It is an objective of the University at Buffalo and its Graduate School to encourage the prompt consultative resolution of grievances of graduate students as they arise, and to provide orderly procedures for the formal consideration and resolution of complaints that cannot be resolved through consultation.
This set of procedures is designed to provide a well-defined, yet appropriately flexible structure that recognizes and reflects the issues unique to graduate education as well as academic areas common to all faculty-student or administrator-student relationships.
The following procedures provide a sequence of steps for the orderly and expeditious resolution of grievances initiated by graduate students. While recognizing and affirming the established principle that academic judgments and determinations are to be reached solely by academic professionals, it is the Graduate School's intention to secure, to the maximum extent feasible, equitable treatment of every party to a dispute. To that end, those who oversee the grievance process are charged to pay heed not only to issues of procedural integrity, but also to considerations of substantive fairness.
Virtually all disputes originate in the department or comparable administrative unit and should, if feasible, be resolved through consultation between the disputants. The parties should meet and exert a good faith effort to resolve the dispute amicably.
At the request of either or both parties, the consultation may be recorded by a departmental note-taker (a staff or faculty member, but not a student). If a departmental note-taker is present during the consultation, the student may have an additional note-taker of his/her choosing also in attendance. Neither note-taker may actively participate in the consultation between the parties to the grievance other than to request repetition or clarification of statements made by either party during the consultation session.
It may be useful for the student to seek first the assistance of his or her advisor, department chair, or director of graduate studies acting as a mediator to aid in evenhandedly resolving the dispute.
Step 1. The student who believes that the grievance is severe or has been unable to obtain an acceptable consultative resolution should submit in writing to the cognizant department chair a description of his or her complaint, including any evidentiary or supporting materials, and a request for a hearing. (If the department chair is a party against whom the grievance is brought, either as a teaching faculty member or as chair, or where the chair can demonstrate that it will best serve the interests of the parties, direct petition to the school or college level may be pursued.)
Step 2. The cognizant department chair shall give the Department Grievance Committee (see Appendix A) and each principal a copy of the written grievance, including any evidentiary or supporting materials, and a copy of the Academic Grievance Policy and Procedures for graduate students.
Upon initial review of the materials and statements presented by the grievant, if the Department Grievance Committee finds the grievance does not have reasonable supporting grounds, the Committee shall conclude the grievance is without merit. In this initial review the Committee may also consider materials or statements submitted by the teaching faculty member(s) against whom the grievance is lodged. If the grievance is found without merit, the Committee shall report this denial to the cognizant department chair. The Committee shall complete this initial review within 15 academic days1 of its receipt of the grievance. The cognizant department chair shall then submit a Statement of Decision to the principals (via certified, return receipt mail), the cognizant college or school dean, and the Dean of the Graduate School within 10 academic days1 of receipt of the Committee decision.
If the Department Grievance Committee finds the statement of grievance has reasonable supporting grounds, the Committee shall proceed with hearings as provided below.
Step 3. The Departmental Grievance Committee shall convene hearing(s) as necessary to allow both principals the opportunity to present their positions and shall allow each principal the right to question the presentation(s), written and verbal, of each principal and of others who contribute information to the Committee.
The hearing shall convene within 20 academic days1 of the department's receipt of the written grievance. The cognizant department will notify principals at least 72 hours prior to the hearing.
The hearing(s) shall be conducted in a fair and expeditious manner, but shall not be subject to the rules governing a legal proceeding. Each principal shall have the right to be present (under unusual circumstances, if either party is considered to pose a physical threat to the other or to the committee, the chair of the committee may request that either the student or instructor participate by phone) and to have one advisor present at all hearings. In no such case shall the advisor be an attorney, unless he or she is a member of the UB faculty who is not acting in a legal capacity on behalf of a principal. An advisor may not speak on behalf of or advocate for a principal or otherwise address members of the hearing committee. Hearing(s) shall be conducted in confidence (see Appendix B).
Step 4. The Departmental Grievance Committee shall submit its recommendation(s) in writing, including findings and reasons for the recommendations, to the cognizant department chair within 10 academic days1 of the final meeting of the committee.
Step 5. The cognizant department chair shall consider the committee's findings and recommendations and render a final decision. This Statement of Decision and an indication of the student's right to appeal the department chair's decision (including time limit) shall be submitted, in writing, from the department chair to the principals (via certified, return receipt mail), the cognizant college or school dean, and the Dean of the Graduate School within 10 academic days1 from receiving the Department Grievance Committee's written recommendations.
Files shall be maintained in the offices of the cognizant dean and the Office of the Dean of the Graduate School.
Step 1. If either principal wishes to appeal the departmental ruling, a written statement of the appeal, including any additional evidentiary or supporting materials, shall be filed within 10 academic days1 of receipt of the department chair's Statement of Decision. The appeal shall be filed with the cognizant college or school dean. (If the dean is a party against whom the grievance is brought, either as a teaching faculty member or as dean, or where the dean can demonstrate that it will best serve the interests of the parties, a direct petition to the Graduate School level may be pursued.)
Step 2. Upon review of relevant materials, including all materials and statements presented during prior hearings, and materials and statements subsequently presented, if the cognizant college or school dean does not find that the statement of appeal provides reasonable grounds to appeal nor raises doubt concerning the adequacy of prior review, the dean may issue a formal decision regarding the appeal. In such a case, the dean shall submit a Statement of Decision to the principals (via certified, return receipt mail), the department chair, and the Dean of the Graduate School within 20 academic days1 of receipt of the appeal.
Alternatively, if the dean deems it necessary or appropriate to consider further the circumstances of the appeal, he or she shall convene a Decanal Grievance Committee within 20 academic days1 of receipt of the appeal. The Decanal Grievance Committee shall include two faculty members and two graduate students. In those college/schools comprised of multiple academic departments, the Decanal Grievance Committee shall not include representatives from the department(s) involved in the grievance (see Appendix C).
Step 3. The cognizant dean shall give the Decanal Grievance Committee and each principal a copy of the Academic Grievance Policy and Procedures for graduate students, the original written grievance, the written appeal to the school or college level, any supplemental materials and statements, and all documentation and recommendations from the departmental proceedings.
Step 4. The Decanal Grievance Committee shall convene hearing(s) necessary to allow both principals the opportunity to present their positions and shall allow each principal the right to question the presentation(s), written or verbal, of the principals as well as others who contribute information to the committee. The principals must be given at least a 72-hour prior notice of the hearing.
The hearing(s) shall be conducted in a fair and expeditious manner, but shall not be subject to the rules governing a legal proceeding. Each principal shall have the right to be present (under unusual circumstances, if either party is considered to pose a physical threat to the other or to the committee, the chair of the committee may request that either the student or instructor participate by phone) and to have one advisor present at all hearings. In no such case shall the advisor be an attorney, unless he or she is a member of the UB faculty who is not acting in a legal capacity on behalf of a principal. An advisor may not speak on behalf of or advocate for a principal or otherwise address members of the hearing committee. Hearing(s) shall be conducted in confidence (see Appendix B).
Step 5. The Decanal Grievance Committee shall submit its recommendation(s) in writing, including findings and reasons for the recommendations, to the cognizant college or school dean within 10 academic days1 of the final meeting of the committee.
Step 6. The cognizant dean shall consider the committee's findings and recommendations and render a final decision. This Statement of Decision and a statement of the student's right to appeal the dean's decision (including time limit) shall be submitted in writing from the dean to the principals (via certified, return receipt mail), the department chair, and the Dean of the Graduate School within 10 academic days1 from receiving the Decanal Grievance Committee's written recommendations.
Files shall be maintained in the offices of the cognizant dean and the Office of the Dean of the Graduate School.
On rare occasions, when all established procedures within a college or school have been exhausted, it may be appropriate for the Dean of the Graduate School to consider a final University appeal. In general, the Dean of the Graduate School will consider only those appeals that document violations of applicable due process in prior proceedings or which establish sound cause to believe that prior proceedings have resulted in a decision contrary to law, the Polices of the SUNY Board of Trustees, or policies of the University at Buffalo. In general, the Dean of the Graduate School will not consider appeals that merely challenge the appropriateness of a judgment reached following a full and fair review of a matter by the department and the dean of the college or school.
Step 1. If either principal wishes to appeal the decision(s) of the college or school dean, the written statement of appeal, including any additional evidentiary or supporting materials, shall be filed within 10 academic days1 of receipt of the Statement of Decision. The appeal shall be filed with the Dean of the Graduate School.
Step 2. Upon review of relevant materials, including all materials and statements presented during prior hearings, and any materials and statements subsequently presented, if the Dean of the Graduate School does not find that the statement of appeal provides reasonable grounds to appeal nor raises doubt concerning the adequacy of prior review, the Dean of the Graduate School may issue a formal decision regarding the appeal. In such a case, the Dean of the Graduate School will submit a Statement of Decision to the principals (via certified, return receipt mail), the department chair, and cognizant dean within 20 academic days1 of receipt of the appeal.
Alternatively, if the Dean of the Graduate School deems it necessary or appropriate to consider further the circumstances of the appeal, he or she shall convene a Graduate School Grievance Committee within 20 academic days1 of receipt of the appeal (see Appendix D).
Step 3. The Graduate School shall give the Graduate School Grievance Committee and each principal a copy of the Academic Grievance Policy and Procedures, the original written grievance, the written appeals to both the school/college and the Graduate School levels, any supplemental materials and statements, and all documentation and recommendations from the departmental and decanal proceedings. The Graduate School will notify principals at least 72 hours prior to the hearing.
Step 4. The Graduate School Grievance Committee shall convene hearing(s) as necessary to allow both principals the opportunity to present their positions and shall allow each principal the right to question the presentation(s), written or verbal, of the principals as well as others who contribute information to the Committee.
The hearing(s) shall be conducted in a fair and expeditious manner, but shall not be subject to the rules governing a legal proceeding. Each principal shall have the right to be present (under unusual circumstances, if either party is considered to pose a physical threat to the other or to the chair, the chair of the committee may request that either the student or instructor participate by phone) and to have one advisor present at all hearings. In no such case shall the advisor be an attorney, unless he or she is a member of the UB faculty who is not acting in a legal capacity on behalf of a principal. An advisor may not speak on behalf of or advocate for a principal or otherwise address members of the hearing committee. Hearing(s) shall be conducted in confidence (see Appendix B).
Step 5. The Graduate School Grievance Committee shall submit its letter of recommendations, including findings and reasons for recommendations, to the Dean of the Graduate School within 10 academic days1 after the final meeting of the committee.
Step 6. The Dean of the Graduate School shall consider the Committee's findings and recommendations and render a final University decision/determination. The Dean of the Graduate School's Statement of Decision shall be submitted in writing to the principals (via certified, return receipt mail), the department chair, and the cognizant academic dean within 10 academic days1 from receiving the Graduate School Grievance Committee's written recommendations.
The determination/decision of the Dean of the Graduate School constitutes the final step in the University review process and may not be further appealed.
Files shall be maintained in the office of the cognizant dean and the Graduate School.
1 Academic days are defined as weekdays when classes are in session, not including the summer sessions.
The cognizant department chair, or the chair of the departmental Grievance Committee, shall assemble, from a pool of individuals comprising the Departmental Grievance Pool, a Departmental Grievance Committee comprised of no fewer than two faculty members and two graduate students or a larger number of participants maintaining this same ratio. The departmental representatives in the Grievance Pool shall be selected by the respective faculty and student constituencies in an appropriate democratic fashion, and in no case shall these representatives be appointed by the departmental or decanal administration. If deemed appropriate, the Departmental Grievance Pool may also serve as the Departmental Academic Integrity Pool.
The members of the Grievance Pool and the Grievance Committee shall be selected so that no member is involved in a disproportionate number of grievances. Each principal to the dispute shall have the option of requesting, without stipulating a reason, the replacement of one member of the Committee inappropriate, the party shall transmit, within five academic days1 of the naming of the committee, a written statement of the grounds for this "challenge for cause" to the cognizant department chair who shall rule on its merits and either retain or replace the committee member so challenged. Each committee member selected shall have the option of disqualifying him/herself from the Committee by stipulating reasons why he or she feels unable to deal with the grievance in an unbiased fashion.
Once the department chair, college or school dean or the Dean of the Graduate School initiates a grievance hearing, principals and committee members shall have the obligation to maintain the confidentiality of the proceedings and of all materials or testimony presented in hearing proceedings, until a decision is formally transmitted to the principals involved in the grievance.
If a breach of confidentiality by either principal (as defined above) is formally brought to the attention of the Grievance Committee, upon a majority vote of the committee, it may choose to consider this breach a case of possible misconduct. If a committee member is charged with a possible misconduct, such charge will be heard at the next highest level Grievance Committee. Such consideration shall take precedence over the pending grievance, and a misconduct hearing shall be conducted, and findings shall be transmitted, in writing, to the principals and committee members, and shall be placed in a supplemental file of the grievance proceedings. Such findings may then be considered in the subsequent review of the grievance.
The cognizant college or school dean, or the chair of the school or college Grievance Committee, shall assemble, from a pool of individuals comprising the college or school Grievance Pool, a Decanal Grievance Committee comprised of no fewer than two faculty members and two graduate students or a larger number of participants maintaining this same ratio. In those college/schools comprised of multiple academic departments, the Decanal Grievance Committee shall not include representatives from the department(s) involved in the grievance. The college or school Grievance Pool shall include two representatives, as appropriate, from each department: one faculty member and one graduate student. The departmental representatives in the Grievance Pool shall be selected by the respective faculty and student constituencies in an appropriate democratic fashion, and in no case shall these representatives be appointed by the departmental or decanal administration. If deemed appropriate, the Decanal Grievance Pool may also serve as the Decanal Academic Integrity Pool.
The members of the Grievance Pool and the Grievance Committee shall be selected so that no member is involved in a disproportionate number of grievances. Each principal to the dispute shall have the option of requesting, without stipulating a reason, the replacement of one member of the Committee appointed to hear the grievance. If any principal finds the replacement member inappropriate, the party shall transmit, within five academic days1 of the naming of the committee, a written statement of the grounds for this "challenge for cause" to the cognizant academic dean who shall rule on its merits and either retain or replace the committee member so challenged. Each committee member selected shall have the option of disqualifying him/herself from the Committee by stipulating reasons why he or she feels unable to deal with the grievance in an unbiased fashion.
The Graduate School Grievance Committee shall be comprised of no fewer than two faculty members and two graduate students (all from outside the cognizant academic department[s]) or a larger number of participants maintaining this same ratio. The departmental representatives comprising the Graduate School Grievance Pool shall be selected by the respective faculty and student constituencies in an appropriate democratic fashion, and in no case shall these representatives be appointed by the departmental or decanal administration. If deemed appropriate, the Graduate School Grievance Pool may also serve as the Graduate School Academic Integrity Pool.
The members of the Graduate School Grievance Pool and the Graduate School Grievance Committee shall be selected so that no member is involved in a disproportionate number of grievances. Each principal to the dispute shall have the option of requesting, without stipulating a reason, the replacement of one member of the committee appointed to hear the grievance. If any principal finds the replacement member inappropriate, the party shall transmit, within five academic days1 of the naming of the committee, a written statement of the grounds for this "challenge for cause" to the Dean of the Graduate School who shall rule on its merits and either retain or replace the committee member so challenged. Each committee member selected shall have the option of disqualifying him/herself from the committee by stipulating reasons why he or she feels unable to deal with the grievance in an unbiased fashion.
The Dean of the Graduate School shall encourage departments to nominate faculty and student representatives for the departmental and decanal pools and to encourage departments to facilitate development of faculty and student representatives in order to ensure a suitable pool of personnel for departmental, decanal, and Graduate School grievance hearings.
Amended Policies Promulgated by President John B. Simpson, 26 June 2008
Effective, 25 August 2008