From: 8524828hau**At_Symbol_Here**COMCAST.NET
Subject: Re: [DCHAS-L] Need Examples of Disciplinary Procedures/Enforcement Process for Faculty
Date: August 31, 2012 10:19:58 PM EDT
Reply-To: DCHAS-L <DCHAS-L**At_Symbol_Here**MED.CORNELL.EDU>
Message-ID: <00bc01cd86ba$2d3353f0$8799fbd0$**At_Symbol_Here**>

At my former non-academic R&D institution (1200 scientists in 15-20 departments/divisions; and over 3,000 total employees total), the institution-wide annual performance evaluation form for completed by each non-union employee's immediate supervisor (and often reviewed by the next highest person in the organizational hierarchy) includes a section on safety performance.  The "points" for safety comprise a relatively small fraction of the overall performance evaluation.  However, the overall annual performance evaluation is considered when promotions are proposed, and annual salary increases are allocated.  Despite the relatively small fraction of the overall weighting for safety performance, senior managers can (and have) withheld a fraction of the annual salary increase by exercising "management prerogative" for a particularly egregious incident/non-compliance.

Although entire labs were rarely locked down, specific equipment (e.g., a non-compliant laser; or a machine with inadequate guarding) was commonly locked out, rendering it inoperable until the prescribed corrective action was completed.  In one rare occasion a series of incidents in the same division revealed a fundamental non-compliance with the institution's expectations for experiment safety review process that each division was to prepare and implement.  In this division, ALL hands-on research was halted until the division had improved its experiment safety review and approval process.  An ad hoc task force was formed to conduct the reviews in a timely manner.  Pending the successful completion of a legitimate review and approval (not just a rubber stamp earned for completing some forms), experiments were restarted in a phased-in manner during about a month.

David Haugen

From: "Mary M. Cavanaugh" <cavanaughmm**At_Symbol_Here**APPSTATE.EDU>
Sent: Thursday, August 30, 2012 9:17:24 AM
Subject: [DCHAS-L] Need Examples of Disciplinary Procedures/Enforcement Process for Faculty

Hello, I'm looking for examples of any universities that have disciplinary procedures or an enforcement process that they use for FACULTY who violate federal/state regulations or internal EHS policies.


For example, have any universities incorporated compliance with EHS into their tenure & review policies on a university-wide basis?  How about on a department-wide basis?


What other approaches have any of you at universities used?  Were they more or less successful than the standard approach of "talk to the chair; if that doesn't work talk to the dean; if that doesn't work talk to the provost; if that doesn't work pick another battle."


If you prefer to reply offline, my email is cavanaughmm**At_Symbol_Here**


Mary M. Cavanaugh CIH

University Industrial Hygienist

Occupational Health Programs Manager

Office of Environmental Health, Safety, & Emergency Management

Appalachian State University

ASU Box 32114

Phone 828.262.6838

Fax 828.262.6914

Email cavanaughmm**At_Symbol_Here**


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