3840 - Procedures for Faculty Appeals
- Position: Vice Provost for Faculty
- Name: Diane Kelly-Riley
- Email: firstname.lastname@example.org
Last updated: July 01, 2021
A. AREAS OF CONCERN. The procedures provided in this policy are to be used by faculty members to appeal administrative decisions, including without limitation decisions in such matters as denial of tenure, denial of promotion, position description, performance evaluation, salary determination, and to challenge the contents of personnel files. Applicability of these procedures to some matters is subject to certain limitations and exclusions —nonrenewal of fixed-term appointments (see 3900E and F), dismissal for cause (see 3910, in particular, 3910 D-5-c), and layoff resulting from a declaration of financial exigency (see 3970). Allegations of sexual harassment or discrimination based on race, color, sex, national origin, religion, age, sexual orientation, or disability are not subject to this policy, but should be brought to the Director of the Office of Civil Rights and Investigations. Decisions of the president concerning administrative assignments are not appealable under this policy. A faculty member alleging retaliation is required to follow the process set forth in FSH 3810 before proceeding under this policy. The time period for appeal will begin to run upon completion of the process set forth in 3810.
B. PROCEDURES FOR INITIATING AN APPEAL.
B-1. Before, or in addition to, filing an appeal, the faculty member should seek satisfaction informally by discussing his or her complaint with the administrator who made the decision. If the issue is not resolved by this means, the faculty member should then go to the next administrative level for redress. Reference to these discussions should be included in the request for a hearing.
B-2. A faculty member who wishes to appeal an institutional decision may do so by submitting a written request for a formal hearing. Such a request must be made within 30 calendar days after he or she receives written notice of the institutional decision, except that a 20-day period is allowed in cases of nonrenewal of fixed-term appointments (see 3900 F), a 14-day period is allowed in cases of denial of tenure or promotion, and a 15-day period is allowed in cases of dismissal for cause (see 3910 D-5-a). If the appeal concerns salary determination, the 30-day period allowed for filing begins with receipt of notice of the dollar amount of salary assigned (see 3420 B-3, B-6); the earlier assignment to a salary-increment category (see 3420 B-3) may be appealed by the informal means described in A-1 or may be included in the appeal after the salary amount has been fixed. In the request, the faculty member must state clearly what decision is being appealed and, briefly, the grounds on which the appeal is based. If the time deadlines contained in this provision or in any rules or procedures adopted by the Faculty Appeals Hearing Board are not complied with the appeal shall be dismissed unless the Faculty Appeals Hearing Board determines that an attempt at informal resolution through the Ombuds Office or extraordinary circumstances justified the delay.
B-3. The request for a hearing shall be addressed to the chair of the Faculty Appeals Hearing Board (FAHB) (see FSH 1640.43). The grounds for the FAHB review are limited to the following possible determinations: (1) failure to comply with prescribed procedures; (2) application of inappropriate considerations; (3) abuse of discretion; and (4) abuse of the appellant’s academic rights and privileges. The request for a hearing must be based on one, or more, of these four grounds. The FAHB chair will forward copies of the request to the provost, and other administrators concerned. The provost, or another administrator designated by the provost, will furnish the FAHB chair and the faculty member a written statement of the reasons for the administrative decision.
B-4. A request for a hearing does not affect the effective date of the decision being appealed.
B-5. The FAHB may establish additional procedures (see C-1 below) for initiating appeals not inconsistent with this policy. The appellant should request these procedures prior to submitting an appeal.
C. HEARING PROCEDURES.
C-1. The FAHB may adopt rules of procedure from time to time. In a particular case these rules may be altered by the Board in the interest of fairness. These rules shall be filed with the faculty secretary and shall be available on request from the chair of the FAHB and/or the faculty secretary.
C-2. The FAHB chair organizes the formation of a panel to hear an appeal, see FSH 1640.43 B on panel formation.
C-3. In order to maintain the independence of the FAHB panel in its hearing process and deliberations, there shall be no communications between any member of the board and a party to an appeal that are not in writing and provided contemporaneously to all parties to the appeal. Parties to an appeal shall make all communications to the FAHB panel in writing and shall provide contemporaneous copies to all other parties. Likewise, communications from the FAHB panel shall be copied to all parties.
C-4. The panel will meet before the hearing to consider the nature of the parties’ expected presentations, to make decisions about the procedure that will be followed in the hearing, and to set mutually acceptable dates for the hearing, including the time and duration of the presentations. The panel chair communicates the panel's decisions in writing to the parties and allows each of them five working days in which to respond. The chair of the panel negotiates any disputed matters.
C-5. The chair of the panel summons the faculty member and the officer (or a representative of the body) whose decision is under appeal. The chair also summons other UI employees or students to appear on the request of either party or of the panel itself; the summons must set a reasonable time and place to appear and must give due notice. Persons summoned have the obligation to respond as though summoned by the president. Either party may be assisted by counsel or an advisor of its choice in an advisory capacity only. Both parties are entitled to be present during the entire hearing.
C-6. During the hearing, the faculty member’s case will be presented first, in whatever manner he or she desires: e.g., through the testimony of witnesses, submission of documents, or oral statements. The panel may then question the faculty member. The administration then presents its case, followed by questions from the panel. The faculty member is given an opportunity to respond and to summarize his or her case.
C-7. As a general rule, the panel admits, rather than excludes, presentations that either party desires to make. The chair may rule against presentations that are clearly repetitive or irrelevant.
C-8. The faculty member and the panel should know of the existence and substance of all materials on which the administration has relied in making the decision being appealed; there should be no means by which the substance of any charge, or other adverse information or allegation, can be kept secret from the faculty member.
D. PROCEDURES FOLLOWING THE HEARING.
D-1. The findings and recommendations of the hearing panel are reported promptly in writing to the faculty member, his or her departmental administrator and dean, the provost, and the president.
D-2. The president, following receipt of the report of the hearing panel, has the responsibility of promptly responding in writing—and in any case within 45 days—to the faculty member, and the hearing panel, and of providing a statement of the rationale for his or her decision.
D-3. No Appeal to the Regents. The Regents have delegated authority for personnel matters to the president (RGP.II.B.2.), specifically stating that employee grievances are not appealable to the Board (RGP.II.M.2.).
D-4. The chair of the FAHB shall report annually to the Faculty Senate regarding the nature of the matters considered by all panel(s) during the preceding year.
Amended July 2021. Editorial changes.
Amended July 2018. The Faculty Appeals Hearing Board revised this policy to improve clarity and add language to better assist appellants.
Amended July 2015. Revised C-5.
Amended July 2014. Changes were made to align this policy with Board policy.
Amended July 2012. Revised A.
Amended July 2009. Editorial changes to A and D-4.
Amended July 2008. The committee composition previously in C and D was moved into FSH 1640 Committee Directory.
Amended July 2007. Revised to add a process for addressing retaliation complaints.
Amended July 2005. Editorial changes.
Amended July 2002. The section was substantially revised to clarify the committee’s scope and its procedures.
Amended July 2001. Editorial changes to B-2.
Amended July 2000. Editorial changes.
Amended July 1999. The section was substantially revised to clarify the committee’s scope and its procedures.
Amended July 1997. Editorial changes to C-6.
Amended January 1996. Revised so to remove the Faculty Affairs Committee from those bodies through which an appeal had to travel before being heard.
Amended July 1994. Revised to add harassment based on race, color, religion, gender, national origin, age or disability to the "areas of concern".