CHAPTER THREE: 3840
EMPLOYMENT INFORMATION CONCERNING FACULTY AND STAFF
July 2008
3840
PROCEDURES FOR FACULTY
APPEALS
PREAMBLE: This section deals with the procedures for faculty appeals. It
formed a part of the 1979 Handbook and was revised in July of 1994 to add
harassment on the basis of race, color, religion, gender, national origin, age
or disability to the "areas of concern" and in January of 1996 so as to remove
the Faculty Affairs Committee from those bodies through which an appeal had to
travel before being heard. The section was substantially revised in July 1999
and again in July 2002 to clarify the committee’s scope and its procedures. In
July of 2008 C and D were moved into FSH 1640 Committee Directory to consolidate
university committee function and structure language. Further information is
available from the Provost’s Office (208-885-6448) or the Faculty Secretary's
Office (208-885-6151). [ed. and rev. 7-99, 7-02, ed. 7-00, 7-05]
CONTENTS:
A.
Areas of Concern
B.
Procedures for Initiating an Appeal
C.
The Faculty Appeals Hearing Board
D.
Hearing Procedures
E. Procedures Following the Hearing
A.
AREAS OF CONCERN. The
procedures provided in this policy are to be used by faculty members to appeal
administrative 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 3900
E 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 Human Rights Compliance Officer. 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. [rev. 7-99, 7-02, 7-07, ed. 9-06]
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 C-3,
C-6];
the earlier assignment to a salary-increment category [see
3420
C-3] may be appealed by the informal means described in B-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. [rev. 7-99, 2-07, ed. 7-01, ed. 7-02]
B-3. The
request for a hearing is addressed to the chair of the Faculty Appeals Hearing
Board (FAHB) (see FSH
1640.43). 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. [rev.
and ren. 7-99, ed. 7-02, 7-08]
C. THE
FACULTY APPEALS HEARING BOARD. (see FSH
1640.43)
D. HEARING
PROCEDURES.
D-1. The
hearing board 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 are available on request from the chair of the board and the faculty
secretary. [add. 7-99, ren. 7-08]
D-2. The board
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 board communicates these decisions
in writing to the parties and allows each of them five working days in which to
respond. The chair of the board negotiates any disputed matters. [ed. and
ren. 7-99, ren. 7-08]
D-3. The chair
of the board 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 board
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 of its choice in an
advisory capacity only. Both parties are entitled to be present during the
entire hearing. [rev. and ren. 7-99, ed. 7-02, ren. 7-08]
D-4. 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 board may then question the faculty
member. The administration then presents its case, followed by questions from
the board. The faculty member is given an opportunity to respond and to
summarize his or her case. [ed. 7-97; ren. 7-99, 7-08, ed. 7-02]
D-5. As a
general rule, the board admits, rather than excludes, presentations that either
party desires to make. The chair may rule against presentations that are clearly
repetitive or irrelevant. [ren. 7-99, 7-08]
D-6.
The faculty member and the board should know of the existence and substance of
all materials on which the administration has relied in making the decision
being appealed [see
3040]; 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. [ren. 7-99, 7-08, ed. 7-02]
E. PROCEDURES
FOLLOWING THE HEARING.
E-1. The
findings and recommendations of the hearing board are reported promptly in
writing to the faculty member, his or her departmental administrator and dean,
the provost, and the president. [rev. 7-99, ed. 7-02, ren. 7-08]
E-2. The
president, following receipt of the report of the hearing board, has the
responsibility of promptly responding in writing—and in any case within 45
days—to the faculty member, and the hearing board, and of providing a
statement of the rationale for his or her decision. [rev. 7-99, ed. 7-02, ren.
7-08]]
E-3. Appeal
to the Regents.
RGPIIM2.b.
A nonclassified employee may elect to petition the Board to review any final
personnel related decision of the chief executive officer. Any written petition
must be filed in the Office of the State Board of Education within fifteen (15)
calendar days after the employee receives written notice of final action under
the internal procedures of the institution, agency, school, or office. The Board
may agree to review the final action, setting out whatever procedure and
conditions for review it deems appropriate, or it may choose not to review the
final action. The fact that a written petition has been filed does not stay the
effectiveness of the final decision nor does it grant a petition for review
unless specifically provided by the Board. Board review is not a matter of
right. An employee need not petition the Board for review in order to have
exhausted administrative remedies for the purposes of judicial review. [add.
7-02, ren. 7-08]
E-4. The chair
of the board shall report annually to the Faculty Council regarding the nature
of the matters considered by the board during the preceding year. [add. 7-99,
ren. 7-02, 7-08]
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