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July 17, 1997

MEMO TO:   Deans, Directors and Department Heads
FROM:   Paul S. Sypherd, Sr. Vice President for Academic Affairs and Provost
RE:   Appeals of P&T Decisions, Access to Files, Confidentiality

It is University policy that faculty members who have received adverse rulings during the promotion and tenure and continuing status process may have access to their files. The protocol for such review is attached to this memo. The Provost's Office begins redaction of the faculty member's file for the appeal process when notice of the appeal is received from the President's Office, and the appellant requests access to his/her file. Although every attempt is made to protect confidentiality of outside reviewers and students, protection of the confidentiality of committee members and other participants within the institution is limited, since the candidate may already know who the members of the committees are, and, obviously, the administrators who have made decisions in the case. When an appeal is litigated, any materials in the file are "discoverable," and thus subject to scrutiny. In this case, confidentiality is further limited. This office has established the following protocol to be used for appeals of tenure, continuing status and/or promotion decisions:
  • When a faculty member files an appeal with the President's Office, a written notice of the appeal will be sent to the Provost's Office.
  • The Provost's Office will immediately issue written notice of the appeal to the dean and department head of the unit where the faculty member resides
This notice will alert administration that an appeal is underway, which may, in turn affect conversation with the faculty member and budget decisions for the coming year, pending the outcome of the appeal.
In view of the present legal climate, faculty who serve on faculty status committees should be aware of qualifying factors which modify confidentiality. Since a candidate may scrutinize materials in his/her file as part of the appeal process, care should be taken that any written comments that will be a part of the file are as objective and factual as possible.

PSS/jz

Promotion and Tenure | Continuing Status and Promotion
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