Chapter 31 – Appeals by Employees to Board of Regents
(Regents 3/12-13/70; amended 9/93; 6/18)
Effective June 2018, this policy has been revised. For the most current version without redlining, return to III-31.
The Board of Regents, State of Iowa (Board), considers appeals from final actions or decisions of an institution under its jurisdiction, which may include an appeal from an employee disciplinary matter where dismissal or suspension without pay is the final institutional sanction, an appeal from a student disciplinary matter where expulsion is the final institutional sanction, or an appeal from a denial of tenure as further defined and specified in Board policy. Appeals for institutional actions other than these are considered by the Board on a discretionary basis.
The applicable policy can be found in the Board of Regents Policy Manual, Chapter 1.7 Appeals to the Board.
31.1 Statement of Policy; Definitions
Any staff member, including but not limited to a faculty member or other teacher, of an institution under the jurisdiction of the Board of Regents, State of Iowa (the "Board"), who feels aggrieved by any final adjudicatory order or rule-making decision made by the institution regarding his or her employment may, after exhausting all remedies within the institution, request the Board to review such final order or decision in accordance with the procedures hereinafter provided.
"Adjudicatory order" means all or any part of a final institutional disposition, whether affirmative, negative or declaratory in form, of any matter of particular applicability to the individual staff member regarding his or her employment."Rule-making decision" means all or any part of an institutional statement of general applicability and future effect designed to implement, interpret or prescribe institutional rules, regulations or policy regarding staff or conditions of employment.
31.2 Requests for Review
Requests for review shall be in writing and shall state the specific reasons therefor. Requests shall be submitted to the chief executive officer of the institution concerned who will forward the request, with his or her comments, to the Executive Secretary of the Board. Requests for review of a final adjudicatory order must be submitted to the chief executive officer of the institution within ten days after the staff member receives notice of the order. Requests for review of a rule-making decision may be submitted at any time after all institutional remedies have been exhausted. Supporting documents may be submitted with the request. The Executive Secretary shall docket the request for consideration by the Board as soon as practicable.
The Board may, in its discretion, grant or deny the request for review; provided, however, that on appeal from an order dismissing a faculty member with tenure, or terminating during its term the appointment of a faculty member without tenure, the Board shall grant the request for review. If the Board grants the request to review the order or decision on the merits, it will then determine whether or not to hold a hearing, as hereinafter provided, and otherwise specify the procedure to be followed. If the Board denies the request, its decision is final. (The staff member may thereafter seek judicial review as permitted by law.)
The Executive Secretary shall promptly notify the staff member and the chief executive officer of the institution by letter of the Board's decision and of the time and place of any subsequent hearing, if any.
31.3 Appeals from an Adjudicatory Order
On appeal from an adjudicatory order the Board may, in its discretion, (1) review the order on the basis of the record of the proceedings before the final appeal body of the institution; (2) remand all or any part of the order to the final appeal body of the institution for further proceedings as directed by the Board; or (3) hold an evidentiary hearing of its own on all or any part of the order. The employee may request either an open or closed hearing, but the Board shall, in its discretion and as provided by law in Chapter 21.5, Iowa Code, determine whether the hearing shall be open or closed. Technical rules of evidence shall not apply at any hearing, and the Board shall, in its discretion, determine the relevancy and admissibility of all evidence. If the Board decides to review the order on the basis of the record of the proceedings before the final appeal body of the institution, the institution shall within seven days of the Board's decision provide the employee with a written copy of the record of such proceedings (which may be either a verbatim transcript or a narrative summary). The employee may dispute the accuracy of all or any part of the record and, if the matter cannot be resolved to the mutual satisfaction of the employee and the institution, the Board shall determine the procedure for settling the record.
31.4 Appeals from a Rule-Making Decision
On appeal from a rule-making decision, the Board may, in its discretion, review the decision on the basis of documents and other evidence submitted by the institution and the employee, or other interested parties, or it may hold a hearing of its own, which hearing shall be open. The Board shall, in its discretion, determine: 1) the scope of inquiry at such hearing; 2) who may testify or present other evidence; and 3) otherwise determine its procedure.
31.5 Submission of Written Briefs; Right to be Heard Orally
On appeal from either an adjudicatory order or rule-making decision, any interested party may submit a written brief, and the Board may request either the employee or the institution concerned or both to submit written briefs. The Board may, in its discretion, decide the appeal on the basis of such written briefs or it may request the parties to present oral argument. Either party may request the opportunity to present oral argument but, except as hereinafter provided, shall not have a right to be heard orally. The employee may be represented at any hearing or argument by legal counsel or other adviser. On appeal from an order dismissing a faculty member with tenure, or terminating during its term the appointment of a faculty member without tenure, the faculty member shall, on request, have a right to be heard orally.
31.6 Board Decision
Upon review on the merits, the Board may affirm, modify, remand, or reverse all or any part of the order or decision of the institution and may, based upon either the record or any evidentiary hearing, make independent findings of fact and conclusions on appeal from an adjudicatory order. The Board may, in its discretion, accompany its decision with a written opinion. The decision of the Board on the merits is final. (The employee may thereafter seek judicial review as permitted by law.)
(See also II-29 Hearing Regulations for Alleged Violations of Regents Rules; VI-2 Office of the University Ombudsperson; IAC Ch. 3, Ch. 11, and Ch. 12.)