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Grievance Procedure for Students

January 8, 1999 Archived Version (Effective January 8, 1999 through May 28, 2000)

REG 11.40.1

Student Grievances

Authority: Issued by the Chancellor.  Changes or exceptions to administrative regulations issued by the Chancellor may only be made by the Chancellor.

History: First Issued: January 8, 1999. Endorsed by the University Council, December 14, 1998. Additional History Information.

Related Policies: Board of Trustee Policy 41.04 - Uniform Student Grievance Procedure.

Contact Info: Associate Vice Chancellor for Student Affairs (919 515-7117)

An action or decision is grievable only if it involves a misapplication or misinterpretation of University policy or of law. Grievances may not be used to challenge policies or procedures of general applicability. In addition, this procedure may not be used to grieve:

1. claims based on purchases or contracts;
2. claims against an employee on matters that are unrelated to the employee's job or role at the University;
3. disciplinary decisions, since there is a separate procedure (administered by the Office of Student Conduct) for them; or
4. where another University procedure could have been used for the matter being grieved (e.g., residency appeals).
   
   
2. Who may grieve: The procedures set forth below may be used by grievants who are enrolled as NC State students, or who are participating in an NC State-sponsored educational event, at the time of the incident being grieved. Additionally, applicants for admission may grieve the admissions decision under this procedure. The person filing the grievance must be the victim of unfair treatment; a grievance cannot be filed on behalf of another person.
3. Other remedies: The existence of this procedure does not bar grievants from also filing claims in other forums to the extent permitted by state or federal law.
   
   
4. Time limits: The formal resolution process described below must be initiated within 60 days of the decision, action, or events giving rise to the grievance.
5. Informal resolution, generally: The grievant should first discuss the issue with the person(s) responsible for the action or decision being grieved, and with that person's supervisor, if feasible. This is not required in cases where the grievant believes that efforts at informal resolution may result in retaliation or other unfair treatment. The parties may also confer with the Division of Human Resources about the use of mediation as part of an informal resolution process. The dean or vice chancellor should refrain from any participation in the informal resolution effort to preserve his or her role as a neutral decision-maker in the formal process.
6. Informal resolution, civil rights grievances: If a student believes his or her civil rights have been violated, s/he should notify the NC State Office for Equal Opportunity. The Office for Equal Opportunity may discuss the issue with all parties and attempt to facilitate an informal resolution. The Office for Equal Opportunity shall make efforts to resolve the issue as soon as practical, and shall maintain a record of all communications and documents. This record shall be kept confidential to the extent required and allowed by federal and state law.
7. Formal resolution - Step One: If informal resolution is not successful, the student may file a grievance by sending a request for hearing along with the following information to the dean or vice chancellor with supervisory authority over the person(s) named in the grievance as causing harm to the grievant. The grievance must (i) be in writing, (ii) state how the decision or action is unfair and harmful to the grievant and list the University policies or state or federal laws that have been violated, if known, (iii) name the respondent parties (the persons against whom the grievance is filed), (iv) state how the respondents are responsible for the action or decision, (v) state the requested remedy, and (vi) state whether the grievant will bring an observer to the hearing and, if so, whether the observer will be an attorney.  

If it is clear on the face of the written grievance that the grievance has not been filed within the time limit, or pertains to a matter not grievable under this procedure, or is from a person without grievance rights under this grievance, the dean or vice chancellor shall so indicate in a letter to the grievant. Otherwise, within ten University business days, the dean or vice chancellor, or a designee, shall appoint a panel of three persons to hear the grievance and shall provide them with a copy of these procedures and the written request for hearing. Panel members shall include two students and one faculty or staff member who is not part of the same office or immediate administrative unit as the respondent(s).

If the respondent is a dean or vice chancellor, the grievance process should be administered by the chancellor or designee.

Panel members should have no personal interest in the outcome of the proceeding, and should not have any personal involvement in earlier stages of the matter.

8. Confidentiality: Panel members, witnesses, parties, and all other persons involved in the grievance proceeding are expected to maintain strict confidentiality regarding the proceeding. State and federal laws govern the privacy rights of students and employees. Any questions about the disclosure of information should be directed to the panel in writing, and the panel may consult with the Office of Legal Affairs.
9. Ex parte contacts: Once a hearing (formal resolution) has been requested, there should be no ex parte communication between parties and panel members concerning the merits of the case. An ex parte contact or communication is one-sided -- it occurs when one person shares information with a panel member without including all other parties. To prevent this from occurring, all communications that (a) occur outside the recorded hearing, and (b) are between one or more parties and one or more panel members, should be in written form and distributed simultaneously to all parties and panel members. Discussion of the merits of the case or presentation of evidence outside the hearing should be avoided. The rule against ex parte contacts also applies to communication with the final decision-maker and everyone who is responsible for deciding appeals.
   
   
10. Formal resolution - Step Two: The panel shall meet, elect a chair, and send the grievant's hearing request to the respondent(s), all within ten University business days of being appointed. The panel shall offer respondent(s) an opportunity to provide a written response to the allegations within ten University business days to the panel chair. The panel may also instruct the parties that they have ten University business days to provide each other with (i) copies of any exhibits they wish to introduce as evidence, and (ii) a list of witnesses that each party will call. However, the parties should not provide such materials to the panel members except in the hearing. The panel may extend the deadlines for submitting a response and for exchanging proposed exhibits upon a showing of good cause.
    
    
11. Formal resolution - Step Three: The panel shall notify the parties of the hearing date, time, and place at least ten University business days in advance of the hearing. (The panel may schedule additional days for hearing, if needed, after the hearing is underway, so long as all parties receive reasonable advance notice of the additional dates.) The response to the grievance must be distributed to all parties at least ten University business days prior to the hearing.

The hearing must be tape recorded so that all persons can be clearly heard, or recorded by a court reporter.

Each party may choose to have one observer present who is not a witness. Observers may not provide representation or otherwise participate in the proceeding, but may speak to their respective parties off the record so long as it does not interfere with the hearing. However, students may have attorney representation in hearings required by the Family Educational Rights and Privacy Act.

The panel may request procedural advice from an attorney in the Office of Legal Affairs. If the grievant has an attorney as an observer, the respondent(s) may request an attorney from the Office of Legal Affairs, other than the one advising the panel, to act as their observer. Respondents may not otherwise have an attorney for their observer. Availability of attorneys from the Office of Legal Affairs is subject to staffing levels and conflicts.

The panel has the authority to rule on procedural matters not otherwise addressed in University policies and procedures. The panel may decline to consider evidence for reasons of excessive redundancy, immateriality, irrelevance, and other good cause. Formal rules of evidence will not apply, and the panel may consider any evidence it believes to be relevant and reliable.

Each party may make an opening and closing statement (grievant first and respondent second in opening; grievant first, respondent second, and grievant last in closing) of a time duration to be determined by the panel. After any opening statements, the grievant shall present his/her testimony and exhibits, and present any witness testimony. The respondent(s) shall have an opportunity to ask questions of the grievant and witnesses. The next step is for the respondent(s) to present any testimony, exhibits, and witnesses, to be followed by questioning from the grievant. Rebuttal and other follow-up testimony is at the discretion of the panel. Panel members may ask questions or request additional information, documents, or witnesses at any time prior to adjournment.

12. Formal resolution - Step Four: The panel shall compile an official record of the proceeding that includes a copy of all correspondence with the parties, all evidence submitted to the panel (documentary evidence that the panel declined to consider must be so marked and segregated), the recording or transcript of the hearing, and anything else considered by the panel in reaching its recommendation. The panel shall write a report that addresses and resolves all material factual issues in dispute, that states a conclusion as to whether the student was subjected to misapplication or misinterpretation of University policy or state or federal law, and if so recommends remedies as appropriate. The report and official record shall be delivered to the vice chancellor or dean who appointed the panel, with copies of the report to be sent to the parties, within sixty calendar days after the hearing. A dissenting panel member may file a minority report at the same time.
13. Formal resolution - Step Five: The vice chancellor or dean (or designee) who appointed the panel shall issue a written decision within twenty University business days of receipt of the panel's report and official record. The decision may either adopt the panel report in whole, modify it in part, or reject the report and reach different findings or conclusions for reasons expressly stated. This decision shall be sent to the parties (certified mail return receipt, or personal delivery with a signed and dated receipt, to the grievant) and may be shared with the panel members.
14. Appeal routes: Graduate students (including those in Veterinary Medicine) may appeal grievance decisions to the Graduate School pursuant to the procedures of the Graduate School. Appeals from decisions of the Graduate School and from decisions of all deans and vice chancellors not involving a graduate student are subject to the following procedures.

Once a decision has been issued by the appropriate dean or vice chancellor, or an appeal has been decided by the Graduate School, that decision may be appealed as follows.

A.     Grievances over receipt of academic degrees or assignment of grades may be appealed to the Chancellor, then to the NC State Board of Trustees. The decision of the Trustees shall be the final level of appeal. (UNC Code, Appendix 1, part III.)

B.     Grievances over admissions decisions may be appealed to the Chancellor, then to the NC State Board of Trustees. The decision of the Trustees shall be the final level of appeal. (UNC Code, Appendix 1, part VIII.)

C.     Grievances over matters of student conduct, activities, or government may be appealed to the Chancellor, then to the NC State Board of Trustees. (With respect to student conduct, note that this grievance procedure does not apply to disciplinary decisions.) The decision of the Trustees shall be the final level of appeal, unless it is alleged that the policy, action or decision being appealed violates any law or constitutional provision of North Carolina or of the United States, the University Code or policies of the Board of Governors, in which case the appeal may proceed as set forth in "D" below. (UNC Code, Appendix 1, part XII.)

D.     All other grievances may be appealed to the Chancellor, then to the NC State Board of Trustees, then to the UNC Board of Governors if the appeal is based on violations of the policies, rules, or regulations of the Board of Trustees. (UNC Code, section 501 C(4)).

E.      All other grievances may be appealed to the Chancellor, then to the UNC President, then to the UNC Board of Governors. (UNC Code, section 501 C(4)).



15. Appeal procedures: The aggrieved party may appeal the decision of a dean or vice chancellor or the Graduate School by delivering written notice of appeal to the chancellor's office, with a copy to the dean or vice chancellor, within ten University business days after receipt of the decision. Appeals received more than ten days after the decision was received (or delivery of the decision was attempted) will not be allowed and the decision made by the vice chancellor or dean shall be final.

Written notice of appeal must (i) identify the parties, (ii) provide a brief statement of the grounds for appeal, which at minimum should contain a list of alleged errors in the decision or decision-making process, (iii) to the extent possible, state which law(s), UNC Code section(s), or Board of Governors policy(ies) has been violated by each of the alleged errors, (iv) indicate what remedy is requested, (v) be signed by the appellant and dated, and (vi) include a copy of the decision being appealed.

Once notice of appeal has been delivered, the responsible dean or vice chancellor shall forward the record of the case to the University's general counsel. The record shall consist of all information considered in the decision-making process (see part 12 above), the panel's recommendation, and the decision(s) of the dean(s) or vice chancellor. The record shall be compiled in chronological order to the extent feasible, and shall include a table of contents for ease of reference. The University's general counsel will forward the record to the chancellor.

The chancellor may ask the parties to submit written statements of their positions for purposes of appeal. The chancellor will render a decision based on review of the record of the case and any written appeal statements submitted by the parties at the Chancellor's request. There is no right to a hearing or oral presentation in appeals.

Appeals to the NC State Board of Trustees shall be governed by Trustee policy 01.02 and such other procedures as the Trustees may specify. Appeals to the President and the Board of Governors shall be governed by such procedures as they specify.

16. Modification: The vice chancellor, dean, or chancellor may approve modification of the foregoing procedures in a particular case if the modification (a) is for good cause, and (b) does not violate due process rights, policies of the NC State Board of Trustees, or policies and rules of the University of North Carolina.