SenD#4980
STATEMENT ON FACULTY APPEAL PROCEDURES
This Statement on Faculty Appeal Procedures was adopted by the Senate of
the Academic Council on April 29, 1999, and approved by the Board of Trustees
on June 11, 1999. It is applicable to appeals filed on or after June 11,
1999. [This statement replaces two documents: the Statement on Faculty
Grievance Procedures and the Standing Rules of Procedure Governing the Filing
and Appeal of Grievances.]
Definitions and Standards.
1.1. An appeal is a written request for review of a decision made by a
person (or group of persons) acting in an official University
capacity. The decision must have directly affected the academic
activities of the appellant as an individual. Dissatisfaction with a
departmental, school, or University policy or practice is not grounds
for appeal. These appeal procedures may be used by any member of the
professoriate, as defined in Chapter 1, Section II (E) of the Faculty
Handbook.
1.2. The purpose of the appeal process is to determine whether appropriate
procedures were followed in making certain kinds of academic
decisions, rather than to reevaluate the merits of the decisions
themselves. The standard for deciding the appeal shall be limited to
determining whether there were procedural errors (such as the failure
to bring proper facts and criteria to bear on a decision, or the
introduction of improper facts and criteria, or the existence of other
procedural defects) that substantially affected the outcome to the
detriment of the appellant. In rare cases, the reviewer may also
overturn the decision if it was not one which a person (or persons) in
the position of the decision-maker might reasonably have made.
1.3. Because these appeal procedures are not those of a court of law, it is
important that they be carried out with flexibility and in an
atmosphere of collegiality, and that the participants avoid an
excessively legalistic approach. Efforts should be made to resolve
the dispute informally before beginning the appeal process, and those
efforts may continue even after the process is underway.
1.4. The appellant should file his or her appeal within 60 days of being
notified of the decision. An unreasonable delay in filing an appeal
may constitute grounds for rejection of the appeal.
2. Appeals Concerning Decisions about Reappointment and Promotion.
2.1. A faculty member whose reappointment or promotion has initially been
denied by the department or school may file a written appeal with the
Provost.
2.1.1. After making a preliminary review of the matter, which may
include consultations with whomever the Provost deems
appropriate (including the Advisory Board), the Provost may
grant the appeal, or remand the matter to a lower
administrative level, or refer the matter directly to the
Advisory Board. Before acting on the case, the Provost may
appoint a Fact-Finder to investigate the matter and report back
to the Provost, who may then grant the appeal, remand the
matter to a lower level, or refer it to the Advisory Board.
The Provost will inform the appellant of his or her decision.
2.1.2. When the Advisory Board has received the appeal from the
Provost, it will make a preliminary review and can then reject
the appeal if it is found to be without merit. In this
preliminary review and/or in any further deliberations, the
Advisory Board may make any inquiries that it deems
appropriate. The Board may also make use of the Fact-Finder
appointed by the Provost or, if necessary, appoint its own
Fact-Finder.
2.1.3. If, after its preliminary review, the Board decides to consider
the case, it will inform the appellant that he or she has the
right to a hearing. If the appellant does not request a
hearing, the Advisory Board will consider the matter without a
hearing and make a recommendation to the Provost.
2.1.4. If the appellant requests a hearing, the appellant and the
decision-maker (or the decision-maker's representative) each
has the right to appear before the Advisory Board and to make
an oral and/or written presentation. The Board can set time
limits (usually not more than 30 minutes for each side) for
these oral presentations. The Board may also decide to call
witnesses, who will be questioned only by members of the Board.
A record of the hearing will be kept.
2.1.5. Upon completion of its deliberations, the Advisory Board will
make a recommendation to the Provost, who will then take one of
the following actions: refer the matter to a Fact-Finder for
further inquiry, further consult with or remand the matter to
the Advisory Board for additional consideration, grant or deny
the appeal or take such other action as the Provost deems
appropriate. The Provost will inform the appellant of the
decision.
2.1.6. Upon receipt of the Provost's final decision, the appellant may
within 30 days request a further review by the President. The
President may decline this request. If the President chooses to
consider the appeal, he or she may make any inquiries that the
President deems appropriate. Following his or her examination
of the case, the President may grant or deny the appeal or take
any other action that he or she deems appropriate. The
President's decision will be conveyed to the appellant and is
final.
2.2. A faculty member whose reappointPresident may grant or deny the appeal
or take any actioment or promotion has initially been denied by the
Provost may file a written appeal with the President, who will perform
the functions assigned to the Provost in Section 2.1. At the end of
the process, the President's decision will be conveyed to the
appellant and is final.
2.3. A faculty member whose reappointment or promotion has been denied by
the President after a recommendation by the Advisory Board may file a
written appeal with the President. The President may remand the matter
to a lower administrative level or refer it to an appropriate person
to review the case and report back to the President. The n that he or
she deems appropriate. The President's decision will be conveyed to
the appellant and is final.
3. Other Appeals.
3.1. A faculty member who wishes to appeal an administrative decision (that
is, a decision that does not involve denial of his or her
reappointment or promotion) made below the provostial level may file a
written appeal with the Provost.
3.1.1. After making a preliminary review of the matter, which may
include consultations with whomever the Provost deems
appropriate, the Provost may grant or deny the appeal or take
any action that the Provost deems appropriate. Alternatively,
the Provost may remand the matter to a lower administrative
level, and/or appoint a Fact-Finder who will investigate the
matter and report back to the Provost. The Provost may then
grant or deny the appeal or take any action that the Provost
deems appropriate. The Provost will inform the appellant of
his or her decision.
3.1.2. Upon receipt of the Provost's final decision, the appellant may
within 30 days request a further review by the President. The
President may decline this request. If the President chooses to
consider the appeal, he or she may make any inquiries that the
President deems appropriate. Following his or her examination
of the case, the President may grant or deny the appeal or take
any action that he or she deems appropriate. The President's
decision will be conveyed to the appellant and is final.
3.2. A faculty member wishing to appeal an administrative decision made by
the Provost or President, may file a written appeal with the
President, who will perform the functions assigned to the Provost in
Section 3.1. At the end of the process, the President's decision will
be conveyed to the appellant and is final.
4. General Provisions.
4.1. Time Guidelines.
Because it is important for all concerned that appeals be resolved
expeditiously, the Provost, President and Advisory Board should
attempt to follow these guidelines: within 30 days from the receipt
of the appeal, the Provost should inform the appellant about the
procedures to be used in his or her case. The Provost should seek to
decide the case within 60 days from receipt of the appeal (or, in the
case of an appeal of a reappointment or promotion decision, within 30
days from receipt of the Advisory Board's recommendations), the
Advisory Board should seek to reach its decision within 60 days of
receiving the case from the Provost, and the President should seek to
make his or her final determination within 90 days from receipt of the
appellant's request for further review. The application of these
guidelines to a particular case may be modified by the President,
Provost, or Advisory Board at their discretion. If such modifications
become necessary, the appellant will be informed of the delay.
4.2. Confidentiality.
4.2.1. Any material that has been solicited or received with the
understanding that it would be kept in confidence must not be
revealed in the appeal process to any person, including the
appellant, who was not a party to the confidential material.
The material may, however, be examined by individuals who have
been consulted by the Provost, President or the Advisory Board
as part of the appeal process, and who will in turn maintain
its confidentiality.
4.2.2. In order to obtain information in his or her personnel file,
the appellant should follow the procedures set forth in the
Faculty Handbook.
4.2.3. Because it concerns individual personnel matters, the appeal
process is not a public proceeding.
4.3. Advisors.
The appellant, the persons(s) whose decision is being appealed, and
anyone else called to provide information on the appeal, may be
accompanied by an advisor to any discussion with the administrative
officer or with his or her delegate, as well as to any appearance
before the Advisory Board. The advisor's role is to advise the
relevant party; he or she, therefore, may not directly address those
considering the appeal or question witnesses at a hearing of the
Advisory Board. Except in hearings before the Advisory Board,
advisors must be members of the professoriate.
4.4. Fact-Finders.
The Provost should appoint eight to twelve persons (from the faculty,
emeritus faculty or senior staff) to a standing panel of Fact-Finders.
Fact-Finders serve for staggered three year terms and receive
administrative support from the Provost's office. Taking into account
the particular circumstances of the case, the Provost and/or the
Advisory Board may select an individual from this panel to gather
information about the appeal. The Fact-Finder is not an advocate for
either the decision-maker or the appellant. The Fact-Finder's role is
to answer clearly defined questions and to report on unexpected
aspects of the case. The Fact-Finder is not to make formal
recommendations about how the case should be resolved.
4.5. The Advisory Board.
The Advisory Board may act on an appeal through a subcommittee of its
members. Members who have participated in the decision under
consideration will recuse themselves from participating in the Board's
deliberations. The Board may, but need not, replace its recused member
or members.
4.6. Inquiries.
Inquiries about these procedures should be directed to the Provost's
office.