9.3 Procedures for Pursuing a Graduate College Grievance

A. Informal Resolution 

A graduate student wishing to initiate the Graduate College grievance process must start with an Intake Dean. The student will meet with an Intake Dean who will review the matter and materials and attempt to assist the student in resolving the issue at the informal level through discussion or mediation. This process must be initiated within sixty business days of the decision or behavior resulting in the grievance. The Intake Dean may attempt to mediate a resolution for matters that do not meet the deadline, but such matters will not be submitted for a formal review under 9.3.C Formal Review of Unresolved Grievances.

B. Administrative Action

Written grievance. A student may file a written grievance:

• if an informal resolution is unsuccessful, provided the written grievance is filed within ten business days of the date the Intake Dean advises the Grievant and the Subject that no further efforts will be made at the informal stage; or
• to appeal a departmental grievance decision, provided the written grievance is filed within ten business days of the date of the departmental grievance decision being appealed.

Content and submission of grievance. The written grievance should include at least the following:

• a statement by the student summarizing the concern(s)
• the name(s) of the university faculty, staff, or administrators involved
• the date(s) of the alleged incident(s)
• a statement concerning what outcome or action the student would like to see result from the grievance

The grievance should be delivered to the Graduate College Dean.

Handling. Once a written grievance has been submitted and reviewed, the Intake Dean will contact the student to arrange a meeting to discuss it. The Intake Dean will review the written grievance and supporting documentation provided by the Grievant and may conduct further inquiries and/or solicit additional information as warranted. The Intake Dean may facilitate additional discussions between the Parties to try to resolve the matter at the administrative level.

Outcomes.

• Agreed disposition. If the Intake Dean is successful in resolving the matter by agreement, the Intake Dean shall prepare a report which includes: 1) the grievance(s), 2) the response(s), 3) the finding(s), and 4) the resolution.
• Unresolved grievance. If the Intake Dean is unsuccessful in resolving the matter by agreement, the Intake Dean shall prepare a report which includes: 1) the grievance(s), 2) the response(s), 3) the findings, and 4) what efforts were taken or proposed to resolve the matter administratively.

Report distribution. The reports referenced under outcomes will be submitted to the Dean with copies to the Grievant and the Subject(s) of the Grievance.

Request for formal review. The Grievant or the Subject(s) may request a formal review of unresolved grievances by submitting the Request within ten business days from the date of the Intake Dean’s Report to the Dean.

C. Formal Review of Unresolved Grievances

Review of request by Dean. Upon receipt of a request for formal review, the Dean will review the request along with the Intake Dean’s Report of Administrative Action and other relevant materials to consider whether any issues merit further investigation and review. If the grievance is declined, the Dean will notify the person seeking review in writing and explain the decision. The Dean’s decision is final.

Appointment of review panel. If the Grievance is accepted, the Dean shall appoint a panel of five people to investigate the matter and provide recommendations. The Panel shall consist of one member of the Graduate College Executive Committee, one faculty member from the unit in which the matter originated, one faculty member at large, and two active graduate students at large. The faculty member at large will chair the Panel.

Written Charge.

In general. The Dean shall define the subject matter of the review in a written charge. The charge may but need not address every allegation contained in the request for Formal Review. The charge may also include additional matters that, in the opinion of the Dean, warrant investigation. The charge shall be provided to the Panel, Review Dean (who may or may not be the same person as the Intake Dean), and the Parties to the Grievance.

Content. The written charge shall also include:

• the identities of the Panel members and a statement that either party may challenge a Panel member on the grounds of a conflict of interest within five business days of receipt of the Written Charge;
• a statement that both parties may submit any additional materials relevant to the Written Charge that they want considered by the Panel within ten business days of receipt of the Written Charge; and
• a statement that a Party must make a written request for a meeting with the Panel within ten business days of receipt of the Written Charge if such a meeting is desired, and that the Panel will decide if a meeting is warranted.

Conflict of interest. If the Dean believes a legitimate conflict of interest exists, the Dean will replace the Panel member as appropriate.

Preliminary review panel session(s). After the time granted to the Parties to provide additional materials, the Review Dean shall convene the Panel Members to:

• review the process, discuss the Written Charge and review the materials received during the Administrative Action and pursuant to the materials provided by the parties in response to the Written Charge;
• review any requests for a meeting and decide if a meeting would be helpful in making findings and recommendations regarding the Written Charge;
• provide direction on whether it wants the Review Dean to seek any additional information relevant to the Written Charge from any of the parties or other sources; and
• confirm that the Review Dean has provided copies of written materials received by the Panel to all Parties to the Grievance.

Meeting notice. If the Panel concludes a meeting is necessary, the Review Dean shall send notice of a meeting no fewer than five business days prior to the meeting. The notice must include the date, place and time of the meeting, and a statement that each party may have a Consultant present at the meeting. Continuances may be granted by the Panel Chair with good cause shown.

Meeting attendance. Attendance is restricted to the Grievant, Subject(s) and their respective Consultants, Panel members, the Review Dean, and if necessary, a representative from the Office of University Counsel. If oral statements from witnesses will be received, the witness may be present only while making the statement or responding to questions. Both Parties may be present throughout the meeting but this is not required. Any person, including a Party, who disrupts a meeting or who fails to adhere to the directives of the Chair may be removed from the meeting.

Meeting purpose and structure. The purpose of a meeting under this policy is to allow the Panel to hear directly from the Grievant, Subject(s), and witnesses in order to better attempt to resolve the dispute. While there may be adversarial components, the meeting is not intended to be a trial. Formal rules of evidence shall not apply. All Parties shall treat each other with dignity and respect. Parties may each make a brief opening statement, and then respond to questions from the Panel. The Parties may suggest questions to be asked of each other. The Chair shall decide whether or not to pose the questions. If witnesses will be called, each Party may ask questions directly of their witness, but it will be in the Chair’s discretion whether or not questions to another’s party’s witnesses will be through the Chair or directly by the Party. The confidentiality of all information shall be preserved.

Deliberations. The deliberations of the Panel are confidential. All Parties shall be excluded during the Panel’s deliberations. The conclusions and recommendations of the Panel must be agreed to by a simple majority of the Panel hearing the matter. The conclusions and recommendations of the Panel must be based on a preponderance of the evidence (more probably true than not true).

Panel report. The Panel shall submit a written report to the Dean as soon as practical that includes at least the following:

• a copy of the Written Charge from the Dean;
• a statement of the relief sought by the Grievant;
• the response of the Subjects;
• general description of the investigative process;
• a citation of relevant policies;
• findings of fact that support the Panel’s conclusions;
• a recommendation of appropriate redress for the Grievant(s), if applicable; and
• any recommended changes in policies and procedures to minimize the probability of recurrence, if applicable.

Opportunity to comment. Copies of the Report shall be provided to the Parties. A party may submit written comments to the Dean of the Graduate College concerning the Report to the Dean within five business days of receipt of the Report.

Action and disposition of the grievance and disclosures. As soon as practical following the receipt of the Report and all written comments concerning the Report, the Dean shall determine what disposition to make of the case.

• If the Dean concludes that the grievance has not been proved, the grievance will be deemed not sustained and dismissed.
• If the Dean concludes that the grievance has been sustained, the Dean will proceed in accordance with the university Statutes and relevant university rules and regulations. The Dean may prescribe redress for the grievant, recommend modification of policies, or recommend changes in the procedures for implementation of such policies, as appropriate.
• If the Dean concludes that these procedures have not been followed, or the interests of fairness or thoroughness require further investigation, the Dean may direct the Panel to revisit any relevant issues and submit a revised Report within a certain time frame. The Dean shall identify the specific errors or concerns and provide direction to the Panel as to appropriate corrective measures. The Panel will only address the issues raised by the Dean and submit a supplemental report to the Dean for consideration.
• The Final Disposition shall be provided to the Parties in writing. The Dean’s disposition is final unless appealed as provided for herein. The Dean may authorize the release of a copy of the Disposition on a need to know basis with due regard for privacy rights of employees and students under federal and state law and university policy (see also, 9.4.F Confidentiality).

Appeal. A party may file an appeal to the Provost within ten business days from the date of the Dean’s Written Disposition. The sole grounds for appeal are material violations of these procedures that have resulted in significant prejudice against the Party appealing. The appeal must be in writing and must specify the nature of the procedural error. The Provost’s decision on appeal shall be final.