Introduction

Auburn University (a) publishes appropriate and clear procedures for addressing written student complaints, (b) demonstrates that it follows the procedures when resolving them, and (c) maintains a record of student complaints that can be accessed upon request by SACSCOC. 

In general, policies affecting students and related procedures are published electronically in Auburn University's Student Policy eHandbook, which is currently located at the URL, http://www.auburn.edu/student_info/student_policies. These policies apply to all students enrolled in on-campus, off-site, and distance learning courses. Student complaints are addressed by the university office most directly related to the area of complaint. Records of student complaints are kept by the responding office or unit, in accordance with the privacy and confidentiality policies governing each type of student complaint or concern. These policies and practices are described in detail in Standard 12.5, Student Records.

This narrative will describe the processes for the three most significant types of student complaints: (1) academic grievances, (2) student conduct complaints, and (3) complaints to the Affirmative Action/Equal Employment Opportunity Office. Included as documentation are actual redacted records of cases from the 2021-2022 academic year that illustrate how Auburn University faculty, staff, and administrators carefully follow relevant published policies. Additionally, this narrative will include brief illustrations of compliance with a variety of other published policies that afford students the rights to either file a complaint or appeal a complaint against them. Ultimately, this narrative demonstrates Auburn University’s dedication to publishing and disseminating clear policies, consistently following those policies in practice, and maintaining records of all actions that involving and resulting from student complaints. 

Academic Grievances

Students' academic grievances or complaints resulting from the actions of faculty or administration are addressed through Auburn University's Student Academic Grievance Policy. Housed officially in the university's Policy Database maintained by the Office of the General Counsel, this policy is published by a link in the Student Policy eHandbook. For ease of access, there is also a link to the policy from the Academic Policies FAQ page maintained by the Office of the Provost and a link to the policy and procedures on the “My Academics” tab on AU Access, the administrative platform used by all students, faculty, and staff. Information about where to find campus policies are also included in multiple pages of the orientation guidebook, “Tiger Transitions.”

The Student Academic Grievance policy provides appropriate and clear procedures for addressing students' academic grievances. As shown in Figure 1 below (taken from the first page of the policy), students' academic complaints may be resolved at four levels: through discussion with the instructor; with the instructor's department head or chair; with the associate dean of the college in which the instructor is employed; or, lacking resolution at any of these levels, through submission of the complaint to the University Student Academic Grievance Committee.

Figure 1: Academic Grievance Policy Illustration

At each step of the procedure, clear language is used. For example, Section 3.3 defines what kinds of academic grievance may be brought forward under this policy (e.g., "practices that contradict the written course syllabus") and what kinds may not (e.g., "fine distinctions between any two grades"). Additional examples are provided in Table 12.4-1 below. To give another example, Section 4.1 spells out how formal grievances must be submitted, to whom, and by when: "Formal grievances must be filed in writing, using the online reporting form, with the Committee chair no later than the 30th class day of the semester following that in which the grievance occurred."

The procedures outlined in this policy are also appropriate. For example, they encourage students to try to resolve academic complaints at the level most closely connected with their learning, their instructor, but they also allow for other possibilities when attempting resolution at that level is not desirable to the student. Section 2.3 addresses this situation: "In some instances, when the personalities or problems involved would make starting at the lowest level of the complaint too awkward or embarrassing, the student may initiate a complaint at the next higher level listed."

Table 12.4-1, Types of Academic Grievances

Source: Student Academic Grievance Policy

Example of Academic Grievance Case Procedures

Included as documentation is the actual, complete record of a complaint filed by a student regarding section 3.3.1.2 of the Student Academic Grievance Policy, Errors in Grading.The records begin with the student’s formal written complaint and move on to illustrate how the case moved through each step of the academic grievance process. The documentation includes the student’s appeal to the faculty member and, having not received a satisfactory reply, their subsequent communications with the program director and Director of the School of Communication & Journalism. The student’s formal written complaint was then forwarded to the Student Academic Grievance Committee where a group of six faculty members and three student representatives considered the case. The last two documents are evidence of the committee’s deliberations, their findings, and Associate Provost for Academic Affairs Norman Godwin’s final response to the student. Together, these records illustrate how the student was able to file a complaint and appeal decisions at multiple levels. Moreover, the records include the specific grounds faculty, administrators, and the Student Academic Grievance Committee used to reach their conclusions, all in keeping with the Student Academic Grievance Policy.

Student Conduct Complaints

Complaints related to student conduct–including those submitted by students–are governed by the Code of Student Conduct[9]. Housed officially in the university's Policy Database maintained by the Office of the General Counsel, this policy is published by a link in the Student Policy eHandbook. Information about the Code of Student Conduct is also included in the orientation guidebook, “Tiger Transitions.”7 Additionally, the Student Conduct office of the Division of Student Affairs maintains a convenient web page where students or others can file non-academic complaints or report concerning student behavior.

Table 12.4-2, Prohibited Student Conduct

 Source: Auburn University Code of Student Conduct

The Code of Student Conduct provides appropriate and clear procedures for addressing complaints related to student behavior, including procedures for those students whose conduct is the subject of a complaint. Section VIII of the policy ("Procedures") covers how a conduct-related complaint may be initiated (section A), how it will be reviewed (section B), how parties to the complaint will be notified (section C), how the complaint may be resolved through a facilitated informal conference (section D), and, finally, how a formal hearing is conducted and by whom (section E). Section IX of the policy outlines procedures for appeals in similar detail. A detailed one-page flow chart published by the Office of Student Conduct clearly outlines the entire complaint resolution process.

The Code of Student Conduct also provides appropriate and clear instructions for complaints that fall outside its scope. Specifically, Section III of the code ("Jurisdiction and Authority") enumerates certain types of excluded complaint, referring them to the appropriate channel: complaints about academic dishonesty to the Provost, complaints about university traffic and parking regulations to the Traffic Appeals Board, complaints about violations of the community standards of University Housing to the Office of University Housing and Residence Life, and complaints about policies administered by the Office of Affirmative Action/Equal Opportunity to that office.

In addition to published policies, students have access through the Auburn Cares office of the Division of Student Affairs to a Student Case Officer and Advocate and a University Ombuds Office (independent of Student Affairs) to seek guidance on the informal and formal options for addressing complaints. Auburn University also maintains a Threat Assessment Team to assist in the safety, health, and welfare of the Auburn University community and also receives students’ complaints. Documentation of Auburn Cares, Threat Assessment, and other miscellaneous student-related referral and complaint processes are included later in this narrative.

Example of Student Conduct Case

Included as documentation is the actual, complete record of a complaint filed against a student regarding sections IV.A.11 and IV.A.13 of the Code of Student Conduct, Public Intoxication or Possession of Alcohol and Violation of University Policy: Athletic Event Alcohol/Drug Policy. The records begin with the initial report from an intern with the Office of Student Conduct, which triggers the rest of the student conduct violation process. The documentation includes the Office of Student Conduct’s official notice to the student of the allegations against them, which provides a summary of their rights and responsibilities and a date and time for a meeting with student conduct staff. After the meeting, the student was sent a summary of their mutually agreed upon resolution, and the documentation includes that correspondence as well as a copy of the agreement signed by the student. Together, these records illustrate how the initial complaint initiated the published Student Conduct Code procedure and how, in keeping with that policy, the student was given the opportunity to speak with Student Conduct professionals and given the choice of whether or not to accept their recommended sanction.

Complaint Procedures Administered by the Office of Affirmative Action/Equal Employment Opportunity

Auburn University's Office of Affirmative Action/Equal Employment Opportunity (AA/EEO) publishes procedures for addressing written complaints, including student complaints, in matters relating to potential violations of university policies regarding equal opportunity, affirmative action, harassment, and discrimination. Each policy and associated reporting mechanism is clearly posted on the web site of the AA/EEO office.

Sexual and Gender-Based Misconduct 

The Policy on Sexual and Gender-Based Misconduct and Other Forms of Interpersonal Violence addresses prohibited behaviors of sexual assault, sexual exploitation, intimate partner violence, stalking, sexual or gender-based harassment, complicity, and retaliation–behaviors that may or may not be considered a violation of criminal law. A main link from the AA/EEO home page leads to resources for individuals who may wish to report an incident of prohibited behavior or who may wish instead to talk to someone, confidentially or not, about such behavior, or simply to learn more about sexual and gender-based misconduct and how to support a survivor of such misconduct. The "Report an Incident" option is clearly labeled on this page and leads to a web-based form that collects required and optional information and, when submitted, initiates the process by which the university addresses the complaint. The form may be submitted anonymously, but users are advised that anonymously submitted information may limit the university's effectiveness in responding to the reported incident.

Virtually all Title IX cases are handled “internally,” meaning inside Auburn University, whether they go to a hearing, are resolved by administrative adjudication, or are closed through the use of informal resolution (a mediated solution). Included as documentation is a redacted version of an informal resolution agreement, which must be agreed upon and signed by the complainant, the respondent, and the Title IX Coordinator.

The US Department of Education's Office of Civil Rights has not opened or closed any investigations regarding possible violations alleging sexual violence at Auburn University since the institution’s most recent reaffirmation in 2013.

Harassment of Students 

Also relevant is the Policy Regarding the Prohibited Harassment of Students, which addresses other forms of unlawful discrimination or harassment related to a student’s race, color, sex (which includes sexual orientation, gender identity, and gender expression), religion, national origin, age, or disability. This policy serves two purposes; one is to address prohibited conduct based on federal civil rights regulations other than sex. The second is to allow the university to prohibit sexual harassment situations that fall outside the scope of the 2020 Title IX regulations. For example, the 2020 regulations specifically state that sexual harassment is prohibited only on school premises in the continental United States. That omits situations like study abroad, where sexual harassment can occur. Similarly, the regulations do not prohibit sexual exploitation (taking and distributing sexual photos of others), which the university wanted to take steps to address. Thus, this policy is an addition and complement to the Title IX Sexual Harassment Policy.

Section Five of this policy provides reporting and resolution procedures that students may initiate when they believe they have been discriminated against on the basis of their race, color, sex, religion, national origin, age, sexual orientation, or disability. Resolution procedures allow for informal resolution, if acceptable to all parties, or for the filing of a formal complaint or grievance by the student. Another main link from the AA/EEO home page leads to resources for students who may wish to submit a complaint. The same "Report an Incident" link mentioned just above allows students to submit such a complaint electronically17, or they may fill out a copy of the Discrimination Complaint Form and return it to AA/EEO.

In keeping with the educational mission of Auburn University, materials published by AA/EEO attempt to teach while they assist. A dedicated web page on the AA/EEO site presents Title IX resources for students. A separate web page called "Resource Guide for Work-Related Problems" summarizes the appropriate offices where students and others can submit written complaints.

Example Sexual and Gender-Based Misconduct Case. Included as documentation are two actual, redacted records of investigations into allegations of sexual misconduct completed by the AA/EEO Office., In both documents, reviewers can read the initial complaint, the Title IX Coordinator’s official Notice of Investigation to both parties, and the final report of the investigation, which includes a summary of all investigative actions, witness testimony, and evidence. Finally, both documents conclude with the official notice sent to both parties summarizing the findings of their Title IX hearing. Together, this documentation illustrates Auburn University’s commitment to following published policy in matters of sexual and gender-based misconduct and their consistent and conscientious investigative processes.

Additional Methods for Filing Complaints

In addition to the paths for filing complaints described above, Auburn University provides students, staff, and faculty with two other generalized complaint submission platforms that are designed to assist those who may not know exactly which office or unit can assist in resolving their complaint. Neither of these platforms is meant to circumvent or replace existing policies or procedures for filing, resolving, or appealing a complaint; rather, they are both tools the university created to ensure that all campus community members, even when they are uncertain where to ask for assistance, can have their concern addressed by the appropriate unit or office.

Student Affairs

The Division of Student Affairs operates a second student complaint website designed to help students navigate the many processes and services available to them. On the first page, students can select their primary type of concern, something within a Student Affairs unit, Appeals, or “Other”/Critical Incidents or Financial Hardship. Once they make a selection, the site presents their choices for how to pursue a complaint. For complaints involving a Student Affairs unit, students are prompted to submit a formal complaint that is routed directly to Student Affairs leadership at the associate vice president level for review and resolution. For Appeals, students are taken to the specific website with additional information to address their concern (e.g., Academic Appeals website). In the case of financial hardship or other critical incidents, students are directed to Auburn Cares, which can connect students with virtually any resource or support service on campus.

Ethics Point

The Office of Audit, Compliance, and Privacy (OACP) also provides a complaint portal, which is called Ethics Point. Using this portal, anyone may anonymously report concerns about situations, events, or actions by individuals or groups that the complainant views as unethical or otherwise inappropriate. The site has two complementary purposes; the first is to make it easier for campus community members to report concerns and to ensure anonymity and confidentiality. After submitting their complaint, users are assigned a “report key,” which is a unique code for their complaint. This allows users to log back into the system and view any responses their complaint may have received from campus administrators, including requests for more information or advised next steps. Signs advertising EthicsPoint (with a QR code that links users to the website) are on display across campus for easy access and reporting. Additionally, a link to EthicsPoint is included in the AU Access administrative portal that all faculty, staff, and students use.

The second goal of EthicsPoint is to ensure that the appropriate office or unit responds to the complaint. For example, OACP investigates complaints that pertain to issues such as financial, regulatory, and research compliance issues. However, staff in OACP can also review EthicsPoint reports and, if the issue falls under the responsibility of another unit, forward the case on to the appropriate party for resolution. As the website states, if someone is “uncertain if a situation violates university policy, is illegal, or constitutes harassment or discrimination, [they] may use EthicsPoint to obtain clarification.” Thus, similar to the Student Affairs complaint website described above, EthicsPoint is another tool Auburn University uses to ensure that call campus community members have multiple ways to route their concerns to the correct office.

Included as documentation is the actual, redacted record of a student’s anonymous complaint to EthicsPoint that was routed to the Associate Vice President for Student Affairs.

Other Types of Student Complaints and Appeals

There are numerous additional policies and procedures whereby a student may file a complaint or have a complaint filed against them, many of which also include opportunities for students to appeal the finding in the case. As such, Table 1 contains additional examples of offices or processes that are involved with student complaints and/or appeals and actual redacted records of how those cases were handled. While not exhaustive, these examples serve as further evidence of Auburn’s dedication to having policies and procedures in place that serve students and give them ample opportunity to assert their rights. These cases also demonstrate Auburn’s consistency with the publication of and adherence to policies.

Table 1, Examples of Student Appeals

An Accessible Record of Student Complaints is available to SACSCOC upon Request

Accessible records of written student complaints received by Auburn University are available to SACSCOC upon request. These records may contain original complaint and/or appeal documents; summaries of investigations, committee meetings, and/or hearings; summaries of witness testimony; official university responses to complaints and appeals; and personal identifying information of individuals involved in a case. For a variety of reasons, Auburn University deems it imprudent to maintain a single, integrated record of all student complaints received. Student complaints touch on many aspects of their educational, residential, and personal experiences while enrolled at Auburn University. The university itself has an enrollment of more than 30,000 students and a fully developed structure of instructional and support services to serve them. Crucially, some student complaints contain information of a very sensitive nature that is best maintained by the university office designated to address such complaints. However, each of the cognizant offices maintains an accessible record of student complaints within its scope. As noted above, the basic system of record used by the Division of Student Affairs is licensed from the firm Maxient. A home-grown web and repository solution is used by the Student Academic Grievance Committee. Case files are maintained by the AA-EEO Office.

Conclusion

Auburn University publishes appropriate and clear procedures for addressing written student complaints. Students, faculty, and staff are provided with clear and consistent guidelines for how to submit a complaint and have two additional web-based avenues for submitting complaints when they are not sure which office to direct their concern toward. This illustrates the university’s dedication to providing students with every possible means to have their concerns heard. The correspondence included in the documentation for this standard also shows that student complaints are addressed in a prompt, fair, and consistent manner. Altogether, narrative and documentation provided above demonstrates that Auburn University follows published procedure when resolving student complaints and maintains records of student complaints that can be accessed by SACSCOC upon request.