Graduate Student Appeals Process

I. Rationale

The purpose of this document is to outline procedures for an appeal and to specify recourse available to graduate students who believe that decisions have adversely influenced their progress in graduate school, including decisions regarding the termination of a graduate assistantship. It is the intent of Ball State University to address and resolve fairly and expeditiously appeals of graduate students at the lowest possible level. Students should refer to the Code of Student Rights and Responsibilities for more information.  

II. Parties in the Appeal

The two parties in the appeal process shall include the appellant and the decision makers representing the unit having made the original adverse decision to be appealed, hereafter referred to as the “decision makers.” 

III. Basis for an Appeal

Graduate students may appeal adverse decisions impacting their progress toward a graduate degree. There are three permissible reasons to request an appeal:

•  Allegation of violation of approved departmental, collegiate, and/or university policies, including those set forth in the Graduate Catalog.  
•  Allegation of unfair treatment on the part of the decision makers.
•  Allegation of discriminatory treatment on the part of the decision makers.

This appeal procedure is not to be used for academic decisions rendered by a program that can be properly judged only by specialists with content-area expertise, including but not limited to a determination if a student’s performance on an examination, a dissertation proposal, or a dissertation is satisfactory. This procedure also should not be used in place of any existing appeal procedure regarding certain academic decisions, including but not limited to decisions rendered pursuant to the Student Academic Ethics Policy and decisions made pursuant to the Student Code. Grade appeals should be conducted according to the process outlined in the university Grade Appeal Policy. 

When an appellant alleges violation of approved departmental, collegiate, or university policies, including those set forth in the Graduate Catalog, then they must cite the specific policies  the decision makers failed to follow. When filing an appeal, the appellant must also provide a summary of the way(s)  the policies were violated and how such violation(s) adversely affected the appellant.

Unfair treatment is defined as decisions that are arbitrary or capricious or are clearly not supported by the evidence. When an appellant alleges unfair treatment on the part of the decision makers, then they must cite the specific treatment engaged in by the decision maker. When filing an appeal, the appellant must also provide a summary of the reasons why the decision in question was clearly not merited by the evidence available to the decision makers and must also attach to the summary specific and detailed evidence in support of the reasons listed in the summary.

Discriminatory treatment is defined as decisions based upon constitutionally or statutorily prohibited reasons, including unlawful discrimination. When an appellant alleges discriminatory treatment on the part of the decision maker(s), then they must cite the specific treatment engaged in by the decision maker(s). When requesting an appeal, the appellant must also provide a summary of the prohibited reasons upon which they believe the decision was based. These prohibited reasons are contained within the Ball State University anti-discrimination policy. The appellant must provide a detailed summary of the evidence that supports the appellant’s allegation.

When a request for reconsideration or appeal is filed that alleges discriminatory treatment on the part of the decision makers, a representative from the Office of Employee Relations shall serve in an advisory capacity to the committee or hearing panel at each level of appeal.

IV. Actions of the Appellant

Appeals must be considered first at the departmental (if no appropriate department, appeal goes directly to the college) and college level before being forwarded to the Graduate Education Committee (GEC). Graduate students must initiate an appeal by submitting a formal written request for the adverse decision to be reviewed to the department chairperson (or college dean, if appropriate) within 10 school days of the date of the adverse decision. “School day” does not include Saturday or Sunday, nor does it include any day on which there are no scheduled university classes. The appeal submitted must include the written exchanges and documentation regarding the adverse decision. There is a 25-page maximum on such materials. The written exchanges must include the original date stamps.  If more than 25 pages of materials are available, the student should include only the most relevant information showing violation of procedures, unfair treatment, or discriminatory treatment and provide details on any additional materials that can be provided, if needed. 

V. Actions of the Department

If a request for an appeal is filed within the time limit, then the department chairperson in consultation with the graduate program director or designate will have  the appellant’s decision maker(s) reconsider the adverse decision. As part of this process, the decision makers may present to the department chair a file with relevant materials, not to exceed a total of 25 pages. The department chair may gather further information regarding the appeal, including speaking with the appellant and the decision makers and requesting further documentation about the decision, about interactions between the appellant and decision makers, and about unit policies. The chair’s role is to ascertain all of the facts, consult with the decision makers, and, if possible, help provide a resolution to the appeal. If the department has an outlined and documented appeals process, then the chair should resolve the appeal by using this process. If the department chair is one of the original decision makers, then the appeal should be forwarded directly to the college. 

After consulting with the department chair, the appellant’s decision maker(s) will render a decision within 15 school days of the department’s receipt of the request for an appeal. Within five school days of the decision, the outcome will be communicated in writing to the student, the department chairperson, and the program director or designate.  

VI. Appeal of Adverse Decisions

A graduate student may appeal an adverse departmental decision to the appropriate college dean. The appellant must submit a formal written request for a college appeal within 10 school days of the date of the adverse department decision to deny the appeal. Within 15 school days of the receipt of the appeal in the college dean’s office, the decision of the college dean must be communicated in writing to the appellant, the department chairperson, and the program director or designate.  When submitting the appeal to the college dean, the appellant should include all of the materials originally submitted in the departmental-level appeal as well as the adverse decision from the department. As part of this process, the decision makers may also present to the college dean a file with relevant materials, not to exceed a total of 25 pages. The college dean may gather further information regarding the appeal, including speaking with the appellant, the decision makers, and the department chair and requesting further documentation about the decision, about interactions between the appellant and decision makers, and about unit policies.  If the college has an outlined and documented appeals process, then the dean should resolve the appeal by using this process.

If the college denies the appeal, then  a graduate student may appeal said decision by submitting a formal written request to the chair of the Graduate Education Committee within 10 school days of the notification of the adverse decision. 

VII. Actions of the Graduate Education Committee

When submitting the appeal to the GEC, the appellant should include all of the materials originally submitted in the departmental-level appeal as well as the written materials that document the adverse decisions at the department and college level. Upon receipt of a formal appeal, the chair of the GEC will review the request (See III for required materials) and begin the process of appointing a Graduate Appeals Panel and establishing an appeals file. 

The stakeholders, including the appellant, the original decision maker(s)and the members of the Graduate Appeals Panel, must be given at least 10 school days’ notice of the hearing date, time, and place. The burden of proof is upon the appellant.

VIII. Graduate Appeals Panel

The Graduate Appeals Panel shall consist of three graduate faculty members and two graduate students, all appointed by the chair of the GEC. The dean of the Graduate School shall appoint a designee who shall serve as a nonvoting ex officio member.

The members of the panel shall elect one of the three graduate faculty members as the panel chair. The graduate faculty members and graduate students serving on the panel shall not be members of the departments or colleges from which the appeal originates, nor shall they have a demonstrated conflict of interest in regards to the appeal.

IX. Graduate Appeals Hearing

Within 15 school days of the formation of the Graduate Appeals Panel and its receipt of the written appeal, the chair of the Graduate Appeals Panel will conduct a hearing with the Graduate Appeals Panel, the appellant, witnesses for the appellant, representative(s) of the decision makers, and other witnesses with direct information about the appeal (unless an extension is granted by the chair of the GEC).

The chairperson of the Graduate Appeals Panel shall conduct the hearing with a view for generating a complete understanding of the circumstances surrounding the appeal. As such, each party shall be granted up to 30 minutes to present relevant information to the panel. Parties may not question each other directly but may pose questions in writing to the panel chairperson, who may disallow the questions. The hearing shall be conducted in an informal manner and without reference to rules applicable to a court of law concerning the examination of witnesses and admissibility of evidence, but with a view toward providing the Panel with a complete understanding of the facts involved. Irrelevant, immaterial, and unduly repetitious evidence may be excluded. 

A witness may only be in the hearing room when he or she is providing evidence or when the witness is being questioned following rebuttal. The student shall be given the option of presenting first or second. Following the presentations, each party may request an additional five-minute rebuttal. Following the rebuttal, members of the panel may question the parties and witnesses to clarify relevant details. The hearing may not be audiotaped or videotaped. The chairperson of the Graduate Appeals Panel will designate a secretary from the panel to keep minutes of the proceedings.

Immediately following the hearing, the Graduate Appeals Panel will consider the evidence and judge whether additional information is needed to inform its recommendation. The Panel may seek additional information or clarification from anyone involved in the appeal process as needed. Within five school days of the hearing, the panel must offer a written recommendation to the dean of the Graduate School whether to grant or deny the appeal. Copies of the recommendation must also be provided to the appellant, the decision makers, the department chair, the dean of the college, and the chairperson of the Graduate Education Committee. The dean of the Graduate School will review all  appeal materials and the recommendation of the Graduate Appeals Panel and issue a final decision within five school days of receiving the written recommendation. While making this decision, the dean of the Graduate School will consult with their designee on the Graduate Appeals Panel and may also seek additional information or clarification from anyone involved in the appeal process as needed.

X. Attendance at Hearing

In addition to the appealing party, the decision makers, and the members of the Graduate Appeals Panel, the following persons and no others will be permitted to attend the hearing: one current student or one full-time university employee invited by the appellant and one full-time university employee invited by the decision makers to assist the respective parties. These individuals will serve as an advisor to parties but will not participate or offer statements at the hearing.  Other university-affiliated person(s) whose presence is required for the hearing may also be approved by the Graduate Appeals Panel.

XI. Use of Witnesses for the Hearing

The appealing party, or the decision makers, may call witnesses as necessary. Witnesses must be affiliated with the university. The time used by the witness in giving evidence shall be counted as part of the allotted time of the person who calls that witness. Time spent answering any questions by the other party or the Graduate Appeals Panel shall not be counted as part of the time allotted to the person who calls the witness.

The Graduate Appeals Panel may call or recall persons to give additional evidence concerning the issues involved in the case.

XII. Materials Used in Hearing

When submitting the appeal to the GEC, the appellant should include all of the materials originally submitted in the departmental-level appeal as well as written materials that document the adverse decisions at the department and college level.  The decision makers may also present materials, not to exceed a total of 25 pages, no less than five days prior to the hearing. All records and decisions generated by the appeal (including the documentation provided by the appellant and the decision makers) shall be retained in the appeals file which shall reside in the office of the dean of the Graduate School (or in an appropriate electronic folder) for a period of 5 years, after which they shall be shredded or deleted.

XIII. Confidentiality of Appeal Hearing

The Graduate Student Appeals Panel members shall not retain in their possession any personal files, materials received during the appeal procedure, or notes taken during the meetings of the Graduate Student Appeals Panel. All copies of said materials shall be returned to the Graduate School by the Appeals Panel chairperson and held in the appeals file that resides in the office of the dean of the Graduate School.

No party, Graduate Student Appeals Panel member, or other participant or observer in the appeal procedure shall reveal any facts, documents, or testimony gained through participating in or observing the hearing to any other person, unless required by a court of law to do so or upon the advice of the university’s legal counsel.

XIV. Additional Procedures

The chairperson of the Graduate Appeals Panel, in consultation with the chairperson of the Graduate Education Committee or their designee and under specific, compelling facts, may modify procedures or establish additional procedures for the conduct of hearings in order to ensure that they are conducted in a fair and orderly manner, provided that such procedures shall not be inconsistent with the procedures stated herein. Whenever possible, all parties must be notified of any modifications and additions to procedures in advance of the hearing.

XV. Withdrawal of an Appeal

The appellant may submit a written request to withdraw the appeal at any time. 

XVI. Finality

The decision of the appeal by the dean of the Graduate School will be final. There are no appeals procedures at the university beyond the dean of the Graduate School.