Lodging an appeal - when, with who, and how

Suppose you want to apply for a grant from NWO: what must you do, who decides if your proposal shall be awarded funding, when do you find out if you are one of the lucky ones and what can you do if you disagree with the decision? Each year, NWO receives about 4000 funding proposals of which about 20 to 25 percent are awarded.

NWO assess thousands of funding proposals each year and wants to do this as well as possible. In other words: objectively, comprehensibly, clearly and justly. Therefore NWO has laid down its approach in open procedures, which are in the public domain and that are known at the start of a funding round.

Various parties are involved in a funding proposal such as the applicant, referees, evaluation committee, secretary, divisional board and sometimes the Governing Board. Even though NWO staff meticulously supervise the entire evaluation process, shortcomings may nevertheless occur.

If an applicant believes that he or she has been disadvantaged then he or she can submit a letter of appeal or objection. This possibility can bring to light situations in which the rules have not been followed properly or have been incorrectly applied. Both the applicant and NWO can benefit from such information.

Who can you approach?

An applicant who does not agree with a funding decision can lodge an objection with NWO´s Governing Board within six weeks of the decision being published. NWO has set up an independent advisory committee for this purpose, the Appeals and Objections Committee. The letter is passed onto the Legal Affairs Department of NWO which has a supporting role and acts as secretary. The complainant shall receive a receipt of confirmation within one week.

What can you lodge an appeal against?

A funding proposal passes through different phases before the researcher hears whether or not his/her proposal shall be funded (see the previous parts). Something can go wrong in each phase. There might have been just one referee's report, perhaps the applicant was not invited for a planned interview or the committee deviated from the referee's assessment without providing reasons for this, et cetera. A letter of appeal or objection can only be submitted once the entire procedure has been completed and the funding decision has been made. The applicant must provide reasons for the objection. The Legal Affairs Department tests the admissibility of the letter of appeal or objection. If the letter has been submitted too late or if no grounds are given then the letter is declared 'inadmissible'.

Who assesses the appeal or objection?

NWO has appointed an independent committee for the assessment, the Appeals and Objections Committee. This consists of ten members and two chairs who are not attached to NWO and who attend several meetings per year on a rotating basis. The committee members are professors from different disciplines who have been appointed by the Governing Board for a period of three years. The hearing is held by a delegation of the committee: two members and a chair with a knowledge of administrative law, often a lawyer. The committee advises NWO's Governing Board about the decision regarding the letter of appeal or objection.

How does the committee prepare?

If a letter of appeal or objection is admissible then it is dealt with by the committee and a hearing takes place. To help the members prepare, the secretariat of the committee puts together a file containing all of the documents related to the case. The administrative body that took the decision is asked to submit a written defence. This is usually done by the NWO member of staff who supervised the funding round concerned. No later than one week before the sitting, the members of the committee and the complainant receive the file which contains: the funding proposal, the referee's reports, the correspondence that took place, the applicant's rebuttal, the report/recommendation of the evaluation committee, the letter of appeal or objection and the response from the Divisional or Governing Board.

What happens during a hearing?

During the hearing the complainant can elaborate on his or her objection and the NWO employee who has supervised the funding round may respond. The committee may then pose questions. The meeting lasts for about half an hour. After the hearing the committee deliberates in a closed meeting as to whether the objection should be declared grounded or not and what the consequences of this should be for the decision contested. This reasoned recommendation is sent in writing to the Governing Board. A written report of the hearing is also made and this is approved by the committee.

What happens after that?

The committee's recommendation together with a report of the hearing are sent to the Governing Board which then takes a decision within six weeks. The complainant also receives these documents, together with the decision. The Governing Board can deviate from the committee's recommendation, but rarely does so. The Governing Board can declare the objection or appeal grounded or ungrounded. If it is grounded then a reconsideration is usually needed and the Governing Board can refer the case back to the division concerned, with the request to repeat the procedure or parts thereof. That does not always result in a different outcome. The complainant can also appeal to a court after which the appeal is considered by the Council of State. In 2008, 30 objections or appeals were lodged with NWO. This from a total of more than 4000 applications, 1300 of which were awarded. Five of the objections were found to be grounded. Each year one or two objectors are still awarded a grant.