Policy and Procedures on Grievances by Graduate Students in the Department of Mathematics
I. Introduction
All members of the University community are expected to observe high standards of professional conduct and ethical behavior in graduate education and in the supervision of graduate research and teaching, (Guiding Standards for Faculty Supervision of Graduate Students, March 31, 1997). In a large and heterogeneous scholarly community however, problems may arise. Thus the University articulates its policies and provides effective informal and formal procedures for resolving these problems involving graduate students.
The purpose of this policy is to protect the interests of graduate students in the Department of Mathematics by providing informal and formal means of seeking resolution in case of an inappropriate action of a member of the faculty or administrative staff or an inappropriate application of a department policy. Any graduate student in the Department of Mathematics may informally pursue or formally file a grievance when s/he believes that a decision or behavior adversely affects his/her status as a graduate student.
This Policy and Procedures on Grievances by Graduate Students in the Department of Mathematics specifies the policy and describes the procedures to be employed to resolve grievances by graduate students this department. It was approved by the Graduate College on May 22, 2000. This policy does not apply in cases of academic misconduct. Breaches of academic integrity in research and publication are handled under the campus’s Policy and Procedures on Academic Integrity in Research and Publication. Similarly, this policy does not apply to cases that arise under the Code of Policies and Regulations Applying to All Students, such as capricious grading in a course (Section 3-107) or academic integrity (Section 1-401).
II. SCOPE AND COVERAGE
Definition of a Grievance
A grievance may arise when a graduate student believes that his/her status as a graduate student, or University appointment based on student status, has been adversely affected by an incorrect or inappropriate decision or behavior. Examples include, but are not limited to the following:
- inappropriate application of a department or University policy;
- being unfairly assessed on a preliminary examination;
- being required to engage in excessive effort on assistantships;
- being improperly terminated from student-based University appointment (teaching or research assistantships, etc.);
- being improperly terminated from a program;
- being required to perform personal services unrelated to academic or assistantship duties;
- being required to meet unreasonable requirements for a graduate degree that extend the normal requirements established by the campus or by the department and are inconsistent with the scholarly standards in the discipline;
- being the subject of retaliation for exercising his/her rights under this policy; or
- being the subject of professional misconduct by a student’s graduate supervisor or other faculty or staff member.
Practices or actions by a student’s supervisor, other faculty member, or other member of the University community that seriously deviate from ethical or responsible professional standards in the supervision of graduate student work may constitute professional misconduct in violation of University policy.
III. INFORMAL PROCEDURES
University policy strongly encourages all students who believe they have a grievance to use all appropriate avenues for informal resolution before initiating a formal grievance. Students in Mathematics are encouraged to discuss the issue with the faculty or staff member with whom the problem has arisen. If the student’s grievance relates to the student’s responsibilities as an assistant, then the student should begin by consulting with the Associate Chair. If the student’s grievance relates to an academic matter, then the student should begin by consulting with the Director of Graduate Studies. In either case, the appropriate official will attempt to find a resolution acceptable to both parties. If an appeal is a request for an exception to the examination or continuing support rules, the Director of Graduate Studies will refer the matter to the Graduate Affairs Committee for action. In exceptional circumstances, the Director of Graduate Studies may decide the matter. The student may also consult with the Graduate College, the Office of the Dean of Students, the Ombuds Office, the Office of International Student Affairs, or other sources.
IV. FORMAL PROCEDURES
A. Identification of the Grievance Committee
- The Grievance Committee shall consist of the Graduate Affairs Committee of the Department of Mathematics. This committee is established in the Bylaws of the Department and consists of five faculty members who are appointed by the Executive Committee of the Department, the Director of Graduate Studies, and two graduate students who are elected. The graduate student grievant may request that there be no graduate students on his or her grievance committee.
- The chair of the Graduate Affairs Committee is appointed by the Executive Committee. The chair is responsible for assuring that a record of the committee’s investigations, deliberations and recommendations is forwarded to the department chair.
B. Procedures
- A student in the Department of Mathematics may file a formal grievance with either the department chair or directly with the Graduate College, as the student elects. A formal grievance should be filed promptly and must be filed in writing within 180 calendar days of the decision or behavior resulting in the grievance, regardless of whether the department procedure or Graduate College procedure is used. The written grievance should indicate the parties involved, the action or decision being contested, any applicable university, campus or unit policy, an explanation of why the action or decision is inappropriate, and the remedy sought.
- The department chair shall define the subject matter and scope of the issues related to the grievance in a written charge to the grievance committee. The primary involved parties shall receive a copy of the charge.
- Any participant to the grievance may challenge any member of the grievance committee if there is a perceived conflict of interest. The challenge should be made in writing to the chair of the department. If the objection is prompt and reasonable, the chair shall replace, for this one grievance, the person with one who meets the stated criteria. This decision of the chair may be a basis for appeal of the grievance committee’s recommendation.
- The grievance committee's investigation shall include a review of written materials presented and seeking information from the primary involved parties in writing or in person. During a hearing, each of the primary involved parties may make a brief opening statement, and then respond to questions from the committee. The primary involved parties may not question each other directly, but may pose questions through the committee chair. At the end of the hearing, each primary involved party may make a closing statement.
- Within 30 calendar days of the filing of the grievance, the chair of the grievance committee shall report its recommendations in writing to the department chair. The department chair may grant an extension of the time limit for good cause. The grievance committee’s report shall contain:
- a summary of the grievant's contentions and relief sought
- the response of the individual or department against whom/which the grievance was filed
- a general description of the investigative process
- a citation of relevant policies
- an explicit finding of fact based on the preponderance of the evidence with respect to each grievance included in the grievance committee’s charge
- a listing of the evidence relevant to each finding
- an indication of whether there was a reasonable basis in fact and honest belief for the allegations in the investigated grievance
- a recommendation of appropriate redress for the grievant(s) and
- any recommended changes in policies and procedures to minimize the probability of recurrence.
- Within 7 calendar days of receipt of the committee’s report,
the department chair shall determine the disposition of the case and
communicate the decision to the primary involved individuals.
If the chair determines that the grievance has not been proved or has no merit, the chair will notify all involved parties and all persons who have been interviewed or otherwise informed that the grievance has been dismissed.
If the chair concurs with the committee's conclusion that the grievance has been sustained and has merit, the chair will proceed in accordance with the University statutes and relevant University rules and regulations. The chair may, after consultation with appropriate campus officers, prescribe redress for the grievant. In addition, the chair may initiate modifications of department policies or procedures. The chair shall notify the relevant primary involved individuals (grievant, respondent, grievance committee members) of actions taken. - Within 10 calendar days of receipt of written notification of the chair’s determination, appeals may be made to the Graduate College as specified in the Graduate College grievance policy. This appeal can be based only upon demonstrated specific deficiencies in the application of this department grievance procedure to the student’s grievance.
- After completion of a grievance review and all ensuing related actions, the chair shall return all original documents and materials to the persons who furnished them. The department shall destroy the grievance file on a date 5 years beyond the grievant’s time limit for completion of the degree. A report of the nature of the grievance and the primary involved parties shall be forwarded to the Graduate College.
V. GENERAL PROVISIONS
A. Coverage
This policy and these procedures apply to all graduate students and members of the academic and administrative staffs in the Department of Mathematics. This policy also applies to former graduate students, provided they meet the timeliness requirements specified in the procedures above.
B. Oversight Authority and Responsibility
- The department chair has responsibility, under the policies and procedures of the Graduate College, for the management of Department of Mathematics graduate programs and related policies and procedures.
- The department chair shall have the primary responsibility for administering campus procedures detailed herein. All information and items furnished will be made available to the grievance committee. During the course of an investigation, the department chair will provide information about the status of the proceedings to the primary involved individuals. Subsequent to the grievance committee’s reporting, the department chair will maintain a file of all documents and evidence, and is responsible for the confidentiality and the security of the file. The department chair shall make the complete file available to the associate dean of the Graduate College upon the appeal of a grievance outcome to the Graduate College.
C. Confidentiality
All persons involved in administering these procedures will make diligent efforts to protect the reputations, privacy, and positions of all involved persons. These persons include those who file grievances, persons who are alleged in a grievance to have taken inappropriate actions or activities, and department administrators. All of the procedures and the identity of those involved should be kept confidential to the extent permitted by law. However, confidentiality regarding information other than the identity of the grievant need not be maintained if the grievance is found to be false and in particular if dissemination is necessary to protect the reputation of individuals or units falsely accused. Making public the fact that a grievance has been deemed false or unproved is not considered retaliation against the grievant. Protection of confidentiality does not preclude disclosures necessary to redress actions leading to a grievance.
D. Standards of Evidence
The grievance committee’s decision shall be made on the "preponderance of evidence" standard. Any finding against an individual or department on the subject of the grievance must be supported by a preponderance of the evidence.
E. Academic Freedoms and Rights of the Parties
- It shall be a prime concern of all persons who implement this policy and these procedures to protect the academic freedoms fundamental to the academic enterprise. Among other things, this includes the professional judgments of student performance that are an essential part of the graduate education process. Academic freedom, however, affords no license for the mistreatment of graduate students.
- The rights of the primary involved individuals shall be specified in the form of a written notice or letter from the department chair. The primary involved individuals have the following rights:
- To receive notice of the identity of the members of the grievance committee.
- To receive a written statement of the charge including the subject matter being considered by the grievance committee. If additional information emerges during the committee’s evaluation that substantially changes the subject matter, the parties shall be informed promptly in writing.
- To submit statements in writing and to meet with the committee to present information.
- To consult private legal counsel, or another person who may provide providing advice at the meeting with the committee. Prior notice of the presence of an advisor must be given and any other primary involved party may request a delay of up to 5 calendar days to arrange for the presence of an advisor.
- To review and respond to the grievance committee’s final report.
- Any of the parties responsible for the implementation of this policy may consult University Legal Counsel at any time during the informal or formal processing of a grievance.
F. Conflict of Interest
A conflict of interest is a significant professional or personal involvement with the facts or the parties to a dispute. Any participant who has a conflict of interest in a dispute under this procedure, or a concern about a conflict on the part of another, shall report it to the department chair who shall take appropriate action. If the department chair has such a conflict, the chair will inform the Associate Dean of the Graduate College who will, in consultation with the dean of the academic college, decide how to address the situation.
G. Timeliness and Procedural Changes.
All procedures prescribed in this document should be conducted expeditiously. The department chair for good cause may extend any of the time periods and may make other reasonable alterations of these procedures, provided that the alteration does not impair the ability of a grievant to pursue a grievance or the respondent(s) named in the grievance to defend him/herself. Any alterations of these procedures must be communicated to all pertinent parties.
H. Withdrawal of a Grievance
The grievant may submit a written request to withdraw the grievance at any time. The department chair shall decide whether to approve the request. A request to withdraw shall be approved only if both parties to the action agree to terminate the proceedings. If the withdrawal request is approved, the department shall notify the primary involved parties and the files shall be destroyed. If the withdrawal request is denied, the grievance shall continue to be processed to a conclusion according to the above procedures.
I. Termination of University Employment
The termination of University employment of any of the primary involved individuals in a grievance, by resignation or otherwise, after initiation of procedures under this policy shall not necessarily terminate these proceedings.
J. Malicious Charges
Bringing unfounded charges in bad faith is a violation of this and the Graduate College grievance policy. If the grievance committee determines that the allegation(s) in the grievance or the testimony of any person was unfounded and motivated by bad faith, that finding shall be communicated by the department chair to the Dean of the Graduate College and the dean of the academic college. After consultation with the Provost, the deans may inform the chair of such a finding. Such finding may be the basis for disciplinary action or other personnel decision in accordance with University rules and regulations.