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Grievance Policy & Procedures

Undergraduate Students and Non-matriculated Graduate Students

Philosophy
All members of the University community are expected to interact with civility and respect, recognizing at the same time the unique tradition of the University to provoke thought, stimulate discussion, and examine dissent. The University encourages the resolution of complaints in a fair and collegial manner. This document establishes a policy and process for undergraduate students to request review and resolution of certain complaints.

Complaints may be resolved informally between the individuals or with the aid of their department head, College office, or the University Ombuds. However, the student may proceed through the Formal resolution stage.

Applicability
This document supersedes all former individual College grievance procedures. It is to be used by any UC student except those who are admitted to and enrolled in a graduate degree, M.D., or J.D. program. These procedures are applicable when:

1. a student believes that he/she has been subjected to an academic evaluation which is capricious or biased.
2. a student believes that he/she has been subjected to other improper treatment.

Exceptions
Allegations described below will be handled as outlined.

1. Complaint alleging violation of privacy. Allegations of a violation of privacy as set forth under the Family Educational Rights and Privacy Act (FERPA) will be handled by the University Registrar in accordance with current practice.
2. Complaints regarding incompetency of instruction. Allegations of incompetent instruction will be handled according to the agreement between UC and the AAUP.
3. Complaints alleging discriminatory treatment. Allegations of discriminatory treatment based on age, race, sex, sex orientation, handicap, national origin, or religion will be handled according to the UC Discrimination procedure administered by the Office of Affirmative Action. If the complaint involves a faculty member, it will be handled according to the contract between UC and the AAUP.

General Guidelines
To use these procedures, a student may initiate an informal complaint in the University Ombuds' office (335 TUC) or the College Office in which the course is offered no later than the end of the quarter following the quarter in which the activity that gave rise to the complaint occurred. A student registered for cooperative education through the Division of Professional Practice will receive an extension of one quarter upon his/her request. All complaints shall be heard without unnecessary delay. Complaints regarding a course will be in the jurisdiction of the College offering the course. If the course is offered in a different College than the student's home College or School, the complainant's College Representative will sit as an ad hoc member of the College Grievance Review Committee (CGRC) (see Step 3).

Two or more students with the same complaint may join in a group action. A single statement of complaint shall be submitted and processed in the manner described herein for individuals, but all those joining in such a group action must sign the statement. The University Ombuds (UO) shall determine whether, in fact, all of the students have the same complaint. If it is found that they do not, they will be divided into two or more subgroups. One individual may represent the entire group but all complainants may be required to meet with the UO or the CGRC.

Procedures

Step I - Informal Resolution. The parties involved must first attempt to resolve the complaint informally.

• First the student must talk with the faculty member about his/her complaint. A faculty member must be willing to meet with a student for discussion.
• If the complaint is not resolved, the student must talk with the faculty member's department or unit head or a College representative designated by the Dean, who will attempt to resolve the complaint.
• If the complaint is not satisfactorily resolved through A and/or B, a student may proceed to Step 2, Mediation, or Step 3, Formal Resolution, no later than the end of the following quarter.

Step 2 - Mediation. Mediation shall be requested of and conducted by the Office of the University Ombuds. The University Ombuds (UO) shall consult with the College and shall meet with the individuals separately and/or together to attempt to reach a solution (written) which is agreeable to and signed by all parties to the dispute. All individuals directly involved shall receive a copy of the signed resolution. No written records, other than the final resolution, shall be retained by the UO. Original documents shall be returned to their source or to another site as agreed in the signed resolution. All other notes shall be destroyed. If the complaint is not resolved through mediation, the UO shall immediately notify the Chair of the CGRC in the College in which the dispute originated and inform all affected parties in writing.

Step 3 - Formal Resolution. Following the receipt of the notification that the complaint was not resolved informally through Mediation (Step 2), the student(s) may file a grievance with the Chair of the CGRC. The Chair, who is appointed by the College Dean, shall schedule a grievance review meeting, The CGRC shall be composed of two faculty selected from a pool of four elected from the faculty of the College, two students from a pool of four selected by the College Tribunal or student government, and the Chair. Any party to the complaint may challenge the participation of any committee member on the grounds of conflict of interest. Challenges must be submitted in writing to the Chair of CGRC within two (2) days after the parties have been notified of the CGRC composition. If the Chair is challenged, the appointing Dean shall determine the validity of the challenge and either replace or retain the Chair. The challenge must specify reasons that would prevent the individual from being unbiased with respect to the grievance. Any faculty member directly involved in the grievance shall not participate as a member of a CGRC.

A student may withdraw a grievance from further consideration at any time by submitting a written statement to the Chair of the CGRC. No reason needs to be given for withdrawal of the grievance. The Chair of the CGRC will notify all individuals involved in writing that the grievance has been withdrawn and that the grievance process is terminated.

Committee Procedures

1. The CGRC shall hold a grievance review meeting at which all parties shall have the opportunity to present to the CGRC any written and/or oral information relevant to the complaint.
2. The CGRC also may request information (within FERPA regulations) from other sources.
3. Copies of written material provided to the Committee shall be made available, upon written request, to persons directly involved in the formal resolution of the grievance.
4. Signed written statements may, when necessary, be submitted by individuals and witnesses if unable to attend.
5. The student and faculty member may elect to have an advisor present who may counsel but not actively participate as a spokesperson or vocal advocate.
6. Either party may request testimony from witnesses. However, the physical presence of witnesses shall be restricted to those invited by the Committee (except as noted above in #5).
7. If the student or faculty member chooses not to attend the meeting, his/ her written statements shall be reviewed in their absence.
8. The meetings shall be tape recorded and the tape shall be maintained in accordance with University records policy.

Following the grievance review meeting, the CGRC shall issue a report to the College Dean. The CGRC's report shall contain:

1. relevant information including, but not limited to, documentation of written and oral information presented to the CGRC;
2. relevant University rules and policies; and/or
3. decisions and the reasons therefore.

The College Dean shall notify both parties in writing of the CGRC's decision. Either party may appeal the decision of the CGRC in writing to the College Dean within-ten (10) days following notification. Grounds for appeal shall be limited to procedural error or new information not available at the time of the hearing. The College Dean shall have the authority to accept and implement or modify the decisions of the CGRC. If the grievance alleges capricious or biased academic evaluation and the CGRC finds in favor of the grievant, the College Dean may exercise his/her authority to alter the grade. Decisions of the College Dean shall be final.

The University Ombuds is available for advice to students if desired.

Graduate Student Grievance Procedures

Policy
It is the policy of the University to provide an opportunity for the resolution of disputes involving graduate students in a fair and collegial manner and within the department if possible. These procedures establish a formal process for graduate students to request review and redress of certain grievances arising out of their academic relationships with their department, their college, or the University of Cincinnati.

Each grievance will begin with a mediation process, the Conference Review, and may proceed, if necessary, through the more formal Fact-finding and Decision or Appeal Processes. However, in general, it is expected that grievances will be resolved by the parties within their departments.

This document supersedes all former Graduate Student Grievance Procedures and does not supplant the University of Cincinnati Student Code of Conduct.

Applicability
These procedures may only be used by graduate students. A graduate student is defined as any person who has been accepted into any approved program of graduate studies at the University of Cincinnati except the M.D. and J.D. students.

These procedures are applicable to any of the following types of grievances and supersede other procedures for such grievances made by a graduate student:

1. Grievances alleging improper dismissal or suspension from a graduate program.
2. Grievances alleging the improper withholding or termination of financial support of any kind.
3. Grievances alleging any improper treatment, either substantive or procedural, of a graduate student by a faculty member or the University agency except:
   1. Allegations of discriminatory treatment arising from the student complainant's age, race, sexual preference, handicap, national origin, or religion (see University Policies on Discrimination and Harassment);
   2. Allegations only of improper evaluation of the quality and quantity of academic work; and
   3. Allegations of unfair recommendation for employment or further graduate study.

General Considerations
A party is an individual grievant or any individual or unit that is grieved against. (A Facilitator, as defined below, is not a party.)

At all levels of review, unless stated otherwise, the committees and individuals defined herein shall establish their own rules of procedure, subject only to the requirements of fundamental fairness.

The burden of persuasion is on the grievant.

All time limits shall be calculated only during business days of the fall, winter and spring academic quarters excluding examination weeks and University holidays. Grievances originally filed after the end of the spring quarter will be heard at the beginning of the fall quarter. Any stated time limit may be extended with the prior written consent of all parties.

Any party may challenge the disinterestedness of any Facilitator or committee member, in writing, to the appointing administrator within two days after publication of the appointment. The challenge must specify reasons that would prevent the individual from being unbiased with respect to the grievance. If such a challenge is determined to be valid by the appointing administrator, a substitute appointment shall be made and the process will resume accordingly.

The University Vice-president and University Dean for Graduate Studies and Research is herein referred to as the University Dean.

Filing of Grievances

A graduate student who believes that he or she has valid grounds for a grievance under these procedures should submit a written and signed statement of grievance, setting forth the specific allegations with reasonable particularity and identifying the individual(s) grieved against. Grievances shall be submitted as follows:

Level 1 - to the department head for grievances against a faculty member, committee or an agency associated only with that department.

Level 2 - to the College Dean for grievances against a department head, faculty members in two or more departments of that college or a college-wide agency.

Level 3 - to the University Dean for grievances against faculty members in two or more colleges, a university-wide agency, or a College Dean.

Copies of the grievance shall simultaneously be sent by the grievant to the individual(s) grieved against, to the department or unit head(s) and Dean(s) responsible for the departments, units and colleges involved, and to the University Dean.

Conference Review
It is in the interest of all parties to resolve disputes informally and through reasoned and collegial consideration of the issues. Therefore, every grievance shall be discussed in a Conference Review process that may continue for up to ten days after appointment of the Facilitator. The grievance may not proceed unless the Conference Review Stage has been completed.

The Conference Review shall be conducted by a disinterested Facilitator who shall be an individual appointed by the department head (for a Level 1 grievance), by the College Dean (for a Level 2 grievance) or by the University Dean (for a Level 3 grievance). Facilitators for Levels 1 and 2 grievances shall be appointed from within the department, if possible, and otherwise shall be from within the College. Facilitators for Level 3 grievances may be from throughout the University. The department head or Dean who received the grievance shall appoint the Facilitator without unnecessary delay and shall identify the Facilitator to all parties in writing.

During the Conference Review, the Facilitator shall meet with the parties individually or together, at the discretion of the Facilitator, to attempt to arrive at a resolution of the grievance which is agreeable to and signed by all parties.

Without unnecessary delay after the Conference Review period, the Facilitator shall send the signed resolution, or a statement that the grievance was not resolved, to all involved parties and administrators, including the University Dean. No written records shall be retained by the Facilitator. Original documents shall be returned to their source, to another site as agreed in the signed resolution, or to the appointing administrator. All other notes shall be destroyed.

Grievances which are not resolved shall proceed to Fact-finding and Decision.

Under no circumstances shall the Facilitator be involved in any other stage of the grievance procedures in any capacity.

Fact-finding and Decision
Without unnecessary delay after receipt of the Conference Review statement, the department head (for a Level 1 grievance), the College Dean (for a Level 2 grievance) or the University Dean (for a Level 3 grievance) shall appoint three disinterested graduate faculty members and two disinterested graduate students to serve as the Grievance Review Committee or GRC. Appointments for a Level 1 or 2 grievance shall be from within the department, if possible, and otherwise shall be from within the College. Appointments for a Level 3 grievance may be from throughout the University. The appointing administrator must inform all parties of the Committee appointments in writing. If the appointing administrator determines that a disinterested panel is not available within the unit, the department head or Dean shall document the reasons therefore in a request to the College Dean or University Dean, respectively, to process the grievance at the next level.

The GRC shall provide all parties the opportunity to present to the GRC written and oral information relevant to the grievance. The GRC may also request information from other sources. Copies of all written information and summaries of pertinent oral information provided to the GRC shall be provided to all parties.

Within thirty days of its appointment, the GRC shall issue a report to the appointing administrator or request an extension. An extension request shall document the reasons therefore. The appointing administrator shall decide whether to approve an extension request for a specified time and shall notify all parties in writing. Extensions shall be granted only in unusual circumstances when, in the discretion of the appointing administrator, they are necessary to ensure fairness.

A report shall contain:

1. A statement of committee procedure;
2. A complete summary of relevant information including, but not limited to documentation of all written and oral information presented to the GRC;
3. Relevant United rules and policies; and
4. Recommendations and the reasons therefore.

Without unnecessary delay after receipt of the GRC report, the appointing administrator shall render a decision in writing to all parties and all involved administrators, with a copy of the GRC report attached, or shall notify them that additional information is being requested from the GRC. If additional information is requested, the GRC shall issue an addendum report as requested and the appointing administrator then shall render a decision as above.

Appeal

Any grievant in disagreement with a decision which is adverse to the grievant may appeal. The appeal must be submitted, in writing, within ten days of the date of the notification of the decision and copies must be simultaneously sent to all parties and involved administrators. Appeal of a decision by a department head shall be to the College Dean. Appeal of a decision by a College Dean shall be to the University Dean.

An appeal must specify all alleged errors occurring during the preceding process. Any other party may submit a brief rebuttal to the appeal addressing only the alleged errors within ten days of the date of the appeal. Except as noted below, no additional substantive information may be submitted by any party, and the recommendation and decision shall be based upon the written record established in the Grievance Review, Fact-finding and Decision processes. In extraordinary circumstances and only when new information was unavailable during Fact-finding to the party submitting it, new written information may be accepted on appeal at the discretion of the Appeal Committee or University Dean, as appropriate.

Without unnecessary delay following the filing of a first appeal, the College or University Dean shall appoint an Appeal Committee consisting of two disinterested faculty and one disinterested graduate student from the College or University, respectively, to review the record and the appeal and submit a written recommendation. The College or University Dean shall issue a written decision to all parties and involved administrators without unnecessary delay. Decisions by the University Dean shall be final. Decisions by a College Dean may be appealed to the University Dean in the manner described above. A second Appeal Committee may be appointed only in unusual circumstances at the discretion of the University Dean.

Group Actions
Two or more graduate students with substantially the same grievance may join in a group action. A single statement of grievance shall be submitted and processed in the manner described herein for individual grievances, but all those joining in such a group action must sign the statement. The Facilitator shall determine whether, in fact, all of the co-grievants have substantially the same grievance. If it is found that they do not, the Facilitator shall sever the grievants into two or more subgroups as the evidence may warrant.

As few as one such grievant may represent the entire group but any or all co-grievants may be required to meet with the Facilitator or the GRC. A request for reconsideration must be signed by all grievants.

Withdrawal of Grievances
A grievant may withdraw his or her grievance from further consideration at any time by submitting a written request to the administrator with whom the grievance was originally filed. No reason needs to be given for such a request.

Upon receipt of a withdrawal request, the administrator will notify all involved parties and administrators in writing that the grievance has been withdrawn and that the grievance process is terminated.

The University Ombuds is available for advice to students if desired.