing and addressed to the chairperson of the subcommittee.

• The request should provide a historical resume of all actions taken to this point.

No Request Filed.

If an academic staff member whose dismissal is sought does not file a request for a hearing with the Academic Staff Mediation Subcommittee, the dismissal will proceed along normal administrative lines and the decision of the chancellor shall be final.

Required Action.

Notification.

If the chairperson determines that the individual requesting a hearing holds a teaching academic staff appointment or an indefinite academic staff appointment, the chairperson shall:

• provide written notification of the request for hearing to the chancellor so System legal counsel may be advised a case is pending;

• begin a file of all correspondence concerning the hearing, which will be passed on to the chairperson of the hearing committee;

• provide written notification that the hearing procedure is in progress to

o the academic staff member;

o the administrative heads of the appellant’s operational area and unit,

o the chairperson of the unit’s personnel committee, and the appropriate executive director and vice chancellor (or the chairperson of the appellant’s departmental personnel committee, department chairperson, and dean); and

o the chairpersons of the Academic Staff Council and the Common Council; and

o the chancellor; and

• provide copies of all correspondence to the

o academic staff member;

o hearing committee members; and

o chancellor.

Appointment of Hearing Committee.

The chairperson will also appoint a hearing committee composed of a minimum of 5 persons, at least 3 of whom must be members of the Academic Staff Mediation Subcommittee. There will be broad representation from the university but not necessarily a member from each division or college.

• Normally, at least 3 of the appointed members shall have had either

o previous experience as a member of a hearing committee under either UWSP 10.04, 11.04, 12.05, 13.01, 13.02 (see 4A.2) or other similar hearing, or

o orientation and training for a hearing procedure.

• One member, who normally shall have had previous experience as a member of a hearing committee under either UWSP 10.04, 11.04, 12.05, 13.01, 13.02 (see 4A.2) or other similar hearing, shall be designated as the chairperson of the committee.

• No individual who participated in the investigation leading to the filing of charges, or in the filing of charges, or who is a material witness, or who is a member of the same unit or department as the academic staff member requesting the hearing may serve on the hearing committee.

• The chairperson of the Academic Staff Mediation Subcommittee, if otherwise qualified, may serve as either a member or as chairperson of the hearing committee.

• Reasonable effort will be made to ensure that the members of the hearing committee are acceptable to both parties in the hearing process.

o Normally, this will be accomplished by informal contact with the proposed members and the parties to the hearing before the formal appointment.

o The decision of whom to appoint is solely that of the chairperson of the subcommittee.

• After the committee is appointed, the academic staff member has the unrestricted right to challenge and remove 1 member from the hearing committee.

• The decision on other challenges to committee members shall be made by the committee, excluding the member under challenge.

o If members are disqualified or disqualify themselves, the remaining members consult with the chairperson of the Academic Staff Council and the chairperson of the Academic Staff Mediation Subcommittee and appoint other members to serve.

Hearing Date.

The hearing committee shall meet to hear the matter within 20 days of receipt of the request for a hearing, except that this time limit may be extended by mutual consent of the parties or by order of the hearing committee.

Notice. The academic staff member requesting a hearing shall receive written notice of the specific charges and of the hearing at least 10 days prior to the hearing.

Hearing Committee Chairperson’s Responsibilities.

Once the hearing committee is appointed, the chairperson of the hearing committee assumes responsibility for the hearing process. The chairperson shall

• conduct the hearing under the provisions of UWS/UWSP 11.04 through 11.07 (see 4A.2), the provisions of Chapter 227.45, 227.46, and 801.11 (1)(c) of the Wisconsin statutes, these policies and procedures, and the guidelines for hearings under 11.04 (which may be found in the following subsection or requested from the chairperson of the Academic Staff Mediation Subcommittee);

• establish appropriate communication with the chancellor, provost, academic staff member, appropriate executive director and vice chancellor, or dean, and unit administrative head, or department chairperson, and keep each informed of the proceedings in the hearing;

• keep records of all correspondence among all the principals from the initiation of the hearing through its conclusion;

• appoint a secretary for the hearing committee (normally an associate vice chancellor), and provide for a verbatim transcript of the hearing (usually a sound recording);

• secure appropriate facilities, schedule evidentiary hearings, and provide notices to conform with the Open Meetings Law;

• secure appropriate facilities and schedule and conduct deliberative sessions in which the committee formulates its findings and recommendations;

• prepare a summary of the evidence and the written report of the commit-tee’s findings and recommendations and transmit these materials to the academic staff member and to the chancellor, and send copies of the report to the academic staff member’s unit head or department chairperson, executive director and vice chancellor, or dean, and to the provost;

• send a copy of the hearing procedures with each written notification of the hearing, and

• send written notification of the hearing to the academic staff member, the chancellor, the provost, the appropriate executive director and vice chancellor, or dean, the unit head or department chairperson, the individual(s) who brought the complaint leading to the formal charges, and witnesses asked to appear on behalf of the parties or called by the hearing committee.

Written notification of the hearing shall include statements

o of the date, time, and place of the hearing;

o that all parties may be represented by an individual(s) of their choice, which may include legal counsel;

NOTE. If counsel has been requested by the committee from the chancellor, notice shall include a statement that the committee will have legal counsel present at the hearing.

o that normally, by a vote of the committee, the evidentiary hearing and the deliberative sessions will be closed but the academic staff member requesting the hearing, upon timely written request to the chairperson, has the right to request an open evidentiary hearing and any such request shall be honored;

o of whether the academic staff member has requested an open evidentiary hearing;

o that both parties have a right to copies of all documentary evidence relevant to the hearing;

o that all parties, including witnesses, are expected to provide to the hearing committee chairperson sufficient copies of their testimony for all other parties, and that these materials should be provided in sufficient time prior to the hearing for distribution to all parties, but that failure to provide such copies will not preclude an individual from giving testimony;

o that either party may call persons to offer evidence or testimony;

o that both parties will be sent a list of the names of any persons to be called by either party, or by the hearing committee;

o that either party may offer testimony from any source;

o that the hearing committee is not bound by statutory rules of evidence but may hear testimony having reasonable probative value;

o that both parties have the right, under guidelines established by the chairperson, to question persons offering testimony;

o that adjournments will be granted to enable either party to investigate evidence as to which a valid claim of surprise is made;

o that the burden of proof of the existence of just cause for dismissal is on the administration or its representative;

o that the academic staff member has the right to a verbatim record of the hearing, which may be a sound recording, at no cost;

o that if the proceedings are not concluded before the retirement or resignation of the academic staff member, the proceedings will terminate at the academic staff member’s retirement or resignation unless the academic staff member sends a written request to the chairperson of the Academic Staff Mediation Subcommittee that the proceedings be carried to their conclusion;

o that discontinuance of the proceedings by the university is deemed a withdrawal of the charges and a finding that the charges were with-out merit;

o that nothing shall prevent the settlement of the case by mutual agreement of the parties and the agreement of the chancellor, provided that such settlement is reached prior to a final decision by the chancellor, or where appropriate, approval of the Board prior to a final decision by the Board;

o that any personal notes made during the procedures and retained by a participant are subject to subpoena if the appeal is not resolved at the institutional or System level and becomes a legal matter;

o that a quorum for the evidentiary hearing consists of 4 members of the hearing committee;

o that a quorum for the deliberative sessions consists of 4 members of the hearing committee, except that in an emergency, the chairperson may declare a quorum when only 3 members are present;

o that the hearing committee will give a written statement of its findings and recommendations to the chancellor, the provost, the appropriate executive director and vice chancellor, or dean, the unit head or department chairperson, and the academic staff member; and

o that the academic staff member’s and the chancellor’s copies will be accompanied by both a verbatim record of the hearing and a summary of the evidence, unless the academic staff member is represented by counsel, in which case the verbatim record and summary will be sent to counsel.

GUIDELINES FOR HEARINGS.

Quorum, Notice, and Confidentiality.

Quorum.

While all 5 members will be present whenever possible, a quorum for the hearing and for meetings of the hearing committee consists of 4 members of the committee.

In an emergency, the chairperson of the hearing committee has the discretion to declare a quorum for deliberative sessions when only 3 members of the hearing committee are present.

Notice.

Notices of meetings shall be sent to the University Newsletter for publication (without identifying the academic staff member) and shall indicate whether the meetings will be open or closed.

Confidentiality.

Committee.

All matters related to the academic staff member and the hearing are maintained in the strictest confidentiality by hearing committee members, except as may be necessary to meet provisions of the Open Meetings Law or other similar statutory, administrative rule, or faculty governance requirements.

Documents.

Following the conclusion of all deliberations and the submittal of the hearing committee’s report, the chairperson shall collect all drafts and other documents related to the hearing from the members of the committee, from any appointed secretary, and from all other parties except the academic staff member and academic staff member’s representative(s). All minutes and materials provided by the parties and not forwarded to the chancellor as a part of the report shall be sealed and filed in the office of the chancellor for a period of 5 years, after which they shall be destroyed as permitted under the Public Records Law.

NOTE. Participants are reminded that any personal notes made during the procedures and retained after the hearing are subject to subpoena if the appeal is not resolved at the institutional or System level and becomes a legal matter.

Evidentiary and Deliberative Sessions.

The hearing process consists of 2 parts, an evidentiary hearing and a deliberative meeting.

Evidentiary Hearing.

The purpose of the evidentiary hearing is to determine the facts of the situation. Both parties may provide evidence at the evidentiary hearing and both parties have the right to be represented by another individual(s), which may be legal counsel. The hearing committee is not bound by legal rules of evidence. The burden of proof on the existence of just cause for dismissal is on the administration. The hearing committee shall make a verbatim record of the hearing.

Deliberative Meeting.

The purpose of the deliberative meeting is for the hearing committee to reach its conclusions, after which the chairperson of the hearing committee will prepare a summary of the evidence and write a draft report of the findings and recommendations of the hearing committee. Each member of the hearing committee must sign the final report or file a dissent. The report shall be distributed within 10 days of the close of deliberations.

Closed and Open Sessions.

General Guideline.

Evidentiary hearings and deliberative meetings will normally be closed, as permitted by the Open Meetings Law, unless the chairperson of the hearing committee receives from the academic staff member a written request for an open evidentiary hearing, in which case all evidentiary sessions will be open. Closed meetings require a majority vote of the hearing committee, by a roll call vote.

Evidentiary Hearings: Who May Attend/Speak.

Closed Hearings.

If the evidentiary hearing is closed, only parties directly involved in the hearing may attend. Those permitted to attend, who may speak when recognized by the chairperson for that purpose, are

• members of the hearing committee;

• the academic staff member;

• the chancellor or a designee;

• the individual(s) making the complaint upon which charges were based;

• representatives for the parties;

• witnesses for the parties;

• individuals specifically called or designated by the hearing committee, which may include legal counsel; and

• an appointed secretary, who need not be a member of the committee.

Open Hearings.

If the evidentiary hearing is open, anyone may attend but only those parties directly concerned with the grievance and recognized for the purpose of speaking by the chairperson of the hearing committee are permitted to speak.

Deliberative Meetings: Who May Attend/Speak.

Only members of the hearing committee, an appointed secretary (who need not be a member of the committee), and the committee’s legal counsel (if any) are permitted to attend, and may speak when recognized by the chairperson for that purpose. Only members of the hearing committee participate in determining findings of fact and decision.

Procedure for Evidentiary Hearing and Deliberative Meeting.

Introduction.

A copy of these procedures may be requested from the chairperson of the Academic Staff Mediation Subcommittee or the Associate Vice Chancellor for Personnel, Budget, and Grants.

Presiding Officer.

The chairperson of the hearing committee convenes the hearing and serves as presiding officer. The chairperson assumes all the normal responsibilities of a committee chairperson and rules on such questions as may arise on the procedure of the hearing, admissibility of evidence, and all other matters related to the hearing.

If the committee has legal counsel, the chairperson may request the advice of counsel on all matters pertaining to the hearing.

Evidentiary Hearing.

The evidentiary hearing normally proceeds in the order described here, but the chairperson may change the order as circumstances may require.

• Call to order; introduction of members of the committee and of the secretary.

• Explanation of the Open Meetings Law and either

o explanation of limitations of open meetings, if an open meeting has been requested, or

o a request for a motion to close the hearing under the appropriate section(s) of 19.85 Wis. Stats. [19.85 (a), (b), (c), or (f)], and a roll call vote on the motion.

• Introduction of the academic staff member, and the academic staff member’s representative(s), if any.

• Introduction of the chancellor or the chancellor’s designee, and the chancellor’s or the designee’s representative(s), if any.

• Reading of the charges for the record by a member of the administration or its representative.

• Presentation of the administration’s case, including testimony from the individual(s) making the complaint upon which the charges are based, but not the testimony of other witnesses.

• Questions of the administration or the individual making the complaint by the academic staff member or the academic staff member’s representative.

• Presentation of witnesses on behalf of the administration.

• Questions of the administration’s witnesses by the academic staff member or the academic staff member’s representative.

• Rebuttal questions of any of these parties by the administration or its representative.

• Presentation of testimony by the academic staff member or the academic staff member’s representative but not the testimony of witnesses.

• Questions of the academic staff member by the administration or its representative.

• Presentation of witnesses on behalf of the academic staff member.

• Questions of academic staff member’s witnesses by the administration or its representative.

• Rebuttal questions of any of these parties by the academic staff member or the academic staff member’s representative.

• Questions of the academic staff member’s and the administration’s witnesses by members of the hearing committee.

• Presentation by any witnesses who may have been called by the hearing committee and questions of these witnesses by members of the hearing committee.

• Questions of committee witnesses by the administration or its representative.

• Questions of committee witnesses by the academic staff member or the academic staff member’s representative.

• Additional questions, if any, of witnesses by members of the hearing committee.

• Rebuttal or closing comments by the administration or its representative.

• Rebuttal or closing comments by the academic staff member or the academic staff member’s representative.

• Questions of the academic staff member by members of the hearing committee.

• Questions of the administration by members of the hearing committee.

• Additional questions, if any, of the academic staff member or the administration by members of the hearing committee.

• Conclusion of the evidentiary hearing.

If the deliberative meeting does not follow immediately after the evidentiary hearing, the chairperson will request a motion to recess the hearing and to reconvene at the deliberative meeting [if possible, the date and time of the session will be included in the motion to recess], and will conduct a roll call vote on the motion.

Deliberative Meeting.

The hearing committee deliberates on the hearing and writes a summary of the evidence and a report which includes the findings and recommendations of the committee.

Findings.

A finding that the facts are as described by the administration is not in itself enough to recommend dismissal or a lesser sanction.

Cause for Dismissal.

To warrant a finding for dismissal, the committee must be convinced by the evidence that substantial or fundamental harm to the institution has resulted directly and substantially from the academic staff member’s actions in carrying out professional responsibilities, and that dismissal is the most appropriate response by the university.

Burden of Proof.

The burden of proof is on the administration to show that cause exists for dismissal or a lesser sanction.

Validity of Charges.

Decisions on the validity of the charges shall be determined by a majority of the members of the hearing committee. The vote(s) shall be a roll call vote, which shall be recorded.

Recommendations.

The committee’s report and recommendations, which includes support for the recommendations, are sent to the chancellor as soon as feasible following the conclusion of the deliberative session(s).

• If the committee finds that the administration has not met the burden of proof or that cause for discipline does not exist, it shall recommend that the charges be found without merit and withdrawn.

• If the committee finds that the administration has met the burden of proof and that dismissal is the most appropriate response, it shall recommend dismissal.

• If the committee finds that the administration has met the burden of proof for cause for discipline but for a sanction less than dismissal, it shall recommend an appropriate sanction other than dismissal.

o To warrant a finding for a severe sanction but less than dismissal, the committee must be convinced by the evidence that significant or grievous harm to the institution has resulted directly and substantially from the academic staff member’s actions in carrying out professional responsibilities, and that a severe sanction but less than dismissal is the most appropriate response by the university.

o Severe sanctions less than dismissal include but are not limited to

• suspension without pay for a specified period;

• a freeze in salary for a specified period;

• a reduction in salary;

• a demotion in title;

• reassignment;

• counseling or other similar rehabilitation; and

• appropriate compensation and/or service.

Report.

At an appropriate time in the deliberations, the chairperson recesses the meeting and prepares a summary of the evidence and a draft report. The draft is circulated among the members, after which the committee reconvenes to review the draft and make appropriate modifications. After the report has been adopted by the hearing committee, each member of the committee signs the report or files a dissent.

• The report shall be adopted by a majority of the members of the hearing committee. The vote shall be a roll call vote, which shall be recorded.

• The report shall be distributed not later than 10 days following the close of deliberations.

• The chairperson provides a verbatim record of the hearing, a summary of the evidence, and a copy of the report to both the academic staff member and the chancellor, and a copy each of the report to the provost; the appropriate executive director and vice chancellor, or dean; and the academic staff member’s unit head or department chairperson.

Chancellor’s Action.

The chancellor shall afford the academic staff member an opportunity to discuss the report within 20 days after receiving it from the committee. Within 20 days of the meeting with the academic staff member (or 30 days from the receipt of the report if the academic staff member declines to meet), the chancellor shall provide the academic staff member with a written decision, which shall be final unless the Board, at the request of the academic staff member, grants a review on the record.

Substantial Differences.

If the chancellor’s proposed decision differs substantially from the recommendations of the hearing committee, the chancellor shall promptly consult the committee and provide it a reasonable opportunity for a written response prior to rendering a final decision.

Dismissal Recommended.

If the recommendation is for dismissal, the chancellor must specify the effective date of dismissal. If the Board grants review and concurs in the decision to dismiss, the Board shall specify the effective date of dismissal in its decision.

Lesser Sanction.

If the chancellor determines that disciplinary action less severe than dismissal is appropriate, the chancellor may take such action after having met with the academic staff member to discuss the record.

Possible Board Action.

Refer to UWSP 11.10 (see 4A.2) for options available to the Board.

No Double Jeopardy.

After notification to the academic staff member of the final decision by the chancellor or the board, the academic staff member may not again be placed in jeopardy for the same incident(s) of alleged inappropriate behavior.

PROBATIONARY ACADEMIC STAFF AND FIXED TERM ACADEMIC STAFF WHOSE PRIMARY RESPONSIBILITY IS OTHER THAN CLASSROOM TEACHING

NOTE. Although the term “fixed term” is used throughout this subsection, the proceedings apply only to those fixed term academic staff whose primary responsibilities are other than classroom teaching. Classroom teaching academic staff are covered in the previous subsection.

PROCEDURES UPON RECEIPT OF A COMPLAINT.

Chancellor’s Action.

Whenever the chancellor receives or initiates a complaint against an academic staff member holding a probationary or fixed term appointment and where the complaint might lead to dismissal, before taking any action other than discussing the allegations with a designee or the complainant, the chancellor (or a designee) shall promptly notify an appropriate administrative officer of the allegations and ask the administrator to take appropriate action.

Notification of Complaint Required; Administrator’s Action.

Informal Discussion.

When an administrator receives from the chancellor notification of allegations of misconduct which might lead to dismissal of an academic staff member holding a probationary or a fixed term appointment, the administrator may consult with appropriate administrative personnel or System legal counsel and shall