F. Departmental Advising and Notification of Academic Progress

• Academic Probation
• Academic Disqualification
• Academic Integrity
• Personal Conduct
• Procedures of Graduate Student Disputes
• Tips for Resolving Grievances Formally
• Formal Stages of Appeals

 

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Departmental Advising and Notification of Academic Progress

Departments are required by the Graduate Council to develop and distribute written materials to new and continuing students covering two vital areas: the department's academic requirements and policy governing teaching assistants. Departments should review these materials annually to ensure that the materials are up-to-date, accurate, and complete. Graduate advisors and graduate program assistants help explain the department's written materials to students. The Graduate Division can provide assistance to departments by furnishing examples of model policies.

Early, consistent and close communication between students and their graduate mentors and/or advisors will provide clear guidance on how to successfully complete departmental degree requirements and matriculate through the program. It is essential that students receive timely and regular evaluations and feedback about their academic progress.

The Graduate Council and the Graduate Division ask that every department:

• Annual Review by faculty of all graduate students' progress in order to identify problems, and encourage timely and successful degree completion.
• Unsatisfactory Progress : Early notification of unsatisfactory progress should be provided verbally and in writing .
• Written notification should clearly delineate the nature of the unsatisfactory performance and outline steps to be taken by the student to achieve satisfactory progress.
• Expected timeline for the achievement of satisfactory progress should be provided. The intention of the departmental notification of unsatisfactory progress is to provide the student with a period of time ( at least one quarter ) during which the student may make the necessary academic improvements.
• Expectations for improvement must be reasonable and consistent with expectations held for all students in the program.
• NOTE: Departments are urged to let the Graduate Division know of cases where a student is slowed by medical or family difficulties, or is having difficulty making adequate academic progress.

The Graduate Division will place students on academic probation upon recommendation from departments. The Graduate Division will also compile statistics regarding student progress, provide data to each department on a regular basis, and discuss any apparent anomalies with departments. The Graduate Division makes available to departments online the names of students who have exceeded time-to-degree deadlines; these confidential lists are available on GradNET (personnel only). Departments are asked to review these lists quarterly to identify students who have experienced a medical or family emergency or other extraordinary circumstance, and for whom a recalculation of degree time limits would be in order. Departments are also asked to identify students who have quit their graduate studies and request the closure of their degree objectives. Questions concerning time-to-degree requirements and monitoring can be directed to academics@graddiv.ucsb.edu.

Sometimes students struggling with academic difficulties are dealing with issues outside of the academic realm that may be contributing to their unsatisfactory academic performance. Students are encouraged to utilize the campus resources and staff who have expertise in graduate studies. Staff are trained to help students work through these challenges and complete their academic programs successfully.

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Academic Probation

When a student fails to meet one or more of the academic expectations for performance and progress, the department may recommend to the Graduate Dean that the student be placed on academic probation. Students are usually placed on probation for at least one regular academic quarter (fall, winter, or spring) prior to academic disqualification. Only the Graduate Dean may dismiss a student or place a student on official academic probation.

Official academic probationary notice will include a delineation of the nature of the unsatisfactory performance and an outline of steps to be taken by the student to achieve satisfactory progress. An expected timeline for achievement of satisfactory progress should be provided.

The purpose of placing a student on probation is to allow the student time to correct deficiencies. As soon as possible after the final posting of grades, the Graduate Dean will send out probationary notices for failure to maintain a cumulative GPA of at least 3.0 and for repeated instances of excessive units of unfinished coursework. For other types of academic probation, the probationary notice is sent to the student following recommendation of probation by a department. The departments are sent copies of these letters. Confidential departmental probation reports are also available on GradNET (personnel only). When the academic deficiency is remedied by the deadline specified in the probationary notice and the student is returned to good academic standing, the department needs to notify the Graduate Division as soon as possible. If the academic deficiency is not corrected by the deadline, the student is subject to academic disqualification. However, any recommendations for academic disqualification will involve consultation with the Graduate Dean and department.

Students who are placed on academic probation become ineligible to receive centrally administered fellowship support or to hold an academic appointment (i.e., TA, GSR, Reader) effective the quarter of probation.

Probationary procedures depend on the academic problem:

•  Failure to maintain a cumulative GPA of 3.0 in a given quarter A student who fails to maintain a cumulative GPA of 3.0 in a given quarter is automatically placed on academic probation and sent a written notice to that effect by the Graduate Dean, with a copy sent to the academic department. When the sub-standard cumulative GPA occurs for a second quarter, the student's graduate advisor is consulted by the Graduate Dean and asked to recommend and justify (a) continued academic probation or (b) academic disqualification.

•  Failure to establish a GPA A student who fails to take courses for a letter grade results in a zero GPA. The student and department are sent an advisory letter from the Graduate Division that should this occur for a second quarter, the student will be automatically placed on probation. If a zero GPA occurs for a third quarter, the student's graduate advisor is consulted by the Graduate Dean and asked to recommend and justify (a) continued academic probation or (b) academic disqualification.

•  Excessive units of unfinished coursework A student with excessive units of unfinished coursework-defined as 12 or more units of Incomplete (I), No Grade (NG), or No Record (NR)-is sent an advisory letter from the Graduate Dean the first quarter this occurs. When the excessive units of unfinished coursework occur a second quarter, the Graduate Dean places the student on academic probation and sends the student a written notice to that effect. When the excessive units of unfinished coursework occur for a third quarter, the student's graduate advisor is consulted by the Graduate Dean and asked to recommend and justify (a) continued academic probation or (b) academic disqualification.

•  Failure to meet time limits for advancement to doctoral candidacy Students admitted to doctoral degree programs have four years to advance to doctoral candidacy. Students may be placed on probation if they do not make sufficient progress or fail to pass their qualifying exams. At the end of the first quarter of probation and in any subsequent quarters during which the student is not yet advanced, the student's Graduate advisor may recommend to the Graduate Dean academic disqualification or continued academic probation.

•  Failure to meet the time limit for completion of the master's or doctoral degree Students admitted to a graduate degree program are given four years to complete the master's degree and seven years to complete the doctorate. Students may be placed on probation if they do not make sufficient progress. At the end of the first quarter of probation and in any subsequent quarters during which the degree is not yet completed, the student's graduate advisor may recommend to the Graduate Dean academic disqualification or continued academic probation.

•  Failure to meet standards of scholarship When a student fails to pass master's exams, doctoral screening, or qualifying examinations, cannot form a master's thesis or doctoral committee, or fails to meet other departmental or University standards, the department chair or graduate advisor can recommend academic probation or academic disqualification to the Graduate Dean. In the case of doctoral students, the department may recommend that a student leave with a terminal master's degree.

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Academic Disqualification

Only the Graduate Dean may disqualify a graduate student for academic reasons. Students who have been disqualified for academic reasons are not eligible to register for future quarters unless the Graduate Dean readmits them.

Graduate students become subject to academic disqualification if:

• below 3.0 cumulative GPA occurs for a third quarter;
• excessive units of unfinished coursework occur for a third quarter;
• the four-year time limit for advancement to doctoral candidacy is exceeded and one quarter's academic probation has not resulted in adequate progress;
• the four-year time limit for completion of the master's degree is exceeded and one quarter's academic probation has not resulted in adequate progress toward degree completion;
• the seven-year time limit for doctoral degree completion is exceeded and one quarter's academic probation has not resulted in adequate progress toward degree completion; or
• the other standards of scholarship outlined above are not maintained.

In all cases, either the student's department chair or graduate advisor is consulted and asked to recommend action (initial or continued academic probation, or academic disqualification). Normally, the graduate advisor will discuss a particular student's situation with a faculty member familiar with the student's work. If the department considers recommending academic disqualification (i.e., dismissal on academic grounds), it must inform the Graduate Dean in writing of the reasons for its recommendation and demonstrate that the student has received, in writing, advance warning of problems, time to attempt improvement, and due process in evaluations. A recommendation to disqualify a student is a serious matter, one that should involve the graduate affairs committee if the department has one or, at a minimum, the department chair and graduate advisor. The Graduate Dean may meet with the student before a final decision concerning academic disqualification is made.

After fact-finding is completed, the Graduate Dean may issue a letter informing the student of academic disqualification and the academic grounds upon which disqualification occurred, with copies to the department. A copy of procedures for appeal is included with the Graduate Dean's letter to the student. The Graduate Dean's letter is sent to the student by certified mail using the most current address on file with the Office of the Registrar or student's department. The Graduate Dean's letter will indicate the date disqualification is to take effect. The student will be prevented from registering for future quarters. The notation "academically disqualified" is added to the student's transcript.

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Academic Integrity

Students are expected to abide by the University of California 's policy on academic integrity. Any work submitted to fulfill an academic requirement must represent the student's original work. Students will be subject to University disciplinary action should they be found to have committed any act of academic dishonesty, including cheating or plagiarism. More information about policies and regulations is available from the Office of Student Life Campus Regulations Applying to Campus Activities, Organizations, and Students. Questions concerning any violation of academic integrity should be directed to Stephan Franklin, Assistant Dean of Students, Office of Judicial Affairs in the Office of Student Life, Student Resource Building 2260, (805) 893-4467.

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Personal Conduct

Students registered in the University of California have an obligation to act in a manner compatible with the University's function as an educational institution. Graduate students are responsible for meeting not only the academic standards outlined above, but also standards for personal conduct and responsibility outlined in the General Catalog and Schedule of Classes. More information about polices and regulations is available from the Office of Student Life, Campus Regulations Applying to Campus Activities, Organizations, and Students.

Instances of possible misconduct on campus should be reported immediately to the Office of Judicial Affairs located within the Office of Student Life, Student Resource Building 2260, (805) 893-4569, and to the UC Santa Barbara Campus Police (emergency from on-campus phone: 9-911) particularly if violent or threatening actions are involved. Questions about matters involving personal conduct and responsibility should be directed to Stephan Franklin, Assistant Dean of Students, Office of Judicial Affairs, in the Office of Student Life, SRB 2260, (805) 893-4467.

Alleged violations of University regulations are investigated by appropriate officials. Charges of student misconduct are investigated by the Office of Student Life and may result in the convening of a disciplinary hearing by the student-faculty committee responsible for such matters.

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Procedures for Graduate Student Disputes

While it is the goal of the University that all individuals are treated fairly, there are times when a graduate student may feel that s/he has been treated unfairly or that his/her rights have been violated.

As in all such disputes, involved parties should, in the spirit of collegiality, attempt to resolve these issues internally. University policy strongly encourages all students to use all appropriate avenues for informal resolution before initiating a formal grievance. If you have a grievance you should first talk to the individual concerned. If it is not possible to talk with that person (he or she is unavailable, you feel uncomfortable, etc.), you should talk to other members of the University community.

It is best to start within your department with faculty, graduate faculty advisors, or the department chair to resolve issues. Once within-department resources have been exhausted, staff members at the Graduate Division or the Office of the Ombuds, Priscilla Mori, Campus Ombuds, Girvetz Hall 1205-K, (805) 893-3285, may help guide you toward other avenues of dispute resolution.

Students often feel uncomfortable raising these issues and wait until it is too late. It is best to raise your concerns as soon as you have them so that they can be addressed early.

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Tips for Resolving Grievances Informally

•  Be Clear About Your Grievance Your grievance should be about a specific action or actions, a specific decision or decisions. If possible, you should collect some written evidence to support your case.

•  Address the Issue Early Graduate students sometimes feel uncomfortable talking about issues with faculty. Despite potential discomfort discussing issues of conflict or concern with faculty, it is best to address any concerns early. Many grievances that started out small tend to grow out of proportion and become far more complicated because they were not quickly addressed. For example, if there is a concern about feedback received on a paper, talk to the professor as soon as you can. The longer you wait, the more difficult it is to remedy a situation. An early discussion will help you understand the professor's expectations and hopefully clarify any miscommunication.

•  Get Advice Many staff and faculty within the University are available to provide information and advice that can help clarify which procedure to use for any particular issue. It is a good idea to talk to someone before going ahead with a grievance, even informally. Knowing the right process will help to resolve it quickly. Talking to someone who is not involved in the issue can also help you to clarify what the grievance is and how you would like it resolved. An uninvolved person may also help you to gather any relevant information, and in some cases will be able to go with you to any meetings you have to discuss your concern with the people involved.

•  Be Clear About What You Want Just as it is important to be clear about your grievance, it is also important to be clear about what would resolve it. Knowing what you need for the issue to be resolved will help you frame the conversation. The resolution you are seeking should be reasonable and appropriate. Grievances that are resolved quickly, and with the least stress to everyone, are usually those in which the expected outcome has been realistic and relevant to the grievance.

•  Take a Support Person Many of the University's procedures include the right to have a support person with you at meetings and hearings, and it is generally accepted as good practice. You should clarify with the staff member before any meetings just what role the support person is able to play. You are usually expected to present your own case, but the support person can be helpful in clarifying issues and in summarizing what has been agreed.

•  Get Things in Writing It is hoped that most student grievances will be resolved informally. Even so, it is often a good idea to avoid confusion by putting agreements and/or resolutions in writing at the end of the informal process. If the issue has been resolved, for example, it is a good idea to exchange emails with the person concerned to confirm that you are in agreement.

Attempts to resolve the dispute should be completed within 60 days. If the student decides to pursue a formal grievance, this must generally be done within 60 days regardless of the progress of informal processes.

Adapted from the University of Melbourne's Student Grievances Policy and the University of Iowa's Academic Grievance Procedure.

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Formal Stages of Appeals

Although most students proceed without difficulty through their graduate degree programs, others may experience difficulties with another student, faculty member, staff member, supervisor or with departmental rules and/or procedures. Disagreements about progress in a program, research, and intellectual property also may be of concern. Because graduate students may hold several roles (e.g. instructor and graduate student), different University rules and regulations, each with its own set of procedures for resolving complaints or grievances, may be applied. It is important to note that those various formal procedures may have different time frames within which the complaint must be filed.

When it is not possible to solve a problem through informal means, a formal grievance policy process is available to guide an orderly process of resolution. The following section is designed to provide graduate students with a delineation of the steps necessary to initiate both informal and formal complaints.

Procedures for an Academic Grievance Between a Student and Members of a Thesis or Dissertation Committee
If the student feels that she or he is unable to resolve the issue informally or if areas of disagreement still remain after pursuing an informal resolution, a written appeal describing the situation and requesting involvement should be addressed within 14 working days to the department chair. If the chair is a member of the committee, the appeal should be made to the graduate advisor; if a conflict of interest is also present there, the appeal should be made to the chair of the committee responsible for departmental graduate affairs.

The department should act to resolve the issue or declare it irresolvable and inform the student in writing within 30 working days.

If the dispute cannot be resolved within the department, or if the student finds the department's resolution unacceptable, the student may appeal to the Graduate Dean, who will attempt further resolution. This appeal must be made in writing within 14 working days of the department's decision.

If the Graduate Dean is unable to resolve the dispute to the parties' satisfaction within 30 working days, the graduate student has 14 working days to submit a written appeal to the Graduate Council. The Graduate Council must inform the student of its decision within 30 working days. In this area, decisions of the Graduate Council are final.

Procedures for an Academic Grievance Between a Student and Members of a Thesis or Dissertation Committee

Source: UC Santa Barbara Divisional Academic Senate - Divisional Bylaws and Regulations

Appendix V: Student Appeals Procedures

Procedures for Grade Appeal

1. If after speaking to the faculty member in charge of the course and department chair, a student wishes to contest a grade on such grounds, he/she must present a written appeal to an official designated by the Executive Committee, usually the Dean of Undergraduate Studies (or equivalent) of the appropriate school(s) or college(s) offering the undergraduate course or the Graduate Dean in the case of a graduate course (hereinafter, "the dean(s)"). This appeal must be submitted before the end of the term following the term in which the grade was assigned. Upon receipt of this appeal, the dean(s) shall promptly seek to resolve the issue by consulting the parties involved and the chair of the instructor's department. If the chair was the instructor involved he/she shall not participate in these deliberations in any way except as one of the parties. In such cases, the dean shall proceed to attempt to resolve the dispute independently. If the dean was the instructor involved, he/she shall not participate in these deliberations except as one of the parties. In such cases, the immediate supervisor of the dean(s) shall recommend to the Executive Committee an appropriate alternate for the dean. If the complaint is resolved, the dean(s) shall provide a letter describing the resolution to the student(s), instructor(s), and chair(s) involved.
2. If these efforts are unavailing within 30 days following receipt of the student's initial written complaint by the dean(s), the student may within the next 15 days present a final written appeal to the Executive Committee(s) of the respective college(s) or the Graduate Council, a copy of which shall also be given to the dean(s). If a member of the Executive Committee or the Graduate Council was the instructor involved, that person shall not participate in the case in any way except as one of the parties. As soon as feasible, the dean(s) shall prepare a report for the Executive Committee or the Graduate Council providing the details of (i) the prior investigations, including information as to the allegations and the evidence produced by the student to establish the case; (ii) the instructor's response to the student's allegations; (iii) all other information the dean may have gathered in the course of the investigation that bears on the credibility of the student's complaint. Copies of the dean's report shall be sent to the instructor and the student, both of whom submit written comments to the Executive Committee/Graduate Council within 30 days of receipt of the dean's report. Having granted both parties a reasonable opportunity, the committee shall make a final determination within 60 days after receipt of the complaint. Should the dean's investigation tend to demonstrate a pattern of faculty misconduct extending beyond the particular case, the dean shall inform the Executive Committee/Graduate Council which is then responsible for assuring that appropriate corrective actions are taken including but not limited to grade changes as specified in (C) below and referral of the case to other appropriate committees and agencies.
3. If the Executive Committee/Graduate Council decides that the grade (or units) assigned is (are) not reflective of the student's course performance, it shall authorize one of the actions stated below.

The Committee/Council may act only as follows:

1. Authorize retroactive withdrawal from the course;
2. Authorize a change of contested grade;
3. For courses offered in the College of Creative Studies, the Executive Committee shall determine the number of units to be assigned.

The Committee/Council shall report its decision to the Registrar for recording. (Am 6 March 97 Am 2 Nov 00)

Procedures for Appeal of Academic Disqualification for Graduate Students

1. Within 30 days after the date of the notice of academic disqualification, the student may submit a formal written appeal to the Graduate Dean with a corresponding copy to the Chair of the relevant department(s). The student's appeal must cite an appropriate cause for consideration of the appeal and state specific and succinct reasons the student believes the decision should be overturned. The following are examples of "appropriate cause" for an appeal of academic disqualification:
1. procedural error;
2. judgments based upon non-academic criteria;
3. specific mitigating circumstances contributing to performance; or
4. substantial evidence of remedied performance or progress toward the degree.

Disagreements over evaluation of academic quality will not be considered an appropriate basis for such appeals.

2. Within 30 days of receipt of a student's appeal, the Graduate Dean will seek written input from the Chair of the relevant department. Based upon the appeal and this information, the Graduate Dean may seek to meet with the student. If there is good reason to overturn the disqualification, the student will be allowed to continue on probation until such time as the student meets all standards of scholarship or is returned to good academic standing.


3. If the Graduate Dean decides to uphold the academic disqualification after step B, the student has 14 days to submit a written appeal to the Graduate Council via the Graduate Division. The appeal can be based only on the existing academic record. All relevant information will be forwarded to the Graduate Council, and the Graduate Dean will inform the student that the appeal has been referred to the Graduate Council for further review. Within 60 days of the referral from the Graduate Dean, Graduate Council will either issue a written recommendation that the Graduate Dean's decision be overturned or let stand the Graduate Dean's decision. Taking Graduate Council's recommendation into consideration, the Graduate Dean will respond to the student in writing by certified mail within 7 days, upholding or overturning academic disqualification. In cases where academic disqualification is overturned, the Graduate Dean may reinstitute probationary status until such time as the student meets all standards of scholarship and can be returned to good academic standing.

Other Grievances
The following list includes other types of problems that may be encountered and the agencies which the student may ask for assistance:

Research
Issues of intellectual property, problems specific to research, conflict of interest, conflict of commitment, any other research integrity matter.

• After consulting with your mentor, graduate advisor, or department chair, the student may consult with Assistant Dean Christian Villaseñor in the Graduate Division, (805) 893-2013.

Teaching Assistant or Associate Employment

• After consulting with your mentor, graduate advisor, or department chair, the student may consult with Suzanne Forrester, College of Letters and Science, (805) 893-7217.

Research Assistant Employment

• After consulting with your mentor, graduate advisor, or department chair, the student may consult with Assistant Dean Christian Villaseñor in the Graduate Division, (805) 893-2013.

 Problems (Conduct) with Faculty Advisors or Committee Members
For grievances involving professional misconduct on the part of Academic Senate faculty (tenured professors, associate professors and assistant professors), complaints may be filed under the University Policy on Faculty Conduct and the Administration of Discipline.

•  Academic Personnel Manual (APM-016):
http://www.ucop.edu/acadadv/acadpers/apm/apm-016.pdf
•  Copies of this policy are available in the Academic Senate Office, Girvetz Hall 1230.

Sexual Harassment
UC Santa Barbara policy specifically prohibits sexual harassment and provides a grievance procedure for this form of discrimination in Sexual Harassment Policy and Procedure (Policy 1035).

•  Copies of the Policy on Sexual Harassment and Procedures for Responding to Reports of Sexual Harassment are available at the Office of Equal Opportunity and Sexual Harassment/Title IX Compliance and can also be found at: http://www.shot9.ucsb.edu/. For more information or questions about issues of sexual harassment you may contact the Sexual Harassment Officer at the Office of Equal Opportunity and Sexual Harassment/Title IX Compliance at (805) 893-2701 or you may contact the Women's Center at (805) 893-3778 or at http://www.sa.ucsb.edu/women'scenter/index.aspx .

Other Discrimination
UC Santa Barbara is in compliance with all legislation which seeks to eliminate discrimination toward students. Titles VI and VII of the Civil Rights Act of 1964 prohibit discrimination on the basis of race, color, national origin, and religion. Title IX of the Educational Amendments of 1972 prohibits discrimination on the basis of sex. Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act of 1990 prohibit discrimination on the basis of disability. Policy action by the Regents of the University of California prohibits discrimination on the basis of age and sexual orientation.

Any student who wishes to file a grievance arising from alleged discrimination (other than a contested grade) must do so at the Office of the Vice Chancellor-Student Affairs, (805) 893-3651, Cheadle Hall 5203.

Additional Resources
Kiosk: UC Santa Barbara Student Handbook :
http://kiosk.ucsb.edu/StudentGrievances/GeneralInformation.aspx