Policies and Procedures for the Faculty Board of Review at Indiana University East must be read in conjunction with Indiana University’s Faculty Boards of Review: Minimum Standards for Uniform Hearing Procedures (ACA-17 in University Policies of Indiana University). Indiana University’s Reappointment and Non-Reappointment During Probationary Period policy (ACA-22 in University Policies of Indiana University) addresses cases involving reappointment, non-reappointment, and negative recommendations or decisions on tenure. Indiana University’s policies for Sexual Misconduct (UA-03) and Research Misconduct (ACA-30) (University Policies of Indiana University) govern policies and procedures for the Faculty Board of Review in applicable cases. Membership and eligibility rules for IU East’s Faculty Board of Review are in the Bylaws to the Indiana University East Faculty Senate Constitution.

This Indiana University East policy does not supersede Indiana University policies.

In each formal grievance case, the Board acts in an impartial way. It is not an advocate for the faculty member or librarian, nor is it an advocate for the administration. The Board is not a court of law and it makes no final decisions, nor can it override any administrative decisions. The Board shall determine:

1. whether appropriate procedures were followed;
2. whether the grievance arose from inadequate consideration of the qualifications of the faculty member or librarian;
3. whether erroneous information substantially affected the decision; and
4. whether essential fairness was accommodated throughout the decision-making process.

In those cases in which the Board of Review concludes that one or more of the items listed in 1 - 4 above implicate the rights of a faculty member or librarian to the extent that the rights of the faculty member or librarian have not been adequately protected, the Board is expected to formulate a recommendation for remediation.

B. General Provisions

1. Publicity
   1. All grievances before the Board shall be considered confidential. No member of the Board, except its chair, shall make requests for information, receive information on behalf of the Board, or make comments relating to a grievance to anyone, except other members of the Board.
   2. Decisions of the Board shall be made in executive session.
   3. The hearing may also include observers, but observers will not be permitted to attend the hearing of the Board of Review if either the Complainant or the Respondent objects.
   4. Documents related to cases before the Board shall be kept in secure storage in the Office of the Chief Academic Officer. Access to these documents shall be restricted. (See E.13. below.)
2. Time limits: A faculty member who wishes to bring a complaint before the Board shall do so with reasonable promptness.
   1. If the complaint concerns a decision or action for which written notice is given, the faculty member shall file the complaint within 60 business days* of receipt of this notice. [amended 1/24/23]
   2. If grieving against a decision or action for which no written notice is given, the faculty member shall file the complaint within 60 business days from the time the complainant becomes aware of the action or decision. Complaints submitted after 60 business days must include an explanation of the reason for the delay, and the Board may review the complaint in the interests of fairness. No complaint may be submitted more than one year after the complainant learned of the adverse administrative action. [amended 1/24/23]
   3. The Board shall render its recommendation on any case within 8 weeks from when it receives the complaint.
   4. Exceptions to the time limitations in this policy may be made by mutual consent of parties involved, or in extraordinary circumstances, by the Chair of the Board.  
       
      *Throughout the IU East Faculty Board of Review Policy and Procedures, “days” refers to business days. [amended 1/24/23]
                              

      C. Jurisdiction

The Board has the responsibility to review cases involving actions of dismissal, reappointment, tenure, and other grievances concerning the nature and conditions of work, including academic freedom, promotion, salary, reviews of faculty, sexual misconduct, and research misconduct. Complaints must be brought to the Board in writing by members of the faculty or associate faculty. The Board must first determine that a complaint concerns a matter that is properly within its jurisdiction. 

1. Complaints involving dismissal are always within the jurisdiction of the Board. Dismissal from the faculty means the involuntary termination of a tenured faculty member's appointment prior to retirement or resignation, or the termination of a non-tenured faculty member's appointment prior to the expiration of its term of appointment. When dismissal has been decided and the faculty member has been given a statement of the grounds of the decision, the Chancellor shall inform the faculty member of the opportunity for a hearing before the Board. Further information about Dismissal may be found in Indiana University’s Permanent Separations for Academic Appointees policy (ACA-52 in University Policies of Indiana University.) Dismissal shall be deemed legitimate only by reasons of:
   1. incompetence;
   2. serious personal or professional misconduct; or
   3. extraordinary financial exigencies of the University.
2. Complaints involving non-reappointment and denial of tenure or long-term contract are always within the jurisdiction of the Board for faculty who are eligible for reappointment, tenure, or long-term contract. Complainants wishing a review of a decision not to reappoint (or not to grant tenure) should consider Indiana University’s Reappointment and Non-Reappointment During Probationary Period policy (ACA-22 in University Policies of Indiana University). [amended 1/24/23] In considering a complaint involving non-reappointment, the Board reviews
   1. whether appropriate procedures were followed;
   2. whether the decision arose from inadequate consideration of the qualifications of the faculty member or librarian;
   3. whether erroneous information substantially affected the decision; and
   4. whether essential fairness was accommodated throughout the decision-making process.
   5. The Board of Review may consider the issues set forth in (a.)-(d.) above, but the Board shall not function as a substitute for the Promotion and Tenure Committee or the Lecturer Long-Term Contract Review Committee.
   6. Unsolicited or anonymous information cannot be used by the Board of Review in coming to its formal decisions.
3. The Faculty Board of Review only reviews cases involving sexual misconduct or research misconduct for faculty who are appealing for a review of the determination made in a sexual misconduct or research misconduct case. Faculty appealing for a review of a sexual or research misconduct determination must follow procedures in Indiana University’s Sexual Misconduct policy (UA-03) or the Research Misconduct policy (ACA-30) (University Policies of Indiana University). The appeals process described in ACA-17 Faculty Boards of Review Minimum Standards must also be followed (University Policies of Indiana University). [amended 1/24/23]
4. A tenured or tenure-track faculty member of a multi-campus unit shall bring his or her complaint to the Board of his or her tenure home. Other faculty members shall bring their complaints to the Boards of their home campuses. The Board shall use its regular procedures and give its recommendations to the administrative officer with supervisory responsibility for the program in which the faculty member is employed.  

D. Dissemination and Storage of Documents, and Communications

Documents and communications in Faculty Board of Review processes are confidential. Print documents and communications should be handled as described below. Non-print confidential documents and communications should be handled in compliance with current IU policies such as DM-01 Management of Institutional Data, and IT-07 Privacy of Electronic Information and Information Technology Resources; and current guidelines regulating confidential materials, for example, IU’s Critical Data Guide, and IU’s Data Sharing and Handling Tool. [added 1/24/23]

E. Format of the Complaint

A faculty member (hereinafter the complainant) who wishes to bring a formal complaint of an administrative action to the Board shall do so in writing. The complaint shall include the following: 

1. A cover memo to the Faculty Senate President, including the category (-ies) of the complaint listed in item C. above, and the identity of the party (-ies) grieved against. Alternatively, an equivalent non-print cover memo must be submitted in compliance with current IU policies and guidelines regulating dissemination of confidential materials, for example, DM-01 Management of Institutional Data, IT-07 Privacy of Electronic information and Information Technology Resources, IU’s Critical Data Guide, and IU’s Data Sharing and Handling Tool. [amended 1/24/23]
2. A detailed complaint shall be submitted in a sealed envelope and addressed to the Faculty Board of Review. Alternatively, an equivalent non-print version of the complaint must be submitted in compliance with current IU policies and guidelines regulating dissemination of confidential materials, for example, DM-01 Management of Institutional Data, IT-07 Privacy of Electronic information and Information Technology Resources, IU’s Critical Data Guide, and IU’s Data Sharing and Handling Tool. [amended 1/24/23] This complaint shall:
   1.   state the category (-ies) of complaint and explain why the complaint falls within the jurisdiction of the Board;
   2. elaborate on the nature of the grievance;
   3. explain the steps that have been taken to resolve the conflict prior to initiating the complaint;
   4. identify the party (-ies) of the university against whom the complaint is directed (hereinafter the respondent(s)); and
   5. state the redress of the complaint sought.
   6. If additional material is included, the narrative must make the significance of these materials explicit.

F. Complaint and Review Procedures  

Cases involving sexual misconduct or research misconduct must follow procedures in Indiana University’s Sexual Misconduct policy (UA-03) or Research Misconduct policy (ACA-30) (University Policies of Indiana University). The Faculty Board of Review only reviews cases involving sexual misconduct or research misconduct for faculty who are appealing for a review of the determination made in a sexual misconduct or research misconduct case. Other cases follow the procedures listed below. [amended 1/24/23]

1. To initiate the formal review process, the complainant shall submit the complaint and cover memo to the Faculty Senate President. The Senate President shall note the date the complaint was received, and shall notify the respondent that a complaint has been received. This notification shall include the name of the complainant and the nature of the complaint. The complaint shall be considered filed in a timely manner if receipt, within the time frames listed in B.2. above, is acknowledged by the Faculty Senate President (or, in his/her absence, the appropriate alternate officer of the Faculty Senate, as noted in Article 3.1 of the Constitution).
2. The Faculty Senate President reviews the cover memo and reviews the current composition of the Board. The Faculty Senate President:
   1. may recommend a senior member of the faculty as advocate for the complainant to assist in preparing for proceedings before the Board;
   2. consults Faculty Senate Bylaws (Section 5. A. 1.) to determine eligibility of Board members to serve in a case involving a particular faculty member;
   3. consults with the Nominating Committee to hold elections of alternates if needed;
   4. convenes the Board (with alternates having replaced permanent members, as needed);
   5. if the Board has no Chair at this time, the Faculty Senate President will preside while the members of the Board elect a Chair. The Faculty Senate President will submit the complaint to the Chair of the Board.
3. After receiving the complaint, the Board must first determine whether the case falls properly within its jurisdiction (See item C. above). This determination shall be made with reasonable promptness, usually within 5 business days after the Board receives the complaint. If the complaint does not fall within the jurisdiction, the Board shall reject the complaint and shall, with reasonable promptness, usually within 10 [business] days after receiving the complaint, notify the complainant and the respondent and the Faculty Senate President of the reasons for the rejection. If the complaint does fall within the jurisdiction, the complaint becomes a Case Before the Board (Case).
4. The Board may attempt to negotiate a resolution satisfactory to the complainant and respondent(s). The attempt to negotiate requires the consent of the complainant and respondent(s). All parties must also consent to the negotiator. If the negotiator is the Board chair, the Board chair may only disclose the outcome of the negotiation to the Board: whether the negotiation resulted in a resolution to which all parties agreed; or whether the negotiation did not result in a resolution to which all parties agreed. The Board chair may not disclose other information about the negotiation to the Board. If the negotiator is a senior faculty member from outside the Board, for example an appointed faculty ombudsperson, that individual must not disclose information about the negotiation to members of the Board except for the outcome: whether the negotiation resulted in a resolution to which all parties agreed; or whether the negotiation did not result in a resolution to which all parties agreed. The negotiation process should not exceed 10 business days. Ordinarily, the attempt to negotiate takes place before the Board reviews the case. However, the attempt to negotiate may take place at a later time with consent of all parties. [amended 1/24/23]    
5. The Board may, at any time, summarily dismiss a Case if the complaint is clearly frivolous, the desired remedy is impossible to achieve, the subject of the complaint becomes moot, or the same Case from the same complainant has been previously decided, and there is no legitimate reason for reconsideration. The Board will then notify the complainant, the respondent, and the Faculty Senate President of the reasons for the dismissal. Notification shall be made within 10 days of the decision to dismiss. If the complainant voluntarily leaves the University (not because of dismissal or non-reappointment) during the period of time in which the Board is considering the Case, the Board may choose to continue its work when doing so appears to be in the best interest of the University.
6. Initial Review of the Case -- If the Board determines that a Case falls within its jurisdiction, it shall, within 10 business days after receiving the complaint, submit a copy of the complaint to the respondents and request a written statement of the reasons that led to the aggrieved action. The respondents shall reply to this request within a deadline set by the Board. Depending on the nature of the Case, this deadline should be between 5 and 20 business days. This response should be a concise narrative that provides pertinent background information and should address all the points made in the written complaint. The Board will also submit a copy of this response to the complainant, who may provide a written rejoinder. If the Board deems it necessary, it may request additional documentation, or may expand the list of respondents. The Board will make all documents gathered available to the complainant and to all respondents. It shall allow 5-15 business days for review of the material before scheduling a formal hearing. According to Indiana University’s Faculty Boards of Review: Minimum Standards for Uniform Hearing Procedures (ACA-17) and IU East’s Policies and Procedures for the Faculty Board of Review, if the Case has not been resolved through negotiation as described in E.4 above, or dismissed as described in E.5 above, then the Case shall proceed to a formal hearing. A formal hearing may be waived as described in 7.b below.
7. Formal Hearing
   1. Formal Hearings before the Board provide complainants and respondents with an opportunity to make their case heard. It is the responsibility of the complainant to state the grounds of the complaint, and it is the responsibility of the respondent(s) to support the aggrieved decision.
   2. The request for a formal hearing may be waived upon the Board's suggestion and mutual consent of the respondent and the complainant.
   3. The Board may set procedural rules for the hearings, provided that it allows all involved parties to speak, present evidence, and to call and question witnesses.
   4. Formal hearings shall be conducted before the full membership of the Board. Provisions for electing alternate members when necessary are in the IU East Bylaws, Section V.A.1.
   5. Complainant and/or respondents have the right to counsel or other advisor of their choice, but their role is limited to providing private advice to their clients.
   6. A recording of the proceedings shall be made; it will be made available for private in-person review by the Board or parties involved in the case. Minutes or recordings of meetings will be retained as described in (E.13.) below.
8. The Board will make a recommendation with reasonable promptness, usually within 10 business days of a formal hearing or acceptance of a suggestion to waive a formal hearing. The Board will consider
   1. whether a reasonable case has been made by the respondents to support the decision against the complainant;
   2. whether essential fairness was accommodated in observing the formalities and in following the procedures; and
   3. whether the actions that prompted the grievance are inconsistent with the policies of Indiana University or the policies of the school or other unit involved.
   4. Unsolicited or anonymous information cannot be used by the Board of Review in coming to its formal decisions. 
9. Final Report - Within 15 business days after conclusion of a Formal Hearing, or agreement to waive a Formal Hearing, the Board must make a Final Report that includes:
   1. the nature of the complaint and redress sought;
   2. a summary of the findings of the Board;
   3. conclusions of the Board based upon the findings;
   4. recommendations of the Board based upon the conclusions; and
   5. signatures of the Board members.
10. Distribution of the Final Report (See Section D regarding confidential document storage, and communications.) [amended 1/24/23]. Copies of the Final report will be provided to
    1. the Chancellor;
    2. the complainant;
    3. the respondent;
    4. the immediate supervisor of the respondent;
    5. the respondent’s Board of Review file as described in E.13.; and
    6. each member of the Faculty Board of Review.
    7. This step concludes the final proceedings of the Board.
11. Administrative response (See Section D regarding confidential document storage, and communications.) [amended 1/24/23] The Chancellor of Indiana University East shall report the Administration's final decision within 20 business days after receiving the report of the Board of Review. If the recommendation of the Board of Review is not followed by the University Administration, the report shall state in detail the reason(s) that the University Administration disagrees with the Board of Review's recommendations. Copies of this report shall be sent to the same recipients as listed in (E-10.) above. If the report from the Chancellor is not received within 20 business days, the Chair of the Faculty Board of Review shall send a notice to the Chancellor stating that the deadline has passed, and requesting that the Chancellor’s report be received within 10 business days following the Chancellor’s receipt of the notice. If no report is received within the 10 business days, it will be understood that the Chancellor has accepted the recommendations of the Faculty Board of Review.  This shall conclude the internal review process.
12. Further appeal by the Complainant may be made to the President of the University.  [amended 1/24/23]
13. Record keeping (See Section D regarding confidential document storage, and communications.) [amended 1/24/23]
    1. At the conclusion of the internal review process, the Board shall assemble a file containing:
       1. The complaint;
       2. administrative responses;
       3. additional documents considered or received by the Board;
       4. recordings of hearings;
       5. minutes of meetings; and
       6. the Board’s Final Report and administrative response(s);
       7. The file shall not include other items, e.g., a Board member’s notes from a hearing, records of informal conversations, and email messages.  
    2. These documents shall be placed in a separate, confidential Board of Review file in the Office of the Chief Academic Officer. The file will be kept for 7 years. At the end of 7 years, the file will be destroyed, unless otherwise directed by University Counsel. Access to the documents shall be restricted to:
       1. The Complainant;           
       2. Administrators who later review this case as part of an appeal.
    3. At the conclusion of the internal review process, all Board members shall destroy any items pertaining to the case in their possession, including the final report.

G. Additional Notes

1. Reporting -- The Board shall report to the Faculty Senate in its annual report for the calendar year the number of complaints received, and the number of Cases brought before the Board, in each of the following categories: dismissal, non-reappointment, tenure, academic freedom, promotion, salary adjustment, and other grievances concerning the nature or conditions of work. The annual report for the completed calendar year should be presented at the first Faculty Senate meeting of the new calendar year.  [Amended: 4/7/15]
2. The activities of the Boards shall be carried out confidentially.
3. The language in this policy is generic, and applies to faculty, librarians, instructors, or other academic personnel, regardless of rank.  
4. “Tenure-track” refers to tenure-track and tenured faculty. [amended 1/24/23]
5. “Day” in this policy refers to a business day. A business day is considered any working day, except official university holidays.  [amended 1/24/23]
6. Severability: If a provision of this policy is held in violation of state or federal laws and regulations, or contrary to Indiana University policy, or otherwise invalid, only the affected part shall be void. This invalidity shall not affect other provisions of this policy which can be given effect without the invalid provisions. To this end, the provisions of this policy are severable.