CHAPTER THREE: 3970
EMPLOYMENT INFORMATION CONCERNING FACULTY AND STAFF
POLICY AND STAFF-REDUCTION PROCEDURES
PREAMBLE: An earlier
avatar of this section appeared in the 1979
Handbook; it was
substantially revised in July of 1987 to reflect changes in regents’ policy.
Unless otherwise noted, the text is as of July 1996. Further information may be
obtained from the Provost’s Office (208-885-6448), the Faculty Secretary’s
Office (208-885-6151), or Human Resources (208-885-3609). [ed. 7-97,
NOTE 1: This
section comprises (a) statements of general policy and procedures contained in
part III of chapter B of the Rule Manual of the State Board of Education and
UI Board of Regents, IDAPA08.00.B.20-37 (these have been edited slightly,
primarily to make them refer specifically to UI, rather than to all entities
under the board’s governance), and (b) statements of UI procedures that
supplement the general policy [see also
3950]. [ed. 7-97, 7-00]
References to "faculty" and "nonfaculty" in this section
are governed by the definition of "faculty member" in
3520 C-3. [ed.
NOTE 3: In case
of inconsistency between any element herein and a corresponding element of the
board’s rule cited in note 1, the latter takes precedence.
A. Financial Exigency
C. Role of UI Faculty
and Staff in the Declaration of a State of Financial Exigency
F. Form of Notice
G. Time of Notice
H. Appeal Rights of
I. Appeal Rights of
J. Appeal Rights of
Non-Tenured Faculty Members [rev. 12-06]
K. Appeal Rights of
Tenured Faculty Members
L. Appeal Procedure
for Faculty Members
M. Standard of Review
Employees’ Layoff Roster
Rights of Tenured Faculty Members
Rights of Other Exempt Employees
Q. Formation and
Composition of Hearing Bodies
R. Board Review
A. FINANCIAL EXIGENCY
A-1. The Board
of Regents recognizes that, in order to discharge its responsibilities for UI,
it may become necessary, due to unfavorable economic conditions, to curtail,
modify, or eliminate some of the university’s programs. The board also
recognizes that it must dedicate its resources to the achievement of the
purposes and goals of the university.
A-2. As used
here, "financial exigency" [pronounced with stress on first
syllable, EX’igency, as in EX’it] means a demonstrably bona fide
financial crisis that adversely affects the institution as a whole, or one or
more of its programs or other distinct units.
procedures described in this section are put into effect only on the board’s
declaration that a state of financial exigency exists.
B-1. The Board
of Regents declares the existence of a state of financial exigency by written
resolution setting forth the basis for its decision to implement a staff
reduction after notice and hearing at a regular or special meeting of the
employee may be laid off as a result of financial exigency.
reduction in force must be done equitably, in good faith, and in a systematic
manner directly related to the financial exigency.
active consultation with the employees, including members of the faculty and
professional staff and classified personnel, the president prepares and
recommends to the board a program consisting of various alternatives to
implement staff-reduction procedures. When developing this program,
consideration must be given to the necessity and manner of reducing the
employment force, the appropriate units or subunits to be reduced in force,
and the criteria [see D] for identifying the employees who are to be laid off.
reduction in force may occur (a) across the entire university, (b) by unit
within UI, such as a college, school, academic department, administrative
department, division, office, bureau, discipline, or specialty within a
discipline, or (c) by any combination of (a) and (b). The program for
reduction in force at UI may or may not be the same as at any other
institution or agency governed by the board. Moreover, it may differ from one
program or unit of UI to another.
B-6. The board
must consider the president’s recommendation and approve a program to
implement its decision before the effective date of any layoffs.
C. ROLE OF UI FACULTY
AND STAFF IN THE DECLARATION OF A STATE OF FINANCIAL EXIGENCY AND PLANNING FOR
STAFF REDUCTION. These procedures are intended to ensure that
representatives of the faculty, staff, and administration work collaboratively
throughout a financial crisis to develop a mutually acceptable plan of action
and that members of the faculty and staff who would be affected by a proposed
plan have an opportunity to comment on it before it is forwarded to the
a. The Fiscal
Emergency Committee, whose members are drawn from the administration,
faculty, staff, and students [see
1640.47], is primarily responsible for
developing the institutional response to and recommendations necessary to
cope with fiscal emergencies. The committee has primary responsibility for:
(1) studying the university-wide fiscal problem and making a recommendation
to the president as to whether an official declaration of financial exigency
at UI is warranted and (2) developing the timetable, the criteria, and
implementation recommendations in the event that a reduction in force
becomes necessary under a state of financial exigency declared by the board.
b. In all
arenas of responsibility, the committee forwards its preliminary
recommendations to the Faculty Senate and the Staff Affairs Committee for
review so that suggestions and alternatives can be considered before
forwarding the final recommendations to the president. [ed. 7-09]
c. In years
in which no apparent or real financial emergency exists, the committee does
not function except that it is convened for the purpose of briefing its
members on board rules covering financial exigency and on UI budget and
budget-development procedures. These activities serve to prepare the
committee to deal with any fiscal emergencies that may arise.
C-2. Establishment. The committee is appointed and takes office shortly after the beginning of
each academic year. Its structure is described in
C-3. Activation. Should
evidence exist that a fiscal emergency at UI is probable or imminent, or
should actions of the board, legislature, or governor force UI into a fiscal
emergency, the president, on his or her own initiative and in consultation
with the Faculty Senate leadership, or in response to a two-thirds vote of
Faculty Senate, activates the committee. [ed. 7-09]
a. Declaration of
Financial Exigency. When a fiscal emergency at UI exists or is imminent,
the committee studies the financial state of the institution to determine
whether a declaration of financial exigency is warranted. In reaching its
decision, the committee proceeds as follows:
(1) The magnitude
of the fiscal problem is displayed to the university community, and the
timetable to be followed is also established and displayed.
(2) In accordance
with the timetable, academic and administrative units of the institution
convene their faculties and staffs and prepare budget-reduction impact
reports that address the need for a declaration of financial exigency. Each
impact report is forwarded to the committee for consideration via the dean
of the college or equivalent administrator.
receiving the impact reports, the committee drafts preliminary
recommendations as to whether a declaration of financial exigency is
preliminary recommendations are presented to the Faculty Senate and the
Staff Affairs Committee for additional faculty and staff views and
suggestions. [ed. 7-09]
(5) The committee
then drafts its recommendation and forwards it to the president.
Recommendations for Implementation of Staff Reduction.
After the board
has declared that a state of financial exigency exists at UI, the Fiscal
Emergency Committee develops staff-reduction recommendations to be
considered by the president. In developing the recommendations, the
committee proceeds as follows:
(1) The magnitude
of the financial exigency is displayed to the university community and the
timetable for developing the recommendations to the president is also
established and displayed.
(2) The criteria
to be used in identifying programs for reduction or elimination under the
financial exigency are presented to the Faculty Senate and the Staff
Affairs Committee for review and to provide an opportunity for the faculty
and staff to suggest modifications. [ed. 7-09]
receiving views and suggestions from the faculty and staff, the committee
establishes the final criteria to be employed in staff reductions, and these
are circulated to the faculty and staff.
(4) In accordance
with the implementation timetable, academic and administrative units convene
their faculties and staffs to prepare reduction-in-force impact reports for
consideration by the committee. These reports are collated and summarized at
the college or equivalent administrative level and forwarded to the
receiving (by the date specified in the timetable) and considering the
staff-reduction impact reports, the committee drafts preliminary
recommendations for implementation.
preliminary recommendations are presented to the Faculty Senate and the
Staff Affairs Committee to provide opportunity for consideration of
alternatives. The leaders of the Faculty Senate and the Staff Affairs
Committee arrange to have the committee present the recommendations to the
faculty and staff at a general meeting or meetings. [ed. 7-09]
(7) After the
presentations, the Faculty Senate and the Staff Affairs Committee may draft
alternative recommendations and forward them to the committee for
consideration. [ed. 7-09]
considering the suggested alternatives submitted by the faculty and staff,
the committee drafts its recommendations and forwards them to the president
and to the affected units.
faculty members who are identified for termination as a result of the
committee’s recommendations may present additional information to the
considering any further information, the committee forwards its final
recommendations to the president.
CRITERIA. In making any staff-reduction recommendation to the board, the
president’s first criterion must be the preservation of the quality and
effectiveness of UI’s programs. Consequently, those employees who are deemed
to be of key importance to the specific program will be retained in preference
to other employees, whatever their status. "Programs," for the
purposes of this paragraph, include, but are not limited to, academic areas and
noninstructional, administrative, maintenance, and other support areas.
Employees. The procedure described in
3930 B-1 is used to differentiate
among classified employees within the unit or other entity being reduced in
Employees. Criteria that the president must use to differentiate among
exempt employees within the unit or other entity being reduced in force
include, but are not limited to, tenure, rank, time in rank, length of
service, field of specialization, maintenance of necessary programs or
services, including affirmative-action programs, and quality of service and
E. RELOCATION. At
the time it is preparing and implementing a program for reduction in force, UI
must, to the extent practicable, make a good-faith effort to relocate any
employee to be laid off in a suitable vacant position for which that employee is
fully qualified. (A UI employee to be laid off does not have a right to
"bump" another employee from a position to maintain employment.) This
good-faith effort to relocate an employee need not extend beyond the effective
date of the layoff, but the employee does enjoy the layoff-roster rights
provided in N, O, or P.
F. FORM OF NOTICE. The
board recognizes that any layoff may be a severe economic and personal loss to
an employee. Therefore, and within the time specified in G, the president must
give notice in writing to employees who are affected by a reduction in force,
which notice must include the following: (1) the effective date of the layoff,
(2) a statement of the reasons for the board’s action to declare a financial
exigency, (3) the basis, the procedures, and the criteria used to lay off an
employee, (4) information about the employee’s opportunity for reconsideration
or appeal, including access to appropriate documentation, and the issues that
may and may not be considered on appeal, and (5) information on the employee’s
G. TIME OF
must make every effort to give as much notice as is practical in light of the
financial exigency to each employee in advance of the effective date of the
layoff. Yet, the legislative appropriation process and the subsequent analysis
needed before the board declares a condition of financial exigency and receives,
considers, and approves implementing programs may allow little time for formal
notice to the employees who are to be laid off. The active consultation with its
employees that the board requires of UI [see B-4] should give to each employee
as much actual, informal notice of the impending action as is humanly possible
under the circumstances. However, the board requires that UI provide the
following minimum written notice:
G-1. Of the
President’s Recommendation of Layoff. To affected employees except
classified employees--at least 30 days before the recommendation is considered
by the board.
G-2. Of the Board’s
Approval of Layoff. To affected employees according to their employment
categories, as follows:
employees and exempt employees serving under fixed-term appointments,
including nontenured faculty members occupying permanent faculty
positions--at least 60 days before the effective date of layoff.
serving at the pleasure of the board--at least 30 days before the effective
date of layoff.
faculty members occupying permanent faculty positions--at least one full
semester before the effective date of layoff, except that UI, at its option,
may provide these faculty members up to a full year’s notice.
H. APPEAL RIGHTS OF
CLASSIFIED EMPLOYEES. The layoff of a classified employee is a grievable
matter, but, unless otherwise required by law or regulation, the grievance
procedure does not delay the effective date of the layoff. The decision of the
president is final and not appealable to the board. The grievance procedure is
described in Q.
I. APPEAL RIGHTS OF
EXEMPT EMPLOYEES. [rev. 12-06]
I-1. In most
instances, a reduction in force of employees serving under fixed-term
3080 D] will be accomplished by nonreappointment rather than
by layoff during the term of employment. Nonrenewal under these circumstances
is not appealable within UI, nor is it appealable to the board. In the event
an employee serving under a fixed-term appointment is laid off during the term
of employment because of a reduction in force under financial exigency, that
employee is entitled to use the appeal procedure described in Q. The decision
of the president following the appeal procedure is final and not appealable to
the board. Use of the appeal procedure does not delay the effective date of
the provisions of I-1, termination of employees serving at the pleasure of the
3080 D-2-b] in furtherance of a reduction in force is not
J. APPEAL RIGHTS OF
NONTENURED FACULTY MEMBERS. A nontenured faculty member who occupies a
permanent faculty position and is laid off is entitled to use the appeals
procedure described in Q. The decision of the president, after reviewing the
final written recommendation of the hearing body, is final and not appealable to
the board. If a nontenured faculty member is given notice of nonreappointment,
as provided in
3900, in furtherance of a reduction in force, that action is not
appealable except as provided in
3900 E and F. [ed. 7-01]
K. APPEAL RIGHTS OF
TENURED FACULTY MEMBERS. A tenured faculty member is entitled to use one or
the other of the following appeal procedures, but not both [see Q-2-b for time
K-1. Within 15
calendar days following certified receipt of notice that the president intends
to recommend layoff to the board, the tenured faculty member may submit to the
president a written request appealing that recommendation. In the written
request, the faculty member must set forth the grounds on which the layoff is
alleged to be improper and ask for an informal resolution of the issue in
advance of final action by the board. If an informal resolution is not
reached, the faculty member may appear before the board before its final
action on the president’s recommendation of layoff. The faculty member’s
appearance before the board will be informal and will not be treated as a
contested case. The decision of the board is final.
final action by the board, the tenured faculty member is entitled to use the
appeals procedure described in Q. The decision of the president, after
reviewing the written recommendation of the hearing body, is final and not appealable to the board. In the event the president determines that the
original recommendation was made in error, a corrective recommendation must be
submitted to the board.
L. APPEAL PROCEDURE
FOR FACULTY MEMBERS. A faculty member, other than a part-time or temporary
faculty member, who is recommended for layoff is entitled to a prompt hearing
under the procedure described in Q. Use of the hearing procedure does not delay
the effective date of the layoff.
hearing body must evaluate whether the established and approved procedures
were followed and appropriate criteria applied in arriving at the decision to
lay off the faculty member.
hearing body will not review the board’s decision or the funding
distribution among and within the institutions.
M. STANDARD OF
REVIEW. The sole basis on which a layoff of classified employees may be
contested is that of compliance with the provisions of
B-1, with this
section, and with the program for reduction in force approved by the board. The
sole basis on which a layoff of exempt employees may be contested is that of
compliance with this section and with the program for reduction in force
approved by the board. The board’s declaration of financial exigency is
judgmental or discretionary and is not subject to contest by any employee in any
grievance or appeal procedure.
EMPLOYEES’ LAYOFF ROSTER. In the event of a layoff of classified
employees, UI maintains a layoff roster as provided in
N-1. If an
offer of reinstatement is not accepted, the employee’s name may be deleted
from the layoff roster and, if so deleted, the board has no further obligation
to the employee.
employee who is laid off may continue to contribute toward and receive the
benefits of any UI insurance program if the laws, rules, regulations,
policies, and procedures governing the administration of such insurance
program so permit.
employee who has been laid off and who accepts reemployment in any state
agency must be credited with any sick leave he or she had accrued as of the
date of layoff and with any annual leave he or she had accrued as of the date
of the layoff and for which payment has not been made.
RIGHTS OF TENURED FACULTY MEMBERS. In case of layoff of a tenured faculty
member occupying a permanent faculty position, the position concerned may not be
filled by replacement within a period of three years from the effective date of
the layoff unless the faculty member has been offered a return to employment in
that position and has not accepted the offer within 30 calendar days after the
offer is extended.
provisions of N-1 (with "reinstatement list" substituted for
"layoff roster") and N-2 apply also to tenured faculty members.
O-2. A tenured
faculty member who has been laid off and who accepts reemployment at UI will
resume tenure and the rank held at the time of layoff, be paid a salary
commensurate with the rank and length of previous service, be credited with
any sick leave accrued as of the date of layoff, and be credited with any
annual leave accrued as of the date of layoff for which payment has not been
RIGHTS OF OTHER EXEMPT EMPLOYEES. In case of layoff of a nontenured faculty
member occupying a permanent faculty position or of an exempt employee
occupying a permanent position, the position concerned may not be filled by
replacement within a period of one year from the effective date of the layoff
unless the employee has been offered a return to employment in that position and
has not accepted the offer within 30 calendar days after the offer is extended.
provisions of N-1 (with "reinstatement list" substituted for
"layoff roster") and N-2 apply also to these employees.
provisions of O-2, except for reference to tenure, apply also to nontenured
faculty members; and, except for reference to tenure and rank, they apply also
to exempt employees. [rev. 12-06]
Q. APPEALS PROCESS.
process applies only to employees under notice that they are to be laid off
because of a declared financial exigency.
Q-1. Formation and
Composition of Hearing Bodies. On the board’s declaration of a state of
financial exigency, the president initiates the following process for
establishing hearing bodies.
hearing bodies are formed, one for each of the following groups:
employees, exempt employees, faculty members, and off-campus
faculty members. Each hearing body consists of nine persons, chosen as
described below, from which five are chosen to hear each appeal. [rev.
(1) The hearing
body for classified employees is selected as follows: (a) three classified
employees designated by the Staff Affairs Committee, (b) three classified
employees designated by the president, and (c) three classified employees
elected by the first six chosen.
(2) The hearing
body for exempt employees is selected as follows: (a) three
exempt employees designated by the Staff Affairs Committee, (b)
three exempt employees designated by the president, and (c) three
exempt employees elected by the first six chosen. [rev. 12-06]
(3) The hearing
body for faculty members is selected as follows: (a) three faculty members,
at least two of whom are tenured, designated by the Faculty Affairs
Committee, (b) three faculty members, at least two of whom are tenured,
designated by the president, and (c) three faculty members, at least two of
whom are tenured, elected by the first six chosen.
(4) The hearing
body for off-campus employees with faculty status is selected as follows:
(a) three off-campus employees with faculty status designated by the Faculty
Affairs Committee, (b) three faculty members designated by the president,
and (c) three faculty members elected by the first six chosen.
b. Limitations. No
person who has received notice of layoff as a result of financial exigency,
has received notice of termination or nonrenewal for any other reason, or
has any appeal or lawsuit pending against UI may be chosen to serve on a
hearing body. Nor may any person who has participated in any decision to lay
off any particular employee for reasons of financial exigency be chosen.
c. Standards for
Electing Additional Members. The six members designated by constituent
groups and the president for each hearing body must endeavor to ensure that
the three additional persons elected have some experience or special
expertise with administrative hearings and are otherwise not likely to be
advocates for either side.
d. Conflict of
Interest. Any member of a hearing body who has any special relationship
to any particular appellant or to the administration, which might reasonably
be said to raise a claim of conflict of interest, must report the facts to
the parties, and the parties may use that information in exercising
e. Selecting the
Panel for Each Hearing. As soon as practicable after the hearing process
is invoked, the provost calls a meeting with the appellant to select a
hearing panel. From the hearing body appropriate to the appellant, the
provost and the appellant may each peremptorily strike two persons. These
challenges are exercised alternately, beginning with the provost. The five
persons remaining constitute the panel for that appeal and are promptly
notified of that fact.
Officers. As soon as possible after it is selected, each five-member
hearing panel selects one of its number to serve as its presiding officer.
Q-2. Procedures for
Initiating an Appeal.
employee who wishes to appeal a decision for termination due to financial
exigency may do so by submitting a written request for a formal hearing.
(These procedures are not available to a tenured faculty member who has used
the appeal procedure described in K-1.) The request must be made within 15
calendar days after he or she receives written notice of the decision for
termination. In the request the appellant must state clearly the grounds on
which the appeal is based.
b. A request
for a hearing is addressed to the president. The president or the president’s
designee furnishes the appellant a written statement of the reasons for the
administrative decision. Copies of the appellant’s request and the
administration’s response are transmitted to the hearing panel.
c. If the
president takes action that results in the appellant’s satisfaction, the
appeal need not be brought to the hearing panel.
selection of the hearing panel, the hearing body (see Q-1-a) is provided an
orientation to board and UI policies regarding financial exigency, the
circumstances leading up to the declaration of financial exigency, and the
procedures followed in planning for staff reduction. Appellants may be
present at the orientation.
specific hearing panel is selected in accordance with the procedures
described in Q-1-e.
hearing panel convenes as soon as possible, and in any case within 14
calendar days, after the written request is received by the president.
hearing process is not a judicial proceeding. The procedural requirements of
formal adjudication are not mandatory; nonetheless, the minimum standards of
procedure outlined below must be observed.
(1) The appellant
and the hearing panel agree on the conduct of the hearing and specify a
format (i.e., the steps to be followed in presentation of information); for
(a) A statement
of the appellant’s grounds for appeal and supporting documentation.
(b) A statement
of the university’s case for the decision to terminate the appellant.
arguments in behalf of the appellant.
arguments in behalf of the university.
(2) The hearing
must focus on the issues contained in the filed written appeal.
(3) Copies of
written documents specified in Q-2-b are made available to all parties.
(4) The hearing
panel and the appellant must be afforded access to appropriate documentation
that was used in reaching a layoff decision.
recordings must be made of each hearing session and, on written request and
payment of the cost of duplication, the appellant may obtain duplicate
(6) Summary notes
of the hearing must be kept by the presiding officer.
(7) The written
appeal and subsequent information presented by the appellant must be made a
part of the summary notes.
(8) The appellant
must be afforded the opportunity to appear before the hearing panel and
discuss the issues contained in the written appeal.
(9) The appellant
may have an adviser of his or her choice who may discuss before the hearing
panel the issues contained in the written appeal filed by the appellant.
may be asked to appear before the hearing panel by the appellant, the
administration, or by the presiding officer and asked to give testimony that
is material and directly relevant to the layoff decision. Those asked to
appear have the responsibility to respond as though summoned by the
president. Each party may request the presiding officer to ask specific
questions of an adverse witness, and the presiding officer must comply if
the questions posed appear to be probative, relevant, and fair. Direct
questions by a party to an adverse witness are allowed only if they are
asked without undue antagonism and are truly questions and not argument.
(11) Members of
the hearing panel may directly question any witnesses or participating
parties for the purpose of seeking additional information or for clarifying
concluding the hearings, the hearing panel conducts its deliberations and
submits its written findings to the president and the appellant within 10
calendar days. The findings must include a summary statement of the
substantive evidence considered, the panel’s recommendations, and its
rationale for these recommendations.
president’s action on the panel’s recommendations is final and not appealable to the board. In the event the president determines that his or
her decision was made in error, a corrective recommendation must be made to
R. BOARD REVIEW. Notwithstanding
the appeal provisions of H, I, J, K, L, and Q, an employee may elect to petition
the board to review UI’s final action. Any written petition for review must be
filed at the Office of the State Board of Education within 15 calendar days
after the employee receives notice of final action under the appeal procedure.
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 review petition has been filed does not stay
the effectiveness of the final action, nor does the grant of a petition for
review, unless specifically provided by the board. Board review is not a matter
of right. An employee need not petition for board review in order to exhaust
administrative remedies for the purposes of judicial review.
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