1.7 Appeals to the Board

Page index:

  1. Jurisdiction
  2. General Provisions and Definitions
  3. Appeals Other Than Tenure Appeals
  4. Tenure Appeals

 

  1. Jurisdiction. The Board of Regents, State of Iowa (Board) considers appeals from final actions or decisions of an institution under its jurisdiction. The Board considers appeals as follows:

    1. Mandatory Appeals. The Board will consider, as a matter of right, the following:
      1. An appeal from an employee disciplinary matter where dismissal or suspension without pay is the final institutional sanction.

      2. An appeal from a student disciplinary matter where expulsion is the final institutional sanction.

      3. An appeal from a denial of tenure as further defined and specified in section 1.7.4.A.

    2. Appeals or Grievances Governed by Contract, Policy, Rule, or Statute. These appeal procedures shall not apply to a dispute that is governed by a separate appeal or grievance process established by a contract, policy, rule, or statute. Examples of such disputes include, but are not limited to, the following:
      1. An appeal arising out of a contested case proceeding, as that term is defined in Iowa Code Chapter 17A.

      2. Matters that are covered by a collective bargaining agreement, except to the extent such agreement explicitly provides a right to appeal subject to this policy.

      3. Regent Merit System appeals

      4. An appeal from a decision to terminate a teacher contract that is subject to Iowa Code Chapter 279.

      5. An appeal of a Purchasing matter covered by Section 2.2.6.C(xii) of this Policy Manual.

    3. Discretionary Appeals. All other matters will be considered discretionary and will be docketed for consideration by the Board only if a right of review is granted at the sole discretion of the Executive Director.
       
  2. General Provisions and Definitions. The following shall apply to all matters appealed to the Board of Regents.

    1. Standing. Any individual or entity who participated or had a right to participate as a party to a proceeding or action at an institution under the jurisdiction of the Board has standing to appeal the final institutional decision.

    2. Burden of Proof. The Appellant shall have the burden of proof on appeal. The Appellant must show that the final institutional decision was:
      1. Not supported by substantial evidence in the record

      2. Arbitrary and capricious; and/or

      3. Unconstitutional or otherwise contrary to law, including procedural irregularities or deficiencies materially prejudicial to the Appellant.

    3. Parties Defined. As used in these appeal procedures:
      1. “Appellant” shall mean each person or entity initiating the appeal

      2. “Institution” shall mean the institution under the jurisdiction of the Board of Regents from which appeal is taken

      3. “Respondent” shall mean each person or entity who participated or had a right to participate as a party during the institutional review process but is not the one initiating the appeal

       


    4. Representation by Counsel. Parties may be represented by legal counsel during the appeal process.

    5. Single Appeal. Only one appeal of the same or substantially similar subject matter and/or parties shall be considered by the Board. The Executive Director may, in his/her sole discretion, reject or consolidate appeals that arise out of the same subject matter. The Executive Director may, in his/her sole discretion, sever multiple claims brought as a single appeal.

    6. Counting Days. “Days” shall mean consecutive calendar days. If the last day of the counting period falls on a day when the Office of the Board of Regents is closed, the counting period shall be extended to the next business day.

    7. Time Limits. Unless otherwise approved in writing by the Executive Director, all time limits identified in this Chapter expire at the close of business for the Office of the Board of Regents. The time limits specified in this Chapter may be extended at the discretion of the Executive Director.

    8. Timeliness of Appeal. When a party fails to timely exercise the appeal rights under this policy, the party is deemed to have accepted the final institutional decision and to have waived the right to contest the matter further.

    9. Filing and Service. Documents may be filed with the Executive Director or such other person as designated by the Executive Director and simultaneously served on all parties using any of the following methods: personal delivery, United States mail, fax, electronic mail, or any other method approved by the Executive Director. A document is considered filed on the date and time when it is received by the Office of the Board of Regents.

    10. Prohibited (Ex Parte) Communications. Except for inquiries regarding procedural or scheduling matters, no party shall communicate with a member of the Board of Regents or an employee of the Office of the Board of Regents regarding an appeal without notice to all parties and an opportunity for all parties to participate.

    11. Written Transcripts. If a hearing was conducted and audio recorded, any party to an appeal may request that a written transcript be prepared. If a request is made, a written transcript will be prepared and copies will be provided to all parties and the Office of the Board of Regents. Expenses shall be the responsibility of the requesting party, unless otherwise ordered by the Executive Director. The Executive Director may request that a transcript be prepared at the expense of the institution.

  3. Appeals Other Than Tenure Appeals

    1. Notice of Appeal. An appeal may be initiated by filing a written Notice of Appeal with the Executive Director within ten (10) days of the date of the final institutional action from which appeal is taken. The Executive Director shall promptly forward a copy of the Notice of Appeal to the Institution and all parties with a statement certifying the date the Notice of Appeal was filed.

      The Notice of Appeal must include the following:

      1. Identification of the Appellant(s);

      2. Identification of Counsel for Appellant(s), if any;

      3. Identification of the Institution and all Respondents, if known;

      4. The decision or action from which appeal is taken;

      5. If the appeal is discretionary, a statement as to why the appeal should be heard;

      6. Identification of the basis or bases of appeal;

      7. The specific relief or remedy requested;

      8. If a stay or suspension of final institutional action is requested, the nature and reasons for such a request;

      9. If consolidation or severance is requested, the reasons for such a request;

      10. A request for oral argument, if desired.

      Failure to identify or raise any of the items listed in sections 3.A.i, 3.A.iii, and 3.A.iv may, in the sole discretion of the Executive Director, serve as grounds for dismissing the appeal. Failure to raise any of the items listed in sections 3.A.v through 3.A.x may, in the sole discretion of the Executive Director, serve as a waiver of the right to pursue that item or issue further.


    2. Filing of Written Responses to the Notice of Appeal. Within twenty (20) days of the date the Notice of Appeal is filed, the Institution and all Respondents may file a Response to the Notice of Appeal with the Executive Director, and shall serve a copy of the same on all parties. Failure to submit a Response to the Notice of Appeal by either the Institution or a Respondent shall not be deemed a waiver of the right to participate in the appeal or contest the matter further.

      The Response shall include the following:

      1. Identification of the Institution or Respondent(s), as applicable;

      2. Identification of Counsel for the Institution or Respondent(s), if any;

      3. If the appeal is discretionary, a statement as to why it should or should not be heard;

      4. A brief response to Appellant’s stay request, if any. The Executive Director may, in his/her sole discretion, request that a response to a request for stay be submitted separately and in advance of the deadline for filing the Response;

      5. If consolidation or severance is requested, the reasons for or against such a request;

      6. A request for oral argument, if desired.

    3. Filing of the Record. Within twenty (20) days of the date the Notice of Appeal is filed, the Institution shall file a complete copy of the Record with the Executive Director, and serve a copy of the same on all parties.

      The Record shall include the following:

      1. Copies of institutional policies and procedures directly relevant to the appeal;

      2. All official communications between the Institution and the Appellant and/or Respondent(s) regarding the appeal, including all official decisions and recommendations issued at each stage of institutional review;

      3. A statement of charges or complaint documents provided to Appellant, if applicable;

      4. An audio recording or written transcript of any hearings, if available;

      5. Copies of all exhibits received by the hearing officer or reviewer at each stage of institutional review;

      6. All additional, non-privileged materials considered by the institutional reviewer or decision-maker at each stage of institutional review.

    4. Acceptance of Discretionary Appeal. If the matter is considered a Discretionary Appeal the Executive Director will issue a decision on whether the matter will be accepted for consideration by the Board within fourteen (14) days of the filing of the Record and all Responses to the Notice of Appeal. If accepted, the Appeal shall proceed under the procedures contained in sections 1.7.3.E through 1.7.3.H10.

    5. Ruling on Request for Stay, Consolidation or Severance. The Executive Director shall issue a ruling on any request for stay, consolidation or severance within fourteen (14) days from the date the Record and all Responses to the Notice of Appeal are filed. The Executive Director may, in his/her sole discretion, issue a ruling on a request for stay sooner if circumstances warrant.

    6. Objections and Requests to Supplement the Record. Within fourteen (14) days from the date the Record is filed, the Executive Director shall issue a schedule for filing objections to the Record and/or requests to supplement the Record.

    7. Schedule for filing Written Briefs. The Executive Director shall issue a schedule for filing written briefs. Written briefs shall be limited to twenty-five pages, unless an exception is granted in writing by the Executive Director.
      1. The Appellant shall have twenty (20) days from the date of the Executive Director’s scheduling order to file a written brief with the Executive Director, with a copy served on the Institution and all Respondents.

      2. The Institution and all Respondents shall have twenty (20) days from the date Appellant’s brief is filed to file a responsive brief with the Executive Director, with a copy served on all parties.

      3. The parties may not raise factual or legal issues or arguments before the Board that were not previously raised during any stage of institutional review.

      4. No further written arguments will be accepted from any party unless requested or approved by the Executive Director.

    8. Docketing and Board Review. At the earliest practical time, the Executive Director shall notify the parties in writing of the tentative date and location of the Board meeting at which the appeal will be considered and whether any request for oral argument is granted. Following review of the appeal, the Board may affirm, modify, remand or reverse all or any part of the final institutional decision. The Board shall give due regard to the fact finder’s opportunity to observe witnesses and the parties. The decision of the Board of Regents represents final agency action.

  4. Tenure Appeals

    1. Tenure Appeal Defined. Tenure Appeals are faculty appeals related to the granting of tenure, non-renewal during the probationary period, promotion, and post-tenure review. The Board will accept as a Mandatory Appeal only: i) a final determination not to grant tenure arising out of a regularly scheduled tenure review that is required or mandated under institutional policies, and ii) a dismissal resulting from a post-tenure review. Early consideration for tenure and a review occurring after the granting of tenure, including, but not limited to, promotion decisions, are considered discretionary appeals.

    2. Notice of Appeal. An appeal may be initiated by filing a written Notice of Tenure Appeal with the Executive Director within ten (10) days of the date of the final institutional decision. The Executive Director shall promptly forward a copy of the Notice of Appeal to the institution with a statement certifying the date on which the Notice of Appeal was filed.

      The Notice of Appeal must include the following:

      1. Identification of the Appellant;

      2. Identification of Counsel for the Appellant, if any;

      3. The decision or action from which appeal is taken;

      4. Identification of the basis or bases of appeal

      5. The specific relief or remedy requested;

      6. If the appeal is discretionary, a statement as to why the appeal should be heard;

      7. If a stay or suspension of final institutional action is requested, the nature and reasons for such a request;

      8. A request for oral argument, if desired.

    3. Filing of the Written Response and Record. Within twenty (20) days of the date the Notice of Appeal is filed, the Institution shall file a concise Response to the Notice of Appeal and the Record with Executive Director, and shall serve a copy on the Appellant subject to the requirement in section 1.7.4D.

      The Response shall include the following:

      1. Identification of the Institution;

      2. Identification of Counsel for the Institution, if any;

      3. If the appeal is discretionary, a statement as to why it should or should not be heard;

      4. A brief response to Appellant’s stay request, if any. The Executive Director may, in his/her sole discretion, request that a response to a request for stay be submitted separately and in advance of the deadline for filing the Response;

      5. A request for oral argument, if desired.

      The Record shall include the following:

      1. Copies of all institutional policies and procedures directly relevant to the appeal;

      2. Copies of all materials contained in the Appellant’s tenure file;

      3. All recommendations or reviews that were part of the tenure decision;

      4. All official communications between the Institution and the Appellant regarding the tenure decision and appeal, including all official decisions and recommendations issued at each stage of institutional review;

      5. Copies of all exhibits and documents received by the reviewer or institutional decision-maker at each stage of institutional review;

      6. An audio recording or written transcript of any hearings, if available.

    4. Confidential or Privileged Records. The Board recognizes that given the nature of tenure decisions, certain documents or materials contained in the Record may be considered confidential or privileged. The Institution must clearly identify records or documents, in whole or in part, for which a claim of privilege or confidentiality is made. The Institution may serve the Appellant with a copy of the Record from which confidential or privileged records or documents have been redacted or withheld. The Institution shall include with the Record a list of documents and records that have been redacted or withheld. The list must be written in a manner that provides Appellant with notice of the general nature of the documents or records for which a claim of confidentiality or privilege is made, while preserving the confidential nature of the documents or records.

    5. Acceptance of Discretionary Tenure Appeal. If the matter is considered a Discretionary Tenure Appeal, the Executive Director will issue a decision on whether the matter will be accepted for consideration by the Board within fourteen (14) days of the filing of the Record and the Response. If accepted, the appeal shall proceed under the procedures contained in sections 1.7.4.F through 1.7.4.H.

    6. Ruling on Request for Stay. The Executive Director shall issue a ruling on any request for stay within fourteen (14) days from the date the Record and all Responses to the Notice of Appeal are filed. The Executive Director may, in his/her sole discretion, issue a ruling on a request for stay sooner if circumstances warrant.

    7. Objections and Requests to Supplement the Record. Within fourteen (14) days of the date the Record is filed, the Executive Director shall issue a schedule for filing objections to the Record and/or requests to supplement the Record.

    8. Schedule for filing Written Briefs. The Executive Director shall issue a schedule for filing written briefs. Written briefs shall be limited to twenty-five pages, unless an exception is granted in writing by the Executive Director.
      1. The Appellant shall have twenty (20) days from the date of the Executive Director’s scheduling order to file a written brief with the Executive Director, with a copy served on the Institution.

      2. The Institution shall have twenty (20) days from the date Appellant’s brief is filed to file a responsive brief with the Executive Director, with a copy served on the Appellant.

      3. The parties may not raise legal or factual issues or arguments before the Board that were not previously raised during any stage of institutional review.

      4. No further written argument will be accepted from either party unless requested or approved by the Executive Director.

    9. Docketing and Board Review. At the earliest practical time, the Executive Director shall notify the parties in writing of the tentative date and location of the Board meeting at which the appeal will be considered and whether any request for oral argument is granted.

      Following review of the appeal, the Board may affirm, modify, remand or reverse all or any part of the final institutional decision. The Board shall give due regard to the fact finder’s opportunity to observe witnesses and the parties. The decision of the Board of Regents represents final agency action.