Appeal Procedures for Graduate Students
1. Purpose and Scope
The purpose of these procedures is to afford all continuing, former, and returning graduate students of UCR an opportunity to appeal academic or administrative decisions that impact their academic progress.
Decisions originating at the program level, such as adverse outcomes on critical exams (e.g., comprehensive exams, written and oral qualifying exams, final defense), dissertation/thesis acceptability, change of major or degree objective, disqualification from graduate standing, placement on probationary status, denial of readmission to the same program (if the student was previously in good standing), revocation of campus fellowships, and other administrative or academic decisions that terminate or otherwise impede progress toward academic or professional degrees can be appealed using these procedures (Section 3).
Decisions originating at the Graduate Division level including matters pertaining to the formal requirements for advancement to candidacy (e.g., nullifying qualifying exams and composition of committees for higher degrees), the awarding of higher degrees (e.g., degree revocation), or procedural issues, can also be appealed using these procedures (Section 5).
This procedure is provided for students who file an appeal within the given time frames. All time frames are defined in terms of calendar days, excluding campus holidays and summer session, starting the day the student either knew or reasonably should have known of the actions leading to the appeal. The Dean of the Graduate Division may extend time frames for good cause upon notice to all parties involved in the appeal. A student may bring an appeal individually or may file an appeal jointly with other students when each claims injury as a result of the same alleged action(s).
The scope of this procedure is limited to the matters listed above. Examples of actions not covered by this process include, but are not limited to, appeals regarding denial of admission, student records, grades in courses of instruction, academic integrity, accommodation for disabilities, student employment, student conduct and discipline, auxiliary student services (such as housing, child care, etc.), and whistleblower complaints. This procedure may not be used to appeal any alleged action or inaction by the School of Medicine (except for MS or PHD granting programs) or University Extension.
Access to Academic Records and Evaluation Review: Pursuant to FERPA requirements, students are entitled to timely access to academic records stored in their academic file. In addition to access to their academic record, students may request that the relevant faculty members review qualifying examination or other evaluation outcomes with them, if such review was not provided as part of the exam or evaluation process.
A. Appeal at the Program Level
When an appeal centers on program actions, a student must first exhaust program level review procedures described in Section 3 of this document. In this procedure, "program" refers to degree granting programs at UCR, including academic departments that are subject to Graduate Division oversight, and only to those programs.
B. Appeal of a Program Level Decision to Graduate Division
This procedure governs the Graduate Division review of decisions made at the program level, regarding appeals of actions originating in a program.
C. Appeal of a Graduate Division Level Decision to Graduate Council
When an appeal centers on actions originating in the Graduate Division, a student must submit the appeal to the Graduate Council of the UCR Academic Senate.
2. Grounds for Formal Appeal
A formal appeal may only be brought if it is based on one or more of the following grounds:
A. Evidence of procedural error or violation of official policy committed by academic or administrative personnel;
B. Evidence of non-academic criteria being used to evaluate academic work, including, but not limited to, discrimination or harassment on the basis of race, color, national origin, religion, sex, disability, age medical condition, ancestry, marital status, citizenship, sexual orientation, or status as a veteran;
C. Evidence of special mitigating circ*mstances beyond the student's control (such as documented severe illness to self or immediate family, or death in the family) not properly taken into account in a decision affecting the student's academic progress. In order to seek relief under "special mitigating circ*mstances," the student must have raised the issue with the program contemporaneously with the mitigating circ*mstances, or as soon as possible and no later. For example, if a documented medical condition impairs the student's ability to pass an exam, the student must notify the exam committee prior to the exam's administration.
3. Appeal at the Program Level
These procedures include informal and formal resolution processes for appeals regarding actions originating within the student's department or graduate program. Students must first attempt an informal resolution at the program level, described below in Section 3A. Copies of program level appeal resolution procedures may be published in a Graduate Student Handbook, on the program's website, or obtained from the Chair or Graduate Advisor in each unit. If a mutually satisfactory informal resolution cannot be reached, a program level formal appeal may be initiated, described below in Section 3B. Note that most actions related to a student's academic progress originate in the graduate program, not in the Graduate Division. For example, if a student is academically disqualified by the Graduate Division, the department or graduate program initiates this action.
A. Informal Resolution
As a first step in this appeal procedure, students are strongly encouraged to pursue informal resolution of disputes over academic decisions before moving to a formal appeal. Informal resolution involves further communication among the affected parties (e.g., a student and the chair of the exam committee), perhaps in the presence of a third party if desired. Absent an informal resolutions, a formal appeal must be initiated in writing.
B. Formal Appeal Initiation
The following formal appeal procedure defines what constitutes a valid appeal and outlines rules for submission.
- The formal appeal should be addressed in writing to the Graduate Advisor. Alternatively, if there is a conflict of interest, the appeal may be addressed to the Department Chair or Program Director. If a conflict of interest remains, the appellant may request the Graduate Division appoint a "Designee" to accept the appeal instead.
- Formal appeals must be initiated by a written statement indicating the action(s) being appealed and the date(s) the action(s) occurred, the grounds upon which the appeal is based (Section 2), and the relief requested. It may also include any supporting documentation and any background information that the student deems pertinent to the case.
- The appeal must be initiated within 21 calendar days from the day the student knew or reasonably should have known about the action generating the appeal or within 21 days of the notification of the result of the informal resolution process.
C. Investigation and Record Keeping of the Formal Appeal
I. Determining Validity
The Graduate Advisor or Designee shall determine the validity of an appeal with respect to whether it meets the criteria described in Section 2.
If validity cannot be determined based on the original appeal, the Graduate Advisor shall 1) request additional material be provided by the appellant and 2) forward the original appeal to the other individual(s) involved and ask them to provide written responses within 14 days of receipt, in order to make that determination.
The appellant shall be notified as to the determination of validity within 21 days of the submission of an appeal.
If the appeal is deemed valid, it will be forwarded to the Faculty Hearing Panel and begin the procedures in Section 3C-II.
If the appeal is deemed invalid, the appellant can appeal to the Graduate Division by following the Appeal of Program Decision procedures in Section 4.
Failure of the Graduate Advisor or Designee to inform the appellant of the outcome as to the validity of the appeal within 21 days shall result in the referral of the appeal directly to the Graduate Division.
II. Faculty Hearing Panel
a. A panel of faculty appointed by the Graduate Advisor or Designee (such as the program's graduate committee) will serve as the Faculty Hearing Panel (hereafter referred to as the "Panel"). The Panel must have at least two members. Only faculty who were not involved in making the decision under appeal may sit on this panel. The Panel will make a decision on the merits of the appeal as well as a remedy, if any.
b. The Panel will review the written appeal, responses from the individual(s) involved, and any other submitted materials; afford the opportunity for the affected parties to meet separately with the Panel; and make any appropriate efforts to interview witnesses or other parties and discover information relevant to the decisions.
c. The Panel may not change an exam result, though it may deem the result invalid.
d. The Panel will make a decision within 60 days of the initiation of the formal appeal. Failure of the Panel to do so shall result in referral of the appeal directly to the Graduate Division (Section 4).
e. If the appeal is approved by the Panel, Graduate Division will ensure the prompt corrective action is taken. A written summary of the appeal and the conclusions reached will be kept in the student's academic file.
f. If the appeal is not approved by the Panel, refer to Section 4 for Appeal of Program Decision to the Graduate Division.
g. Notice to Parties: The appellant and any individual(s) involved will be informed in writing of the outcome of the appeal and any corrective action.
III. Standards of Review
The standard of review to be employed by the Panel shall be the "clearly erroneous" standard. Under the clearly erroneous standard, academic outcomes will not be disturbed unless the Panel is left with a definite and firm conviction that a mistake has been committed.
4. Appeal of Program Decision to the Graduate Division
A student may formally appeal the decision by the Panel (Section 3C-IIf) or the validity decision by the Graduate Advisor or Designee (Section 3C-I) to the Graduate Division. If the program is unable to make a timely decision, that shall result in the referral of the appeal directly to the Graduate Division (Section 3C-IId).
A. Time Frames for Formal Appeal
The formal written appeal must be received in the Office of the Dean of the Graduate Division within 21 days of the notification of the result of the Appeal at the Program Level decision. Appeals referred to the Graduate Division for lack of decision will be received from the program directly. The formal written appeal should generally be concluded within 60 days of the date it was received by the Office of the Dean of the Graduate Division.
B. Content of a Formal Appeal
Formal appeals must be initiated by a written statement indicating the action(s) being appealed and the date(s) the action(s) occurred, the grounds upon which the appeal is based, and the relief requested. The written statement may include a request for a personal appearance before the investigative officer, if desired, and notice to the Graduate Division if the student bringing the appeal will be represented by counsel or other representative. The written statement should also include a description of the results of the appeal at the program level, and any background information that the student deems pertinent to the case. All written material must be submitted prior to the time frames stated in Section 4A. Material submitted after that date might not be considered in the investigation, unless new material or information emerges that was not available prior to the deadline.
C. Procedure for Processing a Formal Appeal
The Dean of the Graduate Division may:
- conduct the investigation and make a decision for final action; or,
- assign an Associate Dean, an ad hoc committee, or another campus official to conduct the investigation and make a recommendation to the Dean for final action.
The Graduate Division will notify the student regarding which individual or committee will be in charge of investigating the Formal Appeal within 14 days of the receipt of the written statement initiating the Formal Appeal.
D. Investigation of a Formal Appeal
Formal Appeals will be investigated according to the following procedures. The individual or committee in charge of the investigation will:
I. consult with the appropriate campus compliance officer regarding all appeals that include allegations of discrimination or harassment on the basis of sex, race, national origin, color, age religion, sexual orientation, or disability (Section 6);
II. forward a copy of the appeal to the individual(s) involved and ask them to provide written responses within 14 days of receipt (the written responses should include notice to the University if the respondents wish to be represented by counsel or other representative);
III. forward a copy of the responses to the student bringing the appeal;
IV. arrange for a personal appearance by the student if requested in the written statement initiating the appeal. The scope of the personal appearance shall be limited to matters that were raised by the written appeal or the responses that are within the jurisdiction of this procedure. The student shall be provided 14 days notice of the time and place of the personal appearance. If the student wishes to be represented by counsel or other representative, the student must notify in writing, at least 7 days prior to the date of the personal appearance. The notice should include the name, title of, and contact information for the counsel or representative. This notice will constitute an authorization to send the representative copies of relevant student records;
V. obtain any other relevant information from other individuals or sources available, including arranging for personal appearances of witnesses as necessary;
VI. prepare a written report setting forth the factual findings of the investigation, and either the final decision made, or the recommendation for the final decision to be made.
E. Final Decision of a Formal Appeal
The Dean of the Graduate Division will notify the student of the Formal Appeal decision within 60 days of the receipt of the written statement initiating the appeal. The decision is final.
F. Standards of Review
When reviewing the validity of an appeal, the standard of review to be employed by the Dean of the Graduate Division shall be under "abuse of discretion" standard. Under this standard, determinations regarding appeal validity will not be reversed unless the Dean of the Graduate Division determines that there was an error in judgement by the Graduate Advisor or Designee, and therefore, there was no reasonable basis for the decision.
When reviewing the determination of the Faculty Hearing Panel, the standard of review to be employed by the Dean of the Graduate Division shall be under an "arbitrary and capricious" standard. Under the "arbitrary and capricious" standard, academic outcomes will not be disturbed unless the Dean of the Graduate Division determines that a previous determination is invalid because it was made on unreasonable grounds or without proper consideration of circ*mstances.
G. Reconsideration
I. Grounds
Students may request reconsideration of a decision made by the Dean of the Graduate Division on the following grounds only:
a. New evidence is discovered which was not available by duly diligent effort at the time the decisions was made, and which materially affects the outcome of the case; or,
b. There is evidence that the Appeal Procedures for Graduate Students described herein were not followed and the failure to follow the procedures resulted in a decision adverse to the student.
II. Procedure and Time Frame for Reconsideration
Students must submit their request for reconsideration in writing to the Office of the Dean of the Graduate Division. The request must be received within 21 days following the date of the notification to the student of the final decision on the Formal Appeal. The Dean or Administrative Committee will notify the student of the final decision concerning the request for reconsideration within 21 days after the request is received.
5. Appeal of Actions Originating Within the Graduate Division
These procedures include informal and formal resolution processes for appeals regarding actions originating within the Graduate Division. Examples of such decisions can be found in Section 1. Students may first attempt an informal resolution with the Dean or Associate Dean of the Graduate Division, described below in Section 5A. If an informal resolution is not feasible, students may formally appeal to the Graduate Council.
A. Informal Resolution
For appeals regarding actions originating within the Graduate Division, the student is strongly encouraged to initiate informal resolution with the Dean or Associate Dean of the Graduate Division. Informal resolution involves further communication among the affected parties, perhaps in the presence of a third party if desired. If a mutually satisfactory resolution cannot be reached through informal means, the appeal may be brought under the Formal Appeal Procedures outlined in Section 5C.
B. Time Frames for Formal Appeal
The formal written appeal must be received by the Graduate Council within 21 days from the time the student knew or could reasonably be expected to have known of the action being appealed, or within 21 days of the notification of the result of the informal resolution process if the student attempted informal resolution through the Graduate Division.
C. Formal Appeal
I. Content of a Formal Appeal
Formal appeals must be initiated by a written statement indicating the action(s) being appealed and the date(s) the action(s) occurred, the grounds upon which the appeal is based, and the relief requested. The written statement may include a request for a personal appearance before the investigative officer, if desired, and notice to the Graduate Council if the student bringing the appeal will be represented by counsel or other representative. The written statement should also include any background information that the student deems pertinent to the case. All written material must be submitted prior to the time frames stated in Section 5B. Material submitted after that date might not be considered in the investigation, unless it was not available prior to the deadline.
II. Procedure for Processing a Formal Appeal
For appeals regarding actions originating with the Graduate Division, the appeal will be referred to the Graduate Council for final action in all matters. The Chair of the Graduate Council, or designated member of the Council, will be in charge of the Council's investigation and final action. The Graduate Council will notify the student regarding which individual will be in charge of processing within 14 days of the receipt of the written statement initiating the Formal Appeal.
III. Investigation of a Formal Appeal
Formal Appeals will be investigated according to the following procedures. Nothing in these procedures shall be interpreted as precluding further attempts at informal resolution before a final decision is made.
The individual or committee in charge of the investigation will:
a. determine the validity of the appeal based on the criteria in Section 2.
b. consult with the appropriate campus compliance officer regarding all appeals that include allegations of discrimination or harassment on the basis of sex, race, national origin, color, age religion, sexual orientation, or disability (Section 6);
c. forward a copy of the appeal to the individual(s) involved and ask them to provide written responses within 14 days of receipt (the written responses should include notice to the University if the respondents wish to be represented by counsel or other representative);
d. forward a copy of the responses to the student bringing the appeal;
e. arrange for a personal appearance by the student if requested in the written statement initiating the appeal. The scope of the personal appearance shall be limited to matters that were raised by the written appeal or the responses that are within the jurisdiction of this procedure. The student shall be provided 14 days' notice of the time and place of the personal appearance. If the student wishes to be represented b counsel or other representative, the student must notify in writing, at least 7 days prior to the date of the personal appearance. The notice should include the name, title of, and contact information for the counsel or representative. This notice will constitute an authorization to send the representative copies of relevant student records;
f. obtain any other relevant information from other individuals or sources available, including arranging for personal appearances of witnesses as necessary;
g. prepare a written report setting forth the factual findings of the investigation, and either the final decision made, or the recommendation for the final decision to be made.
IV. Final Decision of a Formal Appeal
The Chair of the Graduate Council shall notify the student of the final decision on the Formal Appeal within 60 days of the receipt of the written statement initiating the appeal. Decisions by the Graduate Council are not, however, meant to limit the Dean of the Graduate Division's ability to take additional appropriate action with decanal authority (except in cases regarding actions originating with the Dean). For example, for a student whose failure on a qualifying examination had been upheld by the Graduate Council, the Dean could readmit the student or allow a change of major.
V. Standards of Review
When reviewing the determination of the Graduate Division, the standard of review to be employed by the Graduate Council shall be under an "arbitrary and capricious" standard. Under the "arbitrary and capricious" standard, academic outcomes will not be disturbed unless the Graduate Council determines that a previous determination is invalid because it was made on unreasonable grounds or without any proper consideration of circ*mstances.
VI. Reconsideration
a. Grounds - Students may request reconsideration of a decision made by the Dean of the Graduate Division or the Graduate Council on the following grounds only:
- New evidence is discovered which was not available by duly diligent effort at the time the decision was made and which materially affects the outcome of the case; or,
- There is evidence that the Appeal of Actions Origination Within the Graduate Division described herein were not followed and the failure to follow the procedures resulted in a decision adverse to the student.
b. Procedure and Time Frame for Reconsideration - Students must submit their request for reconsideration in writing to the Graduate Council. The request must be received within 21 days following the date of the notification to the student of the final decision on the Formal Appeal. The Chair of the Graduate Council will notify the student of the final decision concerning the request for reconsideration within 21 days after the request is received.
6. Other Complaints
Academic Integrity - Academic Integrity disputes involving graduate students must be resolved using Academic Senate Bylaw 6.5.
Affirmative Action - Consult the compliance office with any concerns.
Age Discrimination - For disputes regarding age discrimination, contact the UCR Compliance Officer.
Disability Discrimination - For disputes regarding disability discrimination, contact the ADA Compliance Coordinator in the Student Disability Resource Center.
Employment - The Academic Personnel Office is charged with resolving disputes involving graduate student academic employment.
Faculty Code of Conduct - For disputes regarding faculty conduct, students may contact the Academic Senate or the Vice Provost of Administrative Resolution.
Grade Appeals - Grade disputes must be appealed under the Academic Senate Bylaw R5, Procedures for the Appeal of Grades.
Ombuds - For other non-academic issues, the student may be referred to the campus Ombuds. The Office of the Ombuds can provide confidential, informational assistance, as a neutral party, toward the resolution of the problem.
Sex Discrimination or Sexual Harassment Complaints - Students with appeals involving allegations of sex discrimination or sexual harassment which would otherwise fall under the jurisdiction of the Appeal Procedures for Graduate Students should attempt resolution under the UCR campus office for Title IX sex discrimination or sexual harassment complaints first. If the complainant is not satisfied with the resolution provided by the Title IX complaint resolution procedures, an appeal may proceed directly to the Formal Appeal Procedure outlined in Section 3B for program level appeals or Section 5C for Graduate Division level appeals. In such cases, any allegations of sexual harassment investigated under the Title IX procedure will not be re-investigated in the Formal Appeal. The individual or committee in charge of the Formal Appeal investigation will rely on the fact-finding report made pursuant to the Title IX sexual harassment complaint resolution procedure. All matters involving academic or administrative decisions that interfere with the graduate student's academic progress (Section 1) are under exclusive jurisdiction of the Appeal Procedures for Graduate Students. The formal written appeal must be received in the Office of the Dean of the Graduate Division within 21 days of the notification of the result of the sexual harassment complaint resolution process.
Student Records, Information and Disclosure - Complaints regarding access to student records and for complaints alleging that student records are inaccurate, misleading, inappropriate or otherwise maintained in violation of student rights to privacy should be referred to the Registrar's Office.
Whistleblower - For disputes regarding whistleblower complaints, including complaints for retaliation, visit the UCR Compliance website.
7. Articulation with Other Campus Procedures
All graduate student appeals that include allegations of interference with academic progress must be brought under the Graduate Appeals Procedure. Once a graduate student has brought an appeal under the Graduate Appeals Procedure, they may not bring the same appeal under any other campus appeal or grievance procedure, until there has been a determination on the Graduate Appeal that the situation is outside the scope of the Graduate Appeals Procedure.
The only exception to this guideline is for complaints including allegations of sex discrimination or sexual harassment, which may be pursued through the Title IX office prior to initiating the Graduate Appeals Procedure.
Graduate Students may have complaints regarding University actions that do not fall within the jurisdiction of the Graduate Appeals Procedure. If a graduate student brings a complaint under a procedure other than the Graduate Appeals procedure, and the complaint is investigated and a decision is made, an appeal regarding the same facts may not be brought again under the Graduate Appeals Procedure unless there are subsequent events that give rise to allegations of interference with academic progress, or unless the complaint was pursued through the Title IX office.
For these limited situations where an appeal may be brought under the Graduate Appeals Procedure after it was brought under another campus complaint procedure, the issues investigated in the first procedure will not be re-investigated pursuant to the Graduate Appeals Procedure. Rather, the Graduate Appeals Procedure will provide a decision with regard to the allegations of interference with academic progress based on the factual findings of the prior procedure.
Appeals brought under the Graduate Appeals Procedure may include allegations of serious misconduct by University students, staff, or faculty. Neither the Dean of the Graduate Division nor the Graduate Council has jurisdiction under these procedures to impose discipline in cases of alleged misconduct. In such cases, the aspects of the case that fall within this procedure will be resolved. Any allegations of student, staff, or faculty misconduct will be referred to the appropriate disciplinary procedure for investigation and action where warranted.
