Policies and Procedures

These policies and procedures align with the mission of the university, and have been developed with appropriate consultation across the university. They are intended to mitigate institutional risk, enhance effectiveness, and support the university's compliance with federal, state, SUNY, and local laws and regulations.

As an institution of higher education that receives funding under Title IV; a state entity; and an institution of SUNY; Empire State University adheres to all federal, state and SUNY regulations. Where the university does not have a policy specific to a situation, additional references are listed that direct users to resources for regulations outside of the university's publications. Additionally, individual policies reference state and SUNY regulations for information and guidance beyond that provided in the policy.

Please Note: This catalog is a static document published once a year, whereas policies and procedures are subject to change periodically throughout the year. The policies, procedures and guidelines in this section were current at the time of this catalog's publication and are pertinent to students of the School for Graduate Studies and graduate students in the School of Nursing and Allied Health. Please refer to the Policies webpages of the SUNY Empire website for the most up-to-date, comprehensive listing of SUNY Empire's policies that may not be included here.

Use the links below to navigate to the policy or procedure you are referencing.

Overview

STUDENT ACADEMIC APPEALS POLICY AND PROCEDURES

Purpose

The purpose of the Student Academic Appeals Policy and Procedure is to provide equitable and orderly processes by which to request reconsideration of an academic decision.

Definitions

Appeal -- petition to change a decision rendered about an academic matter. The basis for a student’s appeal of an academic decision may be either that the academic judgment was unfair in the view of the student or that the university's academic policies were applied incorrectly in the view of the student.

Academic Appeals and Honesty Committee (AAHC) -- a faculty committee convened to hear appeals. This committee shall consist of no fewer than three faculty members and no more than five. Each school establishes procedures for constituting an AAHC and for establishing a chair. If a member of the AAHC is a party to the appeal, a substitute is designated if necessary to bring the membership to a minimum.

Business days – Monday through Friday excluding university holidays.

Dean – refers to the dean of the student’s school/program or an academic administrator designated by the Provost for the School of Undergraduate Studies. Collectively referred to as dean in this document.

Faculty – mentors, instructors, evaluators and others who make academic decisions. Collectively referred to as faculty in this document.

Unfairness – a decision or behavior that is arbitrary or capricious.

Statements

Students are responsible for reviewing and abiding by the university's academic policies and procedures. Students are responsible for their academic choices and for meeting the standards of academic performance established for each study or course in which they enroll.

Faculty are responsible for establishing methods and criteria for evaluation and evaluating a student’s performance in learning contracts, courses, final projects, exams, prior learning assessments, etc. Evaluations of students, awards of academic credit and other academic judgments are based upon academic performance and the application of relevant academic policies.

Academic judgments made by faculty and other academic professionals are recorded in university documents, such as:

course outcomes, and grades;
evaluations of prior learning; and
written academic decisions made by assessment committees, academic review committees, or other academic staff.

Students may appeal an academic decision if they believe that an academic judgment was unfair or that the university's academic policies were not followed or were applied incorrectly. Both student and instructor or decision-maker involved in the appeal have a right to a meaningful opportunity to be heard and to respond to information and documentation presented.

Grades on individual assignments may not be appealed.

Procedures for Appeals of Academic Decisions

The dean or designee for the program where an academic decision was made is responsible for administering the appeals process.

If the relevant administrator made the original academic decision while serving in the role of mentor, instructor, or evaluator, an appropriate administrator will be assigned to the administrative role in the appeals process.

The locus of appeal is with the program or academic unit where the original academic decision was made. For example, if a student enrolls in a Nursing course and appeals the course outcome, the appeal is reviewed by the School of Nursing and Allied Health. Questions about the appropriate locus of an appeal are resolved by the provost or designee.

The university appeals process includes an informal resolution procedure as well as a procedure for formal appeal of an academic decision. The university expects the student to attempt an informal resolution before making a formal appeal.

A. Procedure for Informal Resolution

The informal resolution process includes two possible steps:

The student should discuss the matter directly with the party who made or represented the academic decision (instructor, mentor, assessment committee representative, assessment professional, etc.) and make a reasonable effort to resolve the issue. The student must begin such an informal resolution process within 20 business days of receiving the academic decision.
If no resolution is reached through the first step, or if the student is uncomfortable trying to resolve the issue directly with the appropriate party, the student should request informal resolution by the relevant dean or associate dean. This step must occur within 30 business days of the student’s receipt of the original academic decision. The dean or associate dean does not play a decision-making role; rather, he or she facilitates a resolution when possible.

B. Procedure for Formal Appeal

1. A student may initiate a formal appeal of an academic decision within 40 business days of receipt of the decision. The student submits a written appeal to the school’s dean or designee or program administrator and includes in it:

a full description of the academic decision and the basis for the student’s appeal for reconsideration,
a statement of the remedy the student is seeking,
any supporting documents, such as
- learning contract/syllabus, and course outcomes and evaluations;
- evaluations of prior learning; and
- written academic decisions made by assessment committees, academic review committees, center or program administrators, or other academic staff.
information on when and with whom the student attempted an informal resolution.

2.Initial Review

Based on its initial review, the school’s dean or designee may return an appeal to the student for further information or clarification. If the appeal is returned for further information or clarification, the student must submit the requested information or revision within 10 business days for the appeal to be heard.
Upon review of the initial or resubmitted appeal, the dean or designee may determine that there is no claim of unfairness or incorrect application of university policies is made or information to support such a claim is not included and rejects the appeal and/or refers the student to more appropriate policies, copying the primary mentor/academic advisor
The dean or designee should convey a decision not to hear an appeal within 5 business days of receiving the initial or resubmitted appeal.
If the appeal is accepted, the Dean or designee transmits the appeal to the school’s AAHC and provides a copy to any other relevant parties. The dean or designee should take these steps within 5 business days of receiving a complete appeal. He or she ensures that the AAHC review takes place in a timely manner

3. AAHC Hearing

Each school will ensure a fair and timely hearing of the information and produce an accurate record of the hearing. AAHC consideration of the appeal focuses only on the student’s claim of unfairness or incorrect application of university policies.
The AAHC may obtain additional relevant information before or after a hearing.
The AAHC should schedule a hearing within 20 business days of the acceptance r of an appeal to consider information relevant to the appeal. A hearing may take the form of a meeting, conference call or videoconference, at the discretion of the AAHC
The chair of the AAHC ensures a fair and timely consideration of the information and provides an accurate record of the hearing to the dean or designee.
The student may participate in the hearing and present his or her case directly to the AAHC. Likewise, the faculty or staff member responsible for the original decision may also participate in the meeting and present relevant information. The student and the faculty/staff member meet separately with the committee.
A student may have an advisor at the meeting; however, the advisor may not participate in the hearing.

4. Following a hearing, the AAHC deliberates in closed session. Decisions are made by majority vote unless otherwise noted. The AAHC may:

uphold the original decision,
refer the decision back to the individual or committee making the original academic decision for reconsideration based upon AAHC findings regarding fairness and/or application of university policy, or
revise or overturn the original decision, which requires a unanimous vote by the AAHC.
Refer to an appropriate content expert for evaluation, which require a unanimous vote by the AAHC.

The AAHC should provide a written report to the dean within 5 business days of the hearing.

The dean notifies the student of the decision, copying the primary mentor/academic advisor, and includes a brief explanation.

5. Reconsideration by original decision-maker. If this is the outcome of the hearing, the dean refers the decision back for reconsideration, the individual or committee making the original decision reviews the situation and may either affirm the original decision or issue a new decision. The individual or committee should convey the result in writing to the student and other relevant parties within 20 business days of the referral.

6. Appeal of an Academic Appeals and Honesty Committee decision. Decisions made by the AAHC may be appealed to the provost or designee.

The student must submit any further appeal in writing to the provost within 20 business days of transmittal of an AAHC decision or a reconsideration decision, and must include an explanation or justification for the appeal.
The provost or designee should notify the other relevant parties within seven days of receiving an appeal. Those parties normally provide any written response within 10 business days.
The provost or designee should provide a written decision and rationale within seven days of receiving responses to the appeal. The written decision is conveyed to the student with copies to the other relevant parties.
The provost’s decision is final.

7. A student’s status does not change while an appeal is under consideration. If a student was dismissed, he or she remains dismissed. If he or she is in academic warning, the warning stands.

Applicable Legislation and Regulations

Federal Regulations: 4 CFR 602.16(a)(1)(ix) and 34 CFR 668.43(b)

Middle States

State Complaint Procedures

Related References, Policies, Procedures, Forms and Appendices

Student Grievance Policy and Procedures

Academic Honesty Policy and Procedures

ACADEMIC HONESTY POLICY AND PROCEDURES

Purpose

The purpose of the Academic Honesty Policy and Procedure is to set the expectations for honest academic work and provide fair and equitable administrative procedures for addressing breaches of those expectations and include options for handling incidents.

Definitions

Academic Appeals and Honesty Committee (AAHC) – a faculty committee convened to hear cases of serious dishonesty that may warrant academic warning or dismissal. This committee shall consist of no fewer than three faculty members and no more than five. Each school/program establishes procedures for constituting the AAHC and for establishing a chair. If a member of the AAHC is a part of the matter at hand, a substitute is designated if necessary to bring the membership up to the minimum.

Academic dishonesty – includes cheating, plagiarism, forgery, fabrication or misrepresentation, such as the following:

claiming the work or thoughts of others as your own
copying the writing of others into your written work without appropriate attribution
writing papers for other students or allowing them to submit your work as their own
buying papers and turning them in as your own
having someone else write or create all or part of the content of your assignments
submitting the same paper for more than one study or class without explicit permission from the faculty members
making up or changing data for a research project
fabricating and/or altering documents and/or information in support of the degree program.

Business days – Monday through Friday excluding university holidays.

Dean – refers to the dean of the student’s school/program or an academic administrator designated by the Provost for the School of Undergraduate Studies. Collectively referred to as dean in this document.

Faculty – mentors, instructors, evaluators and others who make academic decisions. Collectively referred to as faculty in the remainder of the document.

Statements

When facing a breach of academic honesty expectations, a faculty member exercises her/his academic judgment in light of the particular circumstances and the student’s academic history. Consultation with the dean, associate dean, chair and/or primary mentor/academic advisor throughout the process is encouraged.

When faced with a potential breach of academic honesty, the faculty member:

reviews this policy and procedures statement
documents the concern to the extent possible
consults student academic services, or equivalent, to ascertain if there were previous incidents
raises the concern quickly and directly with the student in writing, outlining how the student has breached the academic honesty standards, and copying the student’s primary mentor/advisor and student academic services, or equivalent. This should typically occur within 20 business days.
determines the appropriate response, which may include responding to the breach while continuing to work with the student in the course, assigning an F grade, or not providing a credit recommendation for a PLA component.

If the faculty member continues to work with the student in the course, s/he may also do one or more of the following:

provide developmental advice to the student on academic expectations
require that the student consult specific research writing or other academic skills development re-sources
require that the student rewrite the assignment(s), meeting standards for academic honesty
require that the student complete additional assignment(s) that meet standards for academic honesty
deduct points or fail the student on the assignment

Having provided guidance to the student, the faculty member remains alert to the possibility of further breaches.

If the faculty member determines that the appropriate response is to assign an F for the course, the student loses access to academic services related to the course including the online learning site for the course. A student who is denied a credit recommendation for dishonesty for a PLA may not resubmit the same or similar component for evaluation. A student who receives a grade of F for a course or does not receive PLA credit may appeal that decision through the university's Student Academic Appeals Policy and Procedures.

Serious Acts of Dishonesty

Serious acts of dishonesty include but are not limited to plagiarism, stealing, selling, or buying of an examination or paper; the presentation of the work of another as one’s own, copying examination answers from another source or individual, having someone else do your work either on or off-line, and repeated acts of plagiarism, cheating, misrepresentation and misappropriation.

Possible Penalties.

Serious or continued breaches of academic honesty may constitute grounds for academic warning or dismissal from the university. The following penalties may apply:

Academic Warning: An academic warning for academic dishonesty is a formal written notice from the dean to the student providing conditions for continued enrollment in the university. It describes the nature of the breach of academic honesty standards, expectations for future behavior and any specific educational requirements. The academic warning for academic dishonesty is included in the student’s official university record. A breach of academic honesty expectations after an academic warning for academic dishonesty normally leads to dismissal.

An academic warning for academic dishonesty remains active on the student’s academic record until graduation. While the university retains information internally about the academic warning after graduation, the university clears the official record. If the student pursues additional study with the university, the information is available to university personnel who may consider it if the student breaches academic honesty expectations again.

Academic Dismissal: An academic dismissal for academic dishonesty is an indefinite separation from the university. The formal written notice describes the nature of the breach of academic honesty expectations. The academic dismissal for academic dishonesty is included in the student’s official university record.

Review of Serious Cases of Dishonesty.

If a breach of academic honesty is reported, and if the faculty member, primary mentor/advisor, or dean or designee believes that it is serious enough to warrant an academic warning or dismissal, s/he refers the case to the dean or designee of the student’s home school or program. He/she may:

refer the case to the academic appeals and honesty committee (AAHC) for a recommendation on academic warning or academic dismissal
recommend, in consultation with the student’s primary mentor/advisor, additional educational activities and/or provide developmental advice.

Academic Appeals and Honesty Committee Procedures.

AAHC procedures are as follows:

When the dean or designee refers the case to the AAHC, he/she notifies the student in writing within 10 business days of receiving the copy of the notice to the student from the faculty member. The dean’s notice provides the student the opportunity to respond in writing to the AAHC.
The student has 10 business days to submit any written response to the AAHC.
The AAHC considers the student’s response in its review. The AAHC may obtain additional relevant information before or after the committee meets to review the case.
The AHC should schedule a meeting to consider relevant information within 20 business days of receiving an academic dishonesty case. A meeting may take the form of a face-to face meeting, conference call or videoconference, at the discretion of the AAHC.
The chair of the AAHC ensures a fair and timely consideration of the information and provides an accurate record of the meeting to the dean.
The student may participate in the meeting and present his or her case directly to the AAHC. Likewise, the individual(s) referring the case also may participate in the meeting and present relevant information. The student and the individual referring the case meet separately with the committee.
A student may have an advisor at the meeting; however, the advisor may not participate in the meeting.
Following the meeting, the AAHC deliberates in closed session. Decisions are made by majority vote. The AAHC may:
- decide that a penalty is unwarranted
- recommend that the dean or designee issue an academic warning
- recommend that the dean or designee dismiss the student from the university.
Within 5 business days of the hearing, the AAHC transmits its recommendation and brief rationale in writing to the dean or designee.
After reviewing the AAHC’s recommendation the dean or designee may decide to issue an academic warning or dismissal as appropriate to the situation, or may issue another decision.
The dean or designee provides to the student a written notice of her/his decision in the case within 5 business days of receiving the AAHC recommendation, copying the primary mentor/academic advisor. The written notice specifies the effective date of the action and a copy is retained.

Reinstatement after Dismissal for Academic Dishonesty

For the dean or designee to consider reinstatement, a student must present convincing written evidence that s/he has come to value the standards for academic honesty and a written affirmation that s/he agrees to follow the university's Academic Honesty Policy.

The dean or designee of the student’s school or program is responsible for acting on requests for reinstatement after academic dismissal. Students are not eligible for reinstatement for at least 16 weeks or one term, whichever is longer, after an academic dismissal.

Students who are academically dismissed a second time for academic dishonesty are not eligible for reinstatement.

If the dean or designee reinstates a student, he/she places the student in warning status. The dean or designee also may establish terms and conditions for re-enrollment.

Written Notice. The dean or designee sends a copy of any written notice of reinstatement to the student’s primary mentor/advisor and retains a copy.

Student Appeals

Students may appeal any decision made about academic honesty as outlined in the academic appeals policy and procedures.

Applicable Legislation and Regulations

Federal Regulations: 4 CFR 602.16(a)(1)(ix) and 34 CFR 668.43(b)

Middle States

State Complaint Procedures: https://www.highered.nysed.gov/ocue/spr/COMPLAINTFORMINFO.html

Related References, Policies, Procedures, Forms and Appendices

Student Academic Appeals Policy and Procedures

Student Grievance Policy and Procedure

ADDING AN ADVANCED CERTIFICATE PROCEDURE

The university offers many advanced (graduate) certificate programs. While a certificate can be completed as a standalone program, you may want to complete a certificate while completing a master’s degree as a way of enhancing your master’s and earning two credentials at the same time. If considering adding a certificate program, you should discuss this with your academic advisor. Some, or all, of the certificate courses may be used in your master’s degree depending on which degree you are in and how close you are to completion.

It is important to note that if completing both an advanced certificate and a master’s degree at the same time, financial aid is not available for credits taken beyond the total number required for the master’s degree.

To add an advanced certificate program, you must apply and pay the $50 orientation fee.

COPYRIGHTED MATERIALS: THEIR REPRODUCTION AND USE

USE OF COPYRIGHTED MATERIALS

Empire State University complies with the U.S. Copyright Act of 1976 and the Digital Millennium Copyright Act of 1998.

The university respects the intellectual property rights of those who create and/or publish original works of authorship in any tangible medium of expression, whether physical or digital media, and regardless of format or genre. The university, therefore, authorizes use of copyrighted materials only under the following conditions:

When permission is obtained from the copyright owner; or
When reproduction, dissemination, creation of derivative works, performance or display of copyrighted materials falls within Fair Use guidelines, which are explained on the library’s copyright website; or
When performance or display of copyrighted materials in a face-to-face classroom environment falls within Educational Use guidelines.

The library has answers to questions about Fair Use, Educational Use, the Digital Millennium Copyright Act and when it is necessary to get permission to use a copyrighted work. The librarians cannot obtain copyright permission on behalf of faculty, staff, or students, and are not qualified to give legal advice. The bookstore manager can provide information on how to obtain permission.

USING COPYRIGHTED WORKS ONLINE

Reproduction, dissemination, performance, display, and creation of derivative works from copyrighted works may be permitted under the Fair Use Exemption of the Copyright Act of 1976, if it passes the Four Factor Test.

Neither the nonprofit status of the university nor the educational nature of the endeavor are sufficient to automatically judge something Fair Use. There is no set guideline for number of words, number of pages or percentage of a total work that can be used.

It should be noted that the online environment reduces or eliminates barriers to unauthorized copying and redistribution of copyrighted works, which means that an online use is less likely to be a Fair Use than the same kind of use in a physical environment. The presence of password protection and/or digital rights management technologies may not be sufficient to consider the use a Fair Use.

In order to decide if a use is Fair Use, the library provides a downloadable worksheet on its website. You should fill it out in order to help make your decision, and then save the completed worksheet as proof of your good-faith effort to comply with the law.

MAKING COPIES IN A FACE-TO-FACE CLASSROOM SETTING

Making photocopies or other reproductions of copyrighted works to be distributed to students in a face-to-face classroom may be permitted under the Fair Use Exemption of the Copyright Act of 1976, if it passes the Four Factor Test.

Neither the nonprofit status of the university nor the educational natures of the endeavor are sufficient to automatically judge something Fair Use. There is no set guideline for number of words, number of pages or percentage of a total work that can be used.

In order to decide if a use is Fair Use, the library provides a downloadable worksheet in its website. You should fill it out in order to help make your decision, and then save the completed worksheet as proof of your good-faith effort to comply with the law.

PERFORMANCE AND DISPLAY IN A FACE-TO-FACE CLASSROOM SETTING

Performance and/or display of copyrighted works in a face-to-face classroom is permitted by the Educational Use Exemption of the Copyright Act of 1976.

There are certain restrictions: The university must be accredited and not for profit; the use must be part of teaching and learning, not for entertainment, extracurricular activities, or other university business.

As long as those requirements are met, the Educational Use Exemption allows the instructor and/or students to perform musical works, poems, plays, or speeches; others to come into the classroom to perform musical works, poems, plays, or speeches; display of images, whether in physical or digital media; and playback of audio or video recordings of any kind.

FOR COPYRIGHT INFORMATION AND HELP, CONSULT THE LIBRARY

Information on copyright can be found on the Library's copyright information pages. Copyright questions can be directed to Librarian@sunyempire.edu.

GRADUATE ACADEMIC STANDING POLICY

Purpose

This policy establishes the academic conditions under which a graduate student, or undergraduate student enrolled in a course(s), may remain enrolled.

Definitions

Graduate Cumulative GPA:

•   is based on graduate level courses enrolled in at Empire State University;
•   includes courses regardless of program and matriculation status;
•   does not include transfer credit or credit awarded through assessment; and
•   based only on Empire State University courses in which a letter grade is assigned

Statements

This policy statement describes the academic conditions under which a graduate student, or an undergraduate student enrolled in graduate courses, is eligible to remain enrolled in graduate courses at the university and specifies procedures for warning and dismissing students.

This policy defines whether a student is in good academic standing. It does not determine if a student is eligible for financial aid.

The cumulative grade point average is the criterion that establishes the student's academic standing with the university. A student who meets this criterion is in good academic standing and therefore maintains her/his eligibility to reenroll. Cumulative GPA and other criteria apply to eligibility to receive financial aid. See the Graduate Satisfactory Academic Progress policy and the statements on Eligibility for NYS and Federal Financial Aid. Sometimes a student's cumulative GPA falls below the minimum satisfactory cumulative GPA. When this occurs, the university notifies the student with an academic warning or dismissal.

Academic Warning
A student is placed on academic warning when s/he has a cumulative GPA below 3.00.

• A student on academic warning has 6 additional credits of enrollment to return to a cumulative GPA of 3.00 or higher
• An academic warning is in effect until it is rescinded or the student is academically dismissed

Rescinding an Academic Warning.

An academic warning is rescinded if a student's cumulative GPA raised to 3.00 or greater within the additional 6 credits coursework allowed under academic warning.

Academic Dismissal

•   A student is academically dismissed if they are on academic warning and do not achieve a cumulative GPA of 3.00 or greater after attempting 6 additional credits of applicable coursework at Empire State University.
•   A student concurrently enrolled in two or more graduate programs at the time of dismissal, is dismissed from all active graduate programs when they meet the criteria for dismissal.
•   An undergraduate student enrolled in a combined bachelor's degree and master's degree program is dismissed from the combined program when they meet the criteria for dismissal. The student may continue in the bachelor's degree program provided that they meet the requirements for that program.

Reinstatement after Academic Dismissal.

In order to be reinstated, a student must present written evidence to the dean or designee of the appropriate school, that the student is ready and able to make satisfactory progress. The student should address the problems that led to the dismissal and what s/he has done to correct those problems. The dean consults with program faculty in making this determination.

The dean or designee, of the appropriate school considers requests for reinstatement after academic dismissal, and grants reinstatement at his or her discretion. If the dean, or designee, reinstates a student, s/he may establish terms and conditions that promote future academic success. For example, the dean may impose specific conditions for subsequent enrollments, such as requiring a reduced academic load or requiring enrollment in courses to build academic skills.

If the student is dismissed from her/his program and wishes to apply to a different program, the student must complete a new application. The student should address the problems that led to the dismissal, what s/he has done to correct those problems, and how s/he expects to achieve success in the new program.

Students are not eligible for reinstatement or readmission for at least one term after an academic dismissal. Students who are academically dismissed for a second time are not eligible for reinstatement or readmission.

A student dismissed from a combined bachelor's degree and master's degree program may not request reinstatement to the combined program, but may apply to the master's program directly following the standard master's admissions process.

Other Reasons for Academic Dismissal

Students may also be academically dismissed when they fail to meet the expectations of other academic policies. For example, students may be dismissed when they are unable to retake a required program course after two unsuccessful attempts under the Graduate Evaluation and Grading Policy or when teacher education students fail to meet the professional expectations described in the Teacher Professional Expectations Policy.

Appeals

A student may appeal a grade, an academic warning or dismissal, or other academic judgment, as provided in the Student Academic Appeals Policy.

Applicable Legislation and Regulations

n/a

Related References, Policies, Procedures, Forms and Appendices

Graduate Evaluation and Grading Policy, Graduate Satisfactory Academic Progress Policy, Teacher Professional Expectations Policy, financial aid policies
Appendix A
Policy Sponsor School for Graduate Studies and School of Nursing and Allied Health
Policy Contact Graduate Student and Academic Services
Policy Category Graduate Studies
Policy Number 310.007
Review/Effective Date 9/1/2022
Implementation History First approved in September 1993 and updated in 2003, 2011, and 2012. Split into separate Academic Standing and Satisfactory Academic Progress Policies in 2019. Minor changes made in 2020.

GRADUATE ADMISSION POLICY

Purpose

To establish policy on admission to the graduate degree programs and advanced certificates.

Definitions

Academic Program: defined in the New York State Education Regulations as the “formal educational requirements necessary to qualify for certificates or degrees [and] …includes general education or specialized study in depth in a particular field, or both.” These academic programs are represented by the program titles under which the state education department has registered the university's degree programs.

Degree Programs: Academic programs in which the end result is a graduate degree. This definition applies to degrees at the Master’s and Doctoral levels.

Advanced Certificates: A post-baccalaureate certificate composed of graduate level coursework. Advanced certificate study is separate from that of study in preparation for a degree in that a student must apply separately for degree program study.

Certificates of Advanced Study: Post-master’s certificate that permits students to further their knowledge through detailed study.

Statements

A. Degree Programs

Admission to the graduate degree programs at Empire State University is selective. Criteria for admission includes:

Documented completion of a bachelor’s degree from a regionally accredited institution.

Documented completion of a master’s degree from a regionally accredited institution for doctoral degree consideration.
An appropriate correlation between the candidate's objectives and the particular graduate program to which they are applying.
Evidence of the candidate’s preparation to pursue the subject matter and the ability to meet the academic demands of the program to which they are applying, including completion of any required prerequisites, entrance exams, and licenses.

The dean of the appropriate school, upon the recommendation of the graduate faculty, makes the final decision regarding admission.

B. Advanced Certificates

Criteria for admission includes:

Documented completion of a bachelor’s degree from a regionally accredited institution.
Applicants to the advanced certificate programs will be admitted once all required application materials are submitted.

C. Certificates of Advanced Study

Criteria for admission includes:

Documented completion of a master’s degree from a regionally accredited institution.
Additional documentation including any required licenses or entrance exams.
Applicants to the certificate of advanced study programs will be admitted once all required application materials are submitted.

It is the policy of Empire State University, State University of New York, to provide equal opportunity in education and employment for all qualified persons and prohibit discrimination on the basis of race, color, national origin, religion, age, sex, sexual orientation, disability, veteran status or marital status.

Applicants must complete the admissions process within one year of submitting an application. After one year, any application materials received by the Admissions Office will be purged.

Applications must be completed and submitted by the published deadline in order to be considered for admission to an upcoming term unless extended by the appropriate school. All graduate programs are term based. Term options for initial enrollment are specific to the degree or certificate to which a student has been accepted (fall, spring, summer).

An applicant who is denied admission may apply again (to any Empire State University graduate degree program) after a period of one year from the prior date of application. Applicants who wish to appeal denial of admission may do so in a letter to the dean or designee of the appropriate school.

For most programs, admitted applicants may enroll initially in the graduate program within three calendar years from the date of admission. Those who wish to initiate enrollment after this time must reapply for admission.

In some cohort-based or limited-seat enrollment programs, applicants must enroll in the program within one year, otherwise they must reapply. These programs are identified in the graduate catalog, on the website and by the admission letter.

For programs with one-year acceptance polices, one-year deferrals are granted on a case-by-case basis for extenuating circumstances. Deferral requests must be submitted in writing to the appropriate graduate dean by July 15. There is no guarantee that the deferral request will be approved. Applicants whose requests are denied may reapply for admission. Students approved for a one-year deferral are required to confirm intention for fall enrollment by January 31 of the following year.

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

Graduate Minimum Study Policy
Graduate Nonmatriculated Enrollment Policy
Procedure for applying to graduate degree programs and advanced certificates
Appeal procedure for denied graduate applicants

GRADUATE ADMISSION PROCEDURE

Graduate Degree Programs
It is the applicant’s responsibility to gather supporting credentials and submit them to Admissions. Applicants must apply using the online applications. Once all application materials are received by Admissions, the completed application will be sent to the School for Graduate Studies for review.

A complete application consists of the following:

Application Form
Official transcripts – Official undergraduate and graduate transcripts from all institutions attended are submitted to the Admissions office. Transcripts from a non-U.S. institution must be evaluated by a member organization of the National Association of Credential Evaluation Services (NACES). Empire State University graduates do not need to request a transcript. One will automatically be placed in their application folder.
Essays – Required essay(s) specific to the degree program.
Resume – A resume including previous experience, education, and other achievements.
Recommendations – Select programs require letter(s) of recommendation from appropriately qualified persons. Personal references are not acceptable. The School for Graduate Studies Recommendation Form must be used. Letters of recommendation may be attached to the form.
English Language Proficiency – Applicants for whom English is not the first language must submit proof of proficiency. The School for Graduate Studies will accept the Test of English as a Foreign Language (TOEFL) or International English Language Testing System (IELTS) test scores taken within the last three years. You must score within the range of 79-94 on the TOEFL internet-based test (iBT), 250 on the computer-based test (CBT), 600 on the TOEFL paper-based test (PBT), or 6.5-7 on the IELTS to be considered for admission to the Empire State University graduate degree programs. Applicants, who have completed a bachelor’s degree from a U.S. institution or from an institution where the instruction was given in English, may be exempt.
Orientation fee – $50 nonrefundable.

Advanced Certificates
Applicants must apply using the online application. A complete application consists of the following:

Application Form
Official transcripts – Official undergraduate transcript is submitted to the Admissions office. Transcripts from a non-U.S. institution must be evaluated by a member organization of NACES. Empire State University graduates do not need to request a transcript.
English Language Proficiency – Applicants for whom English is not the first language must submit proof of proficiency. The School for Graduate Studies will accept TOEFL or IELTS test scores taken within the last three years. You must score within the range of 79-94 on the TOEFL internet-based test (iBT), 250 on the computer-based test (CBT), 600 on the TOEFL paper-based test (PBT), or 6.5-7 on the IELTS to be considered for admission to the Empire State University advanced certificate programs. Applicants, who have completed a bachelor’s degree from a U.S. institution or from an institution where the instruction was given in English, may be exempt.
Resume – A resume including previous experience, education, and other achievements.
Orientation fee – $50 nonrefundable.

Admissions: Appealing a Denial Procedure

Applicants wishing to appeal an admission decision must do so in a letter to the dean or designee of the appropriate school. The letter should indicate important qualifications, which the student feels they demonstrated in their application, that show strong potential for success in graduate study. This reason alone can be used to appeal an admission decision. The appeal can request that the dean or designee review the application or that the one-year waiting requirement be waived so the applicant can apply for the next available term. If the applicant feels they can develop a stronger application with more time, they should request a waiver of the time period. Requests for both will not be considered. Therefore, the applicant must specify whether they are appealing the decision or the waiting period for reapplication.

GRADUATE EVALUATION AND GRADING POLICY AND PROCEDURES

PURPOSE

To define the evaluation and grading system for graduate students.

DEFINITIONS

n/a

STATEMENTS

Graduate Evaluation and Grading

Empire State University features student-centered, mentored learning in all of its modes of study, from guided independent study to residency-based courses and online or blended courses. Regardless of the method of study:

The learning experience effectively supports the student's active engagement with the subject of study.
The course instructor guides, responds to and evaluates students throughout the learning experience.
In independent studies, evaluation procedures_ are targeted to the needs of the particular individualized study.

Learning Contract/Syllabus

The learning contract or syllabus defines the learning objectives of the course, the learning activities to be completed, and the methods and criteria for evaluating the student's performance. A well-designed learning contract /syllabus lays the foundation for effective student evaluation by clearly outlining learning objectives and activities and methods and criteria for evaluation. The course instructor evaluates the student's work in light of these elements throughout the learning experience. Thus, the course instructor's feedback to the student is rooted in the learning contract /syllabus itself and occurs throughout the course.

Evaluation

Grades issued at Empire State University document students' academic growth. At the same time, students need to meet the minimum performance standards established for each course for credit to be awarded. To support student achievement, SUNY Empire faculty may afford students opportunities to revise work during a course in order to meet performance standards at the minimum or a higher level. Nevertheless, a student who works hard and shows progress, and is still not able to meet the stated criteria for evaluation, does not earn graduate credit.

Grades

The university uses a 4.00 grading scale. The grade assigned to a graduate course completed at Empire State University may be any of the following:

Grade Quality Point
A 4.00
A- 3.67
B+ 3.33
B 3.00
B- 2.67
C+ 2.33
C 2.00
F 0.00

Pass (P) - This grade is awarded for specific courses in which the student has performed at the B or better level.

No Pass (NP) - This grade is awarded for specific courses in which the student has performed at the 8- or lower level.

NP does not count as credit earned and therefore may negatively impact satisfactory academic progress. Please refer to the Graduate Satisfactory Academic Progress Policy.

Incomplete (IN) - When extenuating circumstances arise, a student may request an outcome of incomplete (IN) from the course instructor. The course instructor may submit an incomplete only when the student has consistently engaged in ,learning activities and has successfully completed at least 50 percent of the work before the end of the term. The course instructor is not obligated to grant_an incomplete.

A student who receives an IN grade must complete the course within 15 weeks of the end date of the term, or earlier if the course instructor has specified an earlier completion date.

If the course is not completed within the incomplete period, the IN automatically converts to F.

IN does not count as credit earned and therefore may negatively impact satisfactory academic progress. Please refer to the Graduate Satisfactory Academic Progress policy.

Administrative Withdrawal (ZW) - If a student registers for a course, does not withdraw, and does not engage in significant learning activities throughout the term, the course instructor may submit a grade of administrative withdrawal (ZW).

ZW does not count as credit earned and therefore may negatively impact satisfactory academic progress. Please refer to the Graduate Satisfactory Academic Progress policy.

Withdrawal (WD) - A withdrawal (WD) is initiated by the student status.

A student may withdraw form a course on or before the end of the 10th week of a 15-week term or the end of the 5th week of an 8-week term.

Evaluated Credit (EV) - In master's programs that provide an opportunity for assessment, an EV denotes credit awarded through the assessment process.

Grades of NP, IN, ZW, WD and F have specific implications for financial aid eligibility. For an explanation, see the Empire State University Statements on Eligibility for New York State Financial Aid and Federal Financial Aid.

Grade Point Average (GPA) Calculation

Graduate Cumulative GPA

is based on graduate level courses enrolled in at Empire State University;
includes courses regardless of program and matriculation status;
does not include transfer credit or credit awarded through assessment;
based only on Empire State University courses in which a letter grade is assigned; and

Graduate Program GPA

is based on courses in the active academic program(s) and calculated by active program (e.g. advanced certificate or degree);
based only on courses enrolled in at Empire State University that are a part of the active academic program(s);
does not include transfer credit or credit awarded through assessment;
based only on Empire State University courses in which a letter grade is assigned; and
is used to determine recommendation for graduation.

The following letter grades are included in the GPA:

Grade Quality Point
A 4.00
A- 3.67
B+ 3.33
B 3.00
B- 2.67
C+ 2.33
C 2.00
F 0.00

Repeated Courses

A student may repeat a graduate course only once. When a student repeats a course, the highest grade will be used for purposes of the calculation of a grade point average. Grades of IN, ZW, and WO do not replace the original grade in the calculation of the grade point average. The original course remains a part of the transcript . Note that both the original and the repeated course must still be included in the satisfactory academic progress calculation. Since a course can only be repeated once, if a student is not successful when attempting to repeat a required course, the student is dismissed from her/his academic program.

Minimum Grade Point Average Requirement

Empire State University graduate students must maintain a program GPA of at least 3.00. A program GPA of at least 3.00 is a requirement for graduation.

Master of Arts in Teaching students must maintain a program GPA of at least 3.00 in order to be recommended for and maintain NYS transitional B certification.

Please refer to the Graduate Academic Standing Policy for details regarding warning and dismissal.

Procedure for Retroactive Assignment of Grades

Prior to July 1, 2007 the university provided narrative evaluations without grades. On occasion, a student who received narrative evaluations would later request that the university assign grades to the narratives. When such a request was received, the university, where possible, added grades to the narratives.

For students matriculated in a graduate program at Empire State University before July 1, 2007, the university will continue to respond to student requests, consistent with the procedure detailed below. For students who re-matriculate after that date, there will be no later assignment of letter grades to narrative evaluations.

The procedure for retroactive assignment of grades is as follows:

For each Empire State University course for which the original course instructor is available, the course instructor is responsible for assigning a grade based on the contract evaluation and the instructor's records and recollection of the student's work in the course. If the course instructor is no longer available, or if the course instructor is not able to make a letter grade judgment, no grade is assigned. In exceptional circumstances, this procedure cannot fully meet a student's needs. In such a case, the dean of the appropriate school consults the provost on appropriate alternatives.
The dean of the appropriate school forwards the grades to the university registrar.
The registrar adds the grades to the narrative evaluations, and thereby includes them in the student's official transcript.

Appeal of Grades

A student may appeal a grade as provided in the Student Academic Appeals Policy.

APPLICABLE LEGISLATION AND REGULATIONS

n/a

RELATED REFERENCES, POLICIES, PROCEDURES, FORMS AND APPENDICES

Transfer Credit, Academic Appeals Policy and Procedures, Satisfactory Academic Progress Policy, & Graduate Academic Standing Policy

GRADUATE FINANCIAL AID SATISFACTORY ACADEMIC POLICY

Purpose

Academic conditions under which a graduate student may remain eligible for financial aid.

Definitions

Statements

This policy statement describes the academic conditions under which a graduate student is eligible for financial aid.

A student is expected to complete courses, accumulate credit in proportion to the credit attempted (i.e. meet academic progress expectations), and meet the grade point average (GPA) requirement to make progress toward a degree/certificate.

Sometimes a student makes less academic progress than expected. When this occurs, the university notifies the student with a satisfactory progress or GPA warning or dismissal.

Satisfactory Academic Progress Determination

1.   A student is making good satisfactory academic progress when s/he maintains a cumulative GPA of at least 3.00 and consistently earns credit toward the degree or certificate sought, which is defined as successfully completing 67% of attempted credits.
2.   Academic progress is monitored at the end of each term.
3.   Academic progress is cumulative across graduate programs at the university.
4.   Completion of prerequisite/deficiency requirements for admission to a master's program does not count toward the credit required to earn a master's degree. Therefore, these credits do not count toward meeting satisfactory academic progress expectations.

5.   Academic progress advances only when a student earns credit toward the degree or certificate sought. A student earns no graduate-level credit and makes no progress academically when the student receives any of the following grades for a graduate course:
•   Incomplete (IN)
•   F

•   No Pass (NP)
•   Administrative Withdrawal (ZW)
•   Withdrawal (WD)

These grades count in the determination of credits attempted, and thus affect the calculation of the student's cumulative rate of progress and GPA.

Financial Aid Warning

A student is placed on financial aid warning after the student earns credit for less than 67% of the student's attempted credits, or falls below the minimum required 3.0 GPA.

Rescinding a Financial Aid Warning

A financial aid warning is in effect for one term until it is rescinded or financial aid eligibility is lost. A financial aid warning is rescinded when the student's progress rate or GPA returns to a satisfactory level.

Financial Aid Suspension

1. A student loses their financial aid eligibility when after one subsequent term of enrollment after being placed on financial aid warning, the student's progress rate or GPA does not return to a satisfactory level.
2. A student who has lost financial aid eligibility may continue to take coursework without financial aid as long as s/he maintains satisfactory academic standing

Appeal of Financial Aid Suspension

A student may appeal the loss of financial aid eligibility by submitting a written appeal to the Financial Aid Office. Appeals are granted at the discretion of the dean, or designee, of the student's school and the Financial Aid Office. If approved, the Financial Aid Office, in conference with an appropriate representative of the student's school, will grant a specific number of terms by which a student must return to good satisfactory academic progress or the required minimum GPA, detailed in an individualized Academic Plan or Probation Agreement. If the student meets the terms of the Academic Plan or Probation Agreement signed upon approval of the appeal and thus returns to the minimum 67% successful completion rate or 3.0 cumulative GPA by the end of the designated number of terms, the student restores his/her good satisfactory academic progress. If the student does not meet the terms, the student will once again lose financial aid eligibility.

A student who has lost financial aid eligibility for a second time is not eligible to receive financial aid for graduate study at Empire State University in the future.

Appeals

An explanation of the appeals process is in the Academic Appeals Policy and Procedures

Applicable Legislation and Regulations

N/A

Related References, Policies, Procedures, Forms and Appendices

Graduate Evaluation and Grading Policy, Graduate Academic Standing Policy, financial aid policies

GRADUATE FRESH START POLICY

Purpose

To identify conditions under which a student may have courses from previous matriculations excluded from Graduate Grade Pont Averages (GPA).

Definitions

Fresh Start - when course outcomes from prior matriculations are excluded from current graduate cumulative GPA and program GPA.

Statements

In certain circumstances, a graduate student who performed poorly in a previous matriculation may request a Fresh Start when matriculating in a new degree or certificate program. To be eligible for a fresh start, a student must be applying for, or matriculated in, a new graduate degree or certificate. A student must request a Fresh Start at the time of application or during the student's first term of enrollment in the new degree or certificate program from the appropriate school's dean, or designee. Approval of a Fresh Start is at the sole discretion of the dean, or designee. Additionally, the dean of the appropriate school, or designee, may at his or her sole discretion grant a Fresh Start at the time of reinstatement for students who are being reinstated into a degree or certificate program after an academic dismissal. It is important to note that the Fresh Start policy does not impact calculations for Satisfactory Academic Progress related to financial aid eligibility.

Appeals

An explanation of the appeals process is in the Academic Appeals Policy and Procedures.

Applicable Legislation and Regulations

n/a

Related References, Policies, Procedures, Forms and Appendices

Graduate Evaluation and Grading Policy, financial aid policies, and Graduate Academic Standing Policy

GRADUATE MEDICAL OR COMPASSIONATE WITHDRAWAL POLICY

Purpose

To identify conditions under which a student may receive a medical or compassionate withdrawal from graduate courses.

Definitions

n/a

Statements

A student who experiences a serious and unexpected medical issue or has an immediate family member die or experience a serious and unexpected medical issue that prevents the student from completing their coursework may request a medical or compassionate withdrawal from the dean, or designee, of the appropriate school. Medical or compassionate withdrawal requests must be made during the term of enrollment. They may not be requested or granted retroactively after the last day of a term. Requests for medical or compassionate withdrawals should be supported by appropriate medical or other documentation. Medical or compassionate withdrawals are granted at the sole discretion of the dean, or designee. Courses from which a student is medically or compassionately withdrawn do not count toward attempted courses for the purposes of the Course Repeat Limit. It is important to note that a medical or compassionate withdrawal does not exclude courses from the Satisfactory Academic Progress calculations for financial aid eligibility.

Appeals
An explanation of the appeals process is in the Academic Appeals Policy and Procedures.

Applicable Legislation and Regulations

n/a

Related References, Policies, Procedures, Forms and Appendices

Graduate Evaluation and Grading Policy, financial aid policies, and Graduate Academic Standing Policy

GRADUATE MINIMUM STUDY POLICY

Purpose

To define active graduate status and how a student requests to return to a graduate program.

Definitions

Designee: person designated by the school’s dean to make certain administrative decisions
Active: The status of a student who meets the requirements of the minimum study policy
Inactive: The status of a student who does not meet the requirements of the minimum study policy

Statements

To remain active, a student must enroll for a minimum of one credit-bearing course during an academic year. If a student has not enrolled in a credit-bearing course and has not been granted a leave of absence by the dean of the school, or designee, the student will be considered inactive and administratively withdrawn from the program.
If a student has been administratively withdrawn from a program and wishes to return, the student must reapply to the university. The student’s application will be reviewed for admission under the admission standards that are current at the time of the new application.

Students can also be administratively withdrawn for failure to pay the tuition and/or fees required by the program or academically dismissed for failure to meet the expectations of the Graduate Evaluation and Grading Policy, Graduate Academic Standing Policy, or Teacher Professional Expectations Policy.

Applicable Legislation and Regulations

Not applicable.

Related References, Policies, Procedures, Forms and Appendices

•   Graduate Evaluation and Grading Policy.
•   Graduate Academic Standing Policy.
•   Teacher Professional Expectations Policy.
•   Graduate Admissions Policy.

GRADUATE NONMATRICULATED ENROLLMENT POLICY

Purpose

Defines enrollment for student not seeking a degree

Definitions

Nonmatriculated: nondegree study; not admitted to a graduate program

Statements

A student may wish to engage in graduate-level study with no intention to earn a degree. For example, a student may want to stay current in the field or earn credit that will count toward a degree at another college or university.

Policy

The following applies to nonmatriculated study:
1. Study is limited to two graduate courses in the School of Nursing and Allied Health if the student is in good academic and financial standing.
2. Students may complete as many courses as they wish in the School for Graduate Studies. However, the number of courses taken as a non-matriculated student that can later be applied to a degree or advanced certificate program is limited by the Graduate Transfer, Cross-Registration, Nonmatriculated, & Evaluated Credit Policy.
3. The student may enroll in a limited selection of courses offered each term.
4. An official transcript must be provided verifying completion of a bachelor’s degree or higher level degree from a regionally accredited institution prior to registration as a nonmatriculated student.
If a student begins as nonmatriculated and is later admitted to a degree or certificate program, only those courses appropriate to the degree or certificate program are eligible to be counted toward degree or certificate program.
Although successful completion of courses as a nonmatriculated student will be considered in admissions decisions, it does not automatically qualify an individual for admission.
Nonmatriculated students are not eligible for financial aid.
Active status is determined by the Graduate Minimum Study Policy.

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

GRADUATE SATISFACTORY ACADEMIC PROGRESS

Purpose

Academic conditions under which a graduate may remain eligible for financial aid.

Definitions

n/a

Statements

This policy statement describes the academic conditions under which a graduate student is eligible for financial aid.

A student is expected to complete courses, to accumulate credit in proportion to the credit attempted (i.e. meet academic progress expectations), and to make progress toward a
degree/ certificate.

Sometimes a student makes less academic progress than expected. When this occurs, the university notifies the student satisfactory progress warning or dismissal.

Satisfactory Academic Progress Determination

A student is making satisfactory academic progress when s/he consistently earns credit toward the degree or certificate sought, which is defined as earning 67% of attempted credits.
Academic progress is monitored at the end of each term.
Academic progress is cumulative across graduate programs at the university.
Completion of prerequisite/deficiency requirements for admission to a master's program does not count toward the credit required to earn a master's degree. Therefore, these credits do not count toward meeting satisfactory academic progress expectations.
Academic progress advances only when a student earns credit toward the degree or certificate sought. A student earns no graduate-level credit and makes no progress academically when the student receives any of the following grades for a graduate course:
- Incomplete (IN)
- F
- No Pass (NP)
- Administrative Withdrawal (ZW)
- Withdrawal issued on or after 29th day of term (WD)

These grades count in the determination of credits attempted, and thus affect the calculation of the student's cumulative rate of progress.

Financial Aid Warning

A student is placed on financial aid warning the student earns credit for less than 67% of the student's attempted credits.

Rescinding an Financial Aid Warning

A financial aid warning is in effect until it is rescinded or financial aid is suspended. A financial aid warning is rescinded when the student's progress rate returns to a satisfactory level.

Financial Aid Suspension

A student receives a financial aid suspension when after one subsequent term of enrollment after being placed on financial aid warning the student's progress rate does not return to a satisfactory level.
A student who is on financial aid suspension may continue to take coursework without financial aid as long as s/he maintains satisfactory academic standing.

Appeal of Financial Aid Suspension

A student may appeal Financial Aid Suspension to the dean, or designee, of the appropriate school. An appeal of a Financial Aid Suspension must present written evidence that the student is ready and able to make satisfactory progress and include an academic plan co-developed with the student's academic advisor, which includes the number of terms within which the student will return to satisfactory academic progress. Appeals of financial aid suspension are granted at the discretion of the dean, or designee. If approved, the dean, or designee, will grant a specific number of terms by which a student must return to satisfactory academic progress. If the student returns to satisfactory academic progress by the end of the designated number of terms, the student returns to good standing. If the student does not return to satisfactory academic progress by the end of the designated number of terms, the student will be placed on Financial Aid Suspension.

A student placed on Financial Aid Suspension for a second time, is not eligible to receive financial aid for graduate study at Empire State University in the future.

Appeals

An explanation of the appeals process is in the Academic Appeals Policy and Procedures.

Applicable Legislation and Regulations

n/a

Related References, Policies, Procedures, Forms and Appendices

Graduate Evaluation and Grading Policy, financial aid policies

GRADUATE SUBSEQUENT PROGRAMS AT THE SAME CREDENTIAL TYPE POLICY

PURPOSE

Defines and details the percentage of graduate credits a graduate student must complete at Empire State University to earn a subsequent graduate-level degree or certificate of the same credential type as a previously earned credential.

DEFINITIONS

Degree Program: Academic program in which the end result is a graduate degree. This definition applies to degrees at the doctoral and master’s level.

Advanced Certificate: A post-baccalaureate certificate composed of graduate level coursework. Advanced certificate study is separate from that of study in preparation for a degree in that a student must apply separately for degree program study.

Certificates of Advanced Study: Post-master’s certificate that permits students to further their knowledge through detailed study.

STATEMENTS

Students who have completed a degree program, advanced certificate, or certificate of advanced study and are accepted into a subsequent graduate program of the same credential type (e.g., master's degree/master's degree or advanced certificate/advanced certificate) must follow the requirements below:

Students can only be active in one program at the same credential type at a time. The completion of a subsequent program at the same type must be done sequentially, not concurrently.
No more than 50% of the credits toward a subsequent program at the same credential type may have been used to fulfill the requirements of the first program at the same credential type. Schools and individual programs may set lower limits. See the graduate catalog for individual program limits.
Students cannot use credits older than 6 years in the subsequent program. The age of the credit is determined by the term of enrollment.
Evaluated credit earned in the any prior program may not be used in any subsequent programs.
Transfer credit used in the any prior program may not be used in any subsequent programs.

Students may appeal any decision made about the use of credit in a subsequent graduate program in accordance with the Student Academic Appeals Policy and Procedure.

See the Graduate Transfer, Cross-Registration, and Evaluated Credit Policy for specific rules on the use of transfer, cross-registration, and evaluated credit to meet advanced certificate, degree program, and certificate of advanced study requirements.

APPLICABLE LEGISLATION AND REGULATIONS

SUNY Awarding of Two Degrees at the Same Level Policy

RELATED REFERENCES, POLICIES, PROCEDURES, FORMS AND APPENDICES

Graduate Transfer, Cross-Registration, & Evaluated Credit Policy

Student Academic Appeals Policy and Procedures

GRADUATE TIME LIMIT FOR PROGRAM COMPLETION POLICY

Purpose

To specify the time period for the completion of a graduate program and how to request a waiver.

Definitions

Graduate Program: An advanced certificate, master’s degree, certificate of advanced study or doctoral degree.

Statements

A graduate program must be completed within six years of initial enrollment for an advanced certificate, certificate of advanced study or master’s degree, and eight years of initial enrollment for a doctoral degree. If a student exceeds the time limit, they may be permitted to continue if a waiver is granted.

A waiver of the completion rule is granted by the dean or designee of the appropriate school. The student needs to make this request in writing and in consultation with their academic advisor and the head of the student’s program. While waivers are rare, the dean or designee will consider the request based upon factors such as special hardship, excellence of work and closeness to completion.

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

Graduate Minimum Study Policy
Graduate Leave of Absence Procedure

GRADUATE TRANSFER, CROSS-REGISTRATION, AND EVALUATED CREDIT POLICY

Purpose

To define requirements for the acceptance of graduate transfer credit and the total number of graduate transfer, cross-¬registration, and evaluated credits that may be applied to a graduate program.

Definitions

Degree Programs: Academic programs in which the end result is a graduate degree. This definition applies to degrees at the master’s and doctoral levels.

Certificates of Advanced Study: Post-master’s certificate that permits students to further their knowledge through detailed study.

Cross Registration: The act of enrolling in a course(s) at a different institution of higher education while matriculated at Empire State University via the approved cross registration process.

Evaluated Credit: At the graduate level this is credit earned via assessment or prior learning assessment. The ability to earn/use evaluated credit is limited to those graduate programs that permit evaluated credit.

Shared Credit: Credit earned in one Empire State University graduate program that can be used in a different/subsequent Empire State University graduate program.

Transfer Credit: Credit earned at an institution of higher education other than Empire State University used in a SUNY Empire graduate program.

Statements

Students may transfer, cross register, and/or earn evaluated credit for up to a combined total of 12 credits into master's programs, 6 credits into doctoral programs, and up to 3 credits into advanced certificate programs and certificates of advanced study. Students must complete at least 50% of credits toward a degree or certificate of advanced study while a matriculated student in a degree or certificate of advanced study in the School for Graduate Studies or School of Nursing and Allied Health.

To be eligible for consideration, transfer or cross-registration credits must:

be graduate level, and 7000-level or above for doctoral programs;
be from a regionally accredited college or university;
have a final grade of B or better;
be related to the student's program/content area; and
be no more than six years old at the time of the student's admission to the graduate program.

A student begins the transfer request process by having an official transcript sent to the university and course syllabus of all credit they wish to be considered sent to the appropriate school:

For master's programs that require an approved formal degree program (DP), the student discusses transfer credit during degree planning with their advisor. Transfer credit approval is at the discretion of the program faculty.
For all other programs, requests for transfer credit must be discussed with the student’s advisor. Transfer credit approval is at the discretion of the program faculty per the procedures of the relevant school.

Before cross-registering for a course, students should receive approval. Approval is at the discretion of the student's advisor in the School of Nursing and Allied Health. In the School for Graduate Studies, approval varies by division:

Business, Management and Leadership – At the discretion of the program coordinator, or division chair for programs without a coordinator, in consultation with the advisor.
Education – At the discretion of the advisor.
Graduate Liberal Arts and Science – At the discretion of the advisor.

The ability to earn credit by evaluation is determined at the program level. Individual programs that allow for credit by evaluation are identified in the graduate catalog.

See the Graduate Subsequent Programs at the Same Credential Level Policy for specific rules on the use of shared credits from a previously awarded graduate credential.

Schools and individual programs may set lower limits for transfer, cross registration, nonmatriculated, and evaluated credit. See the graduate catalog for individual program limits.

Students may appeal any decision made about transfer credit as outlined in the academic appeals policy and procedures.

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

Graduate Evaluation and Grading Policy

Graduate Subsequent Program of the Same Credential Type Policy

Cross Registration Procedure

Academic Appeals Policy and Procedures

INCOMPLETE PROCEDURE

When extenuating circumstances arise, a student may submit a request an outcome of incomplete (IN) from the course instructor. The course instructor may approve an incomplete request only when the student has consistently engaged in learning activities and has successfully completed at least 50 percent of the work before the end of the term. The course instructor is not obligated to grant an incomplete.

A student who receives an IN grade must complete the course within 15 weeks of the end date of the term, or earlier if the course instructor has specified an earlier completion date. If the course is not completed within the incomplete period, the IN will systematically be converted to the default grade the instructor provided at the time of the incomplete approval. An incomplete does not count as credit earned and therefore may negatively impact satisfactory academic progress.

It is important to note the following regarding IN outcomes:

An incomplete period will include the break period between terms but exclude any no appointment periods.
An IN outcome does not count as credit earned and, therefore, may negatively impact satisfactory academic progress. Please refer to the policy on financial aid satisfactory academic progress.

To submit an Incomplete Grade Request, the student logs in to MySUNYEmpire, clicks on Self-Service Banner, the Student link and then the Incomplete Grade Request link. The student must provide:

A rationale for the request.
A plan for completion that includes a list of all work due.
A check in the box stating that the student agrees to the incomplete conditions as stated in the graduate catalog.

An email will be sent to the student after the course instructor has approved or denied the request. If approved, the email will contain:

The default grade that will be issued if no work is completed.
List of outstanding work to be completed.
The work due date.

LEAVE OF ABSENCE PROCEDURE

A leave of absence should be requested if a graduate student will be out of their program (not taking courses) for two or more consecutive terms. If the student plans to skip an enrollment (not take courses) for only one term, then there is no need to request a leave of absence. By being on an approved leave of absence, the student is able to maintain active status without enrolling in courses.

It is very important to note that a leave of absence does not extend the time period for program completion (see Graduate Time Limit for Program Completion Policy located elsewhere in this catalog). It is also important to note that a leave of absence does not cancel a registration, grant an incomplete for a course or extend an existing incomplete.

Before requesting a leave of absence, the student should withdraw from courses if enrolled. The leave request should include the length of time (leaves are typically granted for one year) and the reason for the request. The request should be submitted to the student’s school:

School for Graduate Studies – complete the form in the Graduate Student Center on MySUNYEmpire
School of Nursing and Allied Health – send an email to SONAH.Services@sunyempire.edu

NON-DISCRIMINATION/ANTI-HARASSMENT POLICY

Purpose

SUNY Empire State University (University) is an equal-opportunity employer committed to an educational and employment environment in which all individuals (faculty, staff, students and visitors) are treated with respect and dignity. Each individual has the right to work or study in a professional atmosphere that promotes equal treatment and addresses discriminatory practices, including harassment. The university expects that all relationships among persons at the university are professional and free of bias, prejudice and harassment.

Sexual harassment, specifically, is addressed in SUNY Empire policy 100.014 Sexual Harassment Response and Prevention Statement.

Definitions

Harassment: Under this policy, harassment is verbal or physical conduct that denigrates or shows hostility or aversion toward an individual because of his/her race, color, creed, national origin, sex, age, disability, sexual orientation, gender identity, marital status, domestic violence victim status, or any other characteristic protected by law or that of his/her relatives, friends or associates, and that:

has the purpose or effect of creating an intimidating, hostile or offensive work or study environment
has the purpose or effect of unreasonably interfering with an individual’s work or study performance
otherwise adversely affects an individual’s employment or learning opportunities.

Harassing conduct includes, but is not limited to epithets, slurs or negative stereotyping; threatening, intimidating or hostile acts; denigrating jokes and display or circulation on the campus of written or graphic material that denigrates or shows hostility or aversion toward an individual or group (including through email).

Protected Categories of Discrimination: Discrimination can take many forms. For the purpose of this policy, the protected categories under discrimination are race, color, national origin, religion, creed, age, disability, sex, gender identity or expression, sexual orientation, familial status, pregnancy, predisposing genetic characteristics, military status, domestic violence victim status, or criminal conviction.

Statements

It is the policy of Empire State University to provide an educational and employment environment free from all forms of intimidation, hostility, offensive behavior and discrimination and harassment, including sexual harassment. Such behavior or tolerance of such behavior on the part of an administrator, supervisor, faculty or staff member violates this policy and may result in administrative action, civil and/or legal action. The university will not tolerate retaliation against any individual who makes a complaint of discrimination, harassment or who participates in an investigation. Concerns of retaliation will be investigated and are subject to disciplinary action.

Individuals and Conduct Covered

This policy applies to faculty, staff and students, and prohibits harassment, discrimination and retaliation with respect to applicants, employment, programs or activities at the university whether engaged in by fellow employees, faculty, supervisors or administrators, or by someone not directly connected to the university (e.g., an outside vendor, consultant or customer).

Conduct prohibited by these policies is unacceptable in the workplace/academic class and in any university-related setting, including business trips, meetings and university-related social events.

Retaliation is Prohibited

It is unlawful to retaliate against an individual when it comes to any aspect of employment, including hiring, firing, pay, job assignments, promotions, layoff, training, fringe benefits and any other term or condition of employment. In addition, it is illegal to retaliate against any individual who reports acts of discrimination or harassment or participates in an investigation of such reports. Retaliation against an individual for reporting harassment or discrimination or for participating in an investigation of a claim of harassment or discrimination is a serious violation of this policy and, like harassment or discrimination itself, will be the subject of disciplinary action.

Information and Reporting

Employee questions regarding harassment, sexual harassment or discrimination may be addressed to the Office of Human Resources, 2 Union Avenue, Saratoga Springs, NY 12866-4391 (518) 587-2100, ext. 2240 or (800) 847-3000, ext. 2240 or TitleIX@esc.edu

Student questions can be directed to Lindsay Holcomb, Director of Human Resources and Interim Title IX Director, 518-581-2239 or TitleIX@sunyempire.edu

All allegations of harassment or discrimination are taken very seriously. The university will act positively to investigate alleged harassment and to affect remedy when an allegation is substantiated. Supervisors and other university officials are required to report any known or perceived incidences of harassment or discrimination to the affirmative action officer.

Applicable Legislation and Regulations

Empire State University complies with state and federal laws prohibiting discrimination and sexual harassment including Title VI of the Civil Rights Act of 1964, Title IX of the Education Amendment of 1972, Sections 503 and 504 of the Rehabilitation Act of 1973, Title II of the Americans with Disabilities Act of 1990, New York's Human Rights Law, Governor’s Executive Order No. 33 prohibiting discrimination on the basis of gender identity, and the Age Discrimination Act.

Related References, Policies, Procedures, Forms and Appendices

Discrimination and Sexual Harassment Compliant Procedure: Policy 900.017.

The university’s Affirmative Action Plan describes initiatives undertaken to prevent discrimination and harassment and nurture an inclusive, respectful and collegial environment among employees, students and visitors. The Affirmative Action Plan has been prepared in accordance with State University of New York policy and the regulations promulgated by the Office of Federal Contract Compliance Programs (OFCCP), U.S. Department of Labor, 41 CFR Chapter 60 and Executive Order 11246, Governor’s Executive Order No. 28 that prohibits discrimination relating to employment based on sexual orientation, Executive Order 19 pertaining to victims of domestic violence, and the State University of New York’s Policies of the Board of Trustees.

TITLE IX GRIEVANCE POLICY

Purpose

Title IX of the Educational Amendments of 1972 prohibits any person in the United States from being discriminated against on the basis of sex in seeking access to any educational program or activity receiving federal financial assistance. The U.S. Department of Education, which enforces Title IX, has long defined the meaning of Title IX’s prohibition on sex discrimination broadly to include various forms of sexual harassment and sexual violence that interfere with a student’s ability to equally access our educational programs and opportunities.

In recent years, “Title IX” cases have become a short-hand for any campus disciplinary process involving sex discrimination, including those arising from sexual harassment and sexual assault. But under the Final Rule, SUNY Empire must narrow both the geographic scope of its authority to act under Title IX and the types of “sexual harassment” that it must subject to its Title IX investigation and adjudication process. Only incidents falling within the Final Rule’s definition of sexual harassment will be investigated and, if appropriate, brought to a live hearing through the Title IX Grievance Policy defined below.

SUNY Empire remains committed to addressing any violations of its policies, even those not meeting the narrow standards defined under the Title IX Final Rule.

Specifically, our campus has a Sexual Violence Prevention and Response Policy that addresses the types of sex-based offenses constituting a violation of campus policy and the procedures for investigation and adjudicating those sex-based offenses.

To the extent that alleged misconduct falls outside the Title IX Grievance Policy, or misconduct falling outside the Title IX Grievance Policy is discovered in the course of investigating covered Title IX misconduct, the institution retains authority to investigate and adjudicate the allegations under the policies and procedures defined within the Sexual Violence Prevention and Response Policy through a separate grievance proceeding described in the Discrimination Complaint Procedures and Student Conduct Policy and Procedures.

The elements established in the Title IX Grievance Policy under the Final Rule have no effect and are not transferable to any other policy of the University for any violation of the Code of Conduct, employment policies, or any civil rights violation except as narrowly defined in this Policy. This Policy does not set a precedent for other policies or processes of the University and may not be cited for or against any right or aspect of any other policy or process.

Our existing Title IX office and reporting structure remains in place. What has changed is the way our Title IX office will handle different types of reports arising from sexual misconduct, as detailed in full throughout Section 2.

Definitions

Covered Sexual Harassment: For the purposes of this Title IX Grievance Policy, “covered sexual harassment” includes any conduct on the basis of sex that satisfies one or more of the following:

An employee conditioning educational benefits on participation in unwelcome sexual conduct (i.e., quid pro quo);
Unwelcome conduct that a reasonable person would determine is so severe, pervasive, and objectively offensive that it effectively denies a person equal access to the educational institution’s education program or activity;
Sexual assault (as defined in the Clery Act), which includes any sexual act directed against another person, without the consent of the victim including instances where the victim is incapable of giving consent;
Dating violence (as defined in the Violence Against Women Act (VAWA) amendments to the Clery Act), which includes any violence committed by a person: (A) who is or has been in a social relationship of a romantic or intimate nature with the victim; and (B) where the existence of such a relationship shall be determined based on a consideration of the following factors: (i) The length of the relationship; (ii) The type of relationship; (iii) The frequency of interaction between the persons involved in the relationship.
Domestic violence (as defined in the VAWA amendments to the Clery Act), which includes any felony or misdemeanor crimes of violence committed by a current or former spouse or intimate partner of the victim, by a person with whom the victim shares a child in common, by a person who is cohabitating with or has cohabitated with the victim as a spouse or intimate partner, by a person similarly situated to a spouse of the victim under New York domestic or family violence laws or by any other person against an adult or youth victim who is protected from that person's acts under the domestic or family violence laws of New York.
Stalking (as defined in the VAWA amendments to the Clery Act), meaning engaging in a course of conduct directed at a specific person that would cause a reasonable person to-- (A) fear for their safety or the safety of others; or (B) suffer substantial emotional distress.

Note that conduct that does not meet one or more of these criteria may still be prohibited under the Student Conduct Policy and Procedures.

Consent: Consent is a knowing, voluntary, and mutual decision among all participants to engage in sexual activity. This definition is consistent with that of the Sexual Violence Prevention and Response Policy and the Student Conduct Policy and Procedures.

Consent can be given by words or actions, as long as those words or actions create clear permission regarding willingness to engage in the sexual activity. Silence or lack of resistance, in and of itself, does not demonstrate consent. The definition of consent does not vary based upon a participant's sex, sexual orientation, gender identity, or gender expression.
Consent to any sexual act or prior consensual sexual activity between or with any party does not necessarily constitute consent to any other sexual act.
Consent is required regardless of whether the person initiating the act is under the influence of drugs and/or alcohol.
Consent may be initially given but withdrawn at any time.
Consent cannot be given when a person is incapacitated, and a reasonable person knows or should have known that such person is incapacitated. Incapacitation occurs when an individual lacks the ability to knowingly choose to participate in sexual activity. Incapacitation may be caused by the lack of consciousness or being asleep, being involuntarily restrained, or if an individual otherwise cannot consent. Depending on the degree of intoxication, someone who is under the influence of alcohol, drugs, or other intoxicants may be incapacitated and therefore unable to consent.
Consent cannot be given when it is the result of any coercion, intimidation, force, or threat of harm.
When consent is withdrawn or can no longer be given, sexual activity must stop.

Education Program or Activity: For the purposes of this Title IX Grievance Policy, SUNY Empire’s “education program or activity” includes:

Any on-campus premises
Any off-campus premises that SUNY Empire has substantial control over. This includes buildings or property owned or controlled by a recognized student organization.
Activity occurring within computer and internet networks, digital platforms, and computer hardware or software owned or operated by, or used in the operations of SUNY Empire’s programs and activities over which SUNY Empire has substantial control.

Formal Complaint: For the purposes of this Title IX Grievance Policy, “formal complaint” means a document – including an electronic submission - filed by a complainant with a signature or other indication that the complainant is the person filing the formal complaint, or signed by the Title IX Coordinator, alleging sexual harassment against a respondent about conduct within SUNY Empire’s education program or activity and requesting initiation of the procedures consistent with the Title IX Grievance Policy to investigate the allegation of sexual harassment.

Complainant: For the purposes of this Title IX Grievance Policy, Complainant means any individual who has reported being or is alleged to be the victim of conduct that could constitute covered sexual harassment as defined under this policy.

Relevant evidence and questions: “Relevant” evidence and questions refer to any questions and evidence that tends to make an allegation of sexual harassment more or less likely to be true.

“Relevant” evidence and questions do not include the following types of evidence and questions, which are deemed “irrelevant” at all stages of the Title IX Grievance Process:

Evidence and questions about the complainant’s sexual predisposition or prior sexual behavior unless:
- They are offered to prove that someone other than the respondent committed the conduct alleged by the complainant, or
- They concern specific incidents of the complainant’s prior sexual behavior with respect to the respondent and are offered to prove consent. 34 C.F.R. § 106.45(6)(i).
Evidence and questions that constitute, or seek disclosure of, information protected under a legally-recognized privilege.
Any party’s medical, psychological, and similar records unless the party has given voluntary, written consent. 85 Fed. Reg. 30026, 30294 (May 19, 2020).

Respondent: For the purposes of this Title IX Grievance policy, Respondent means any individual who has been reported to be the perpetrator of conduct that could constitute covered sexual harassment as defined under this policy.

Privacy vs. Confidentiality: Consistent with Sexual Violence Prevention and Response Policy, references made to confidentiality refer to the ability of identified confidential resources to not report crimes and violations to law enforcement or university officials without permission, except for extreme circumstances, such as a health and/or safety emergency or child abuse. References made to privacy mean SUNY Empire offices and employees who cannot guarantee confidentiality but will maintain privacy to the greatest extent possible, and information disclosed will be relayed only as necessary to investigate and/or seek a resolution and to notify the Title IX Coordinator or designee, who is responsible for tracking patterns and spotting systemic issues. SUNY Empire will limit the disclosure as much as practicable, even if the Title IX Coordinator determines that the request for confidentiality cannot be honored.

Statements

Making a Report Regarding Covered Sexual Harassment to the Institution

Any person may report sex discrimination, including sexual harassment (whether or not the person reporting is the person alleged to be the victim of conduct that could constitute sex discrimination or sexual harassment), in person, by mail, by telephone, or by electronic mail, using the contact information listed for the Title IX Coordinator, or by any other means that results in the Title IX Coordinator receiving the person’s verbal or written report.

Contact Information:

Lindsay Holcomb, Director of Human Resources and Interim Title IX Director

518-581-2239

2 Union Avenue, Saratoga Springs, NY 12866

or email: TitleIX@esc.edu

Such a report may be made at any time (including during non-business hours) by using the telephone number or electronic mail address, or by mail to the office address listed for the Title IX Coordinator.

Confidential Reporting

The following Officials will provide privacy, but not confidentiality, upon receiving a report of conduct prohibited under this policy:

Title IX coordinator, TitleIX@esc.edu;
Office of Campus Safety and Security, 518-587-2100, ext. 2800, 8:00AM- 5:00PM, Monday – Friday
Associate Vice President of Human Resources
Responsible Employees as listed on Appendix A - Responsible Employees and Campus Security Authorities (PDF 126kB)

The following Officials may provide confidentiality:

Off-campus counselors and advocates**.

Crisis services offices will generally maintain confidentiality unless you request disclosure and sign a consent or waiver form. More information on an agency’s policies on confidentiality may be obtained directly from the agency.

New York State Coalition against Sexual Assault at http://nyscasa.org

Sexual Assault Nurse Examiner (SANE) at local hospitals and programs

Refer to SUNY’s list of off-campus resources at: http://www.suny.edu/violence-response

Off-campus healthcare providers

Medical office and insurance billing practices may reveal information to the insurance policyholder, including medication and/or examinations paid for or administered. The New York State Office of Victim Services may be able to assist in compensating victims/survivors for health care and counseling services, including emergency compensation. More information may be found at http://www.ovs.ny.gov/files/ovs_rights_of_cv_booklet.pdf or 800-247-8035. Options are explained at http://www.ovs.ny.gov/helpforcrimevictims.html.

* Note: These outside options do not provide any information to the campus.

** Note that even individuals who can typically maintain confidentiality are subject to exceptions under the law, including when an individual is a threat to him or herself or others and the mandatory reporting of child abuse.

Non-Investigatory Measures Available Under the Title IX Grievance Policy

Supportive Measures

Complainants (as defined above), who report allegations that could constitute covered sexual harassment under this policy, have the right to receive supportive measures from SUNY Empire regardless of whether they desire to file a complaint, which may include those listed below, as appropriate. Supportive measures are non-disciplinary and non-punitive.

As appropriate, supportive measures may include, but not be limited to:

Referrals to counseling
extensions of deadlines or other course-related adjustments
modifications of work or class schedules
campus escort services
restrictions on contact between the parties (no contact orders)
leaves of absence

See 85 Fed. Reg. 30401.

Interim measures will not disproportionately impact the complainant. Interim measures for students may include, but are not limited to, information about how to obtain counseling and academic assistance in the event of sexual assault, and steps to take if the accused individual attends class with the complainant. Interim measures involving employees in collective bargaining units will be determined in consultation with the office of human resources.

To obtain reasonable and available interim measures and accommodations that effect a change in academic, employment or other applicable arrangements, in order to ensure safety, prevent retaliation and avoid an ongoing hostile environment. Parties may request a prompt review of the need for and terms of any interim measures and accommodations that directly affect them. While reporting individuals may request accommodations through any of the offices referenced in this policy, the following office can assist with these measures:

Director of Human Resources, 2 Union Ave., Saratoga Springs, NY 12866; 518-581-2239; or email: TitleIX@esc.edu

To obtain effective intervention services

When the accused is a student, they may request to have the university issue a “No Contact Order,” consistent with university policy and procedure, meaning that continuing to contact the protected individual is a violation of university policy, and subject to additional conduct charges. If the accused and a protected person observe each other in a public place, it is the responsibility of the accused to leave the area immediately and without directly contacting the protected person. Both the accused/respondent and the reporting individual may request a prompt review of the need for and terms of a No Contact Order, consistent with university policy. Parties may submit evidence in support of their request.

Interim Suspension

SUNY Empire retains the authority to issue an interim suspension to a respondent from SUNY Empire’s program or activity on an emergency basis, where the university (1) undertakes an individualized safety and risk analysis and (2) determines that an immediate threat to the physical health or safety of any student or other individual arising from the allegations of covered sexual harassment justifies a removal.

Interim suspension is used only in the following circumstances:

to ensure the safety and well-being of members of the community or preservation of university property
to ensure the student’s own physical or emotional safety and well-being
if the student poses a definite threat of disruption of or interference with the normal operations of the university.

The dean or vice provost for academics' designee may place a student on interim suspension upon making a determination that such an action is necessary to maintain safety and order. The dean or vice provost for academics' designee normally consults with the vice provost for academics and/or judicial officer before taking such action. The interim suspension remains in effect until responsibility and sanctions have been determined and any appeals have been resolved.

Upon placing the student on interim suspension, the dean or vice provost for academics' designee immediately forwards a formal complaint to the judicial officer. Consequently, the dean or vice provost for academics' designee is a party to the complaint.

The judicial officer assembles a student conduct committee as outlined and conducts the hearing within 15 calendar days of the notice to the student of the interim suspension.

A student placed on interim suspension may request reconsideration in writing to the dean or vice provost for academics' designee. The student must provide evidence that s/he is not a risk to safety and order. The dean or provost’s designee reviews the request and considers the information the student provides. If the dean or vice provost for academics' designee reconsiders and sustains the suspension, the student may appeal to the vice provost for academics.

Administrative Leave

SUNY Empire retains the authority to place a non-student employee respondent on administrative leave during the Title IX Grievance Process, consistent with applicable collective bargaining agreements, employee handbooks and Empire State University policies and rules.

When the accused is not a member of the university community, parties may request to have assistance from the Office of Campus Safety and Security or other university officials in obtaining a persona-non-grata letter, subject to legal requirements and university policy.

The Title IX Grievance Process

Filing a Formal Complaint

The timeframe for the Title IX Grievance Process begins with the filing of a Formal Complaint. The Grievance Process will be concluded within a reasonably prompt manner, and no longer than ninety (90) business days calendar days, not counting university no-appointment periods, after the filing of the Formal Complaint, provided that the Process may be extended for a good reason, including but not limited to the absence of a party, a party’s advisor, or a witness; concurrent law enforcement activity; or the need for language assistance or accommodation of disabilities. The procedure for applying for extensions is described below.

To file a Formal Complaint, a complainant must provide the Title IX Coordinator a written, signed complaint describing the facts alleged. Complainants are only able to file a Formal Complaint under this Policy if they are currently participating in, or attempting to participate in, the education programs or activities of SUNY Empire, including as an employee. For complainants who do not meet this criteria, the University will utilize existing Sexual Violence Prevention and Response Policy and procedures in the Student Conduct Policy and Procedures.

If a complainant does not wish to make a Formal Complaint, the Title IX Coordinator may determine a Formal Complaint is necessary. SUNY Empire will inform the complainant of this decision in writing, and the complainant need not participate in the process further but will receive all notices issued under this Policy and Process.

Nothing in the Title IX Grievance Policy prevents a complainant from seeking the assistance of state or local law enforcement alongside the appropriate on-campus process.

A complainant who files a Formal Complaint may elect, at any time, to address the matter through the Institution’s Informal Resolution Process. Information about this process is available here: Sexual Violence Prevention and Response Policy and Student Conduct Policy and Procedures.

Multi-Party Situations

The institution may consolidate Formal Complaints alleging covered sexual harassment against more than one respondent, or by more than one complainant against one or more respondents, or by one party against the other party, where the allegations of covered sexual harassment arise out of the same facts or circumstances.

Determining Jurisdiction

The Title IX Coordinator will determine if the instant Title IX Grievance Process should apply to a Formal Complaint. The Process will apply when all of the following elements are met, in the reasonable determination of the Title IX Coordinator:

The conduct is alleged to have occurred on or after August 14, 2020;
The conduct is alleged to have occurred in the United States;
The conduct is alleged to have occurred in {institution’s} education program or activity; and
The alleged conduct, if true, would constitute covered sexual harassment as defined in this policy.

If all of the elements are met, SUNY Empire will investigate the allegations according to the Grievance Process.

Allegations Potentially Falling Under Two Policies

If the alleged conduct, if true, includes conduct that would constitute covered sexual harassment and conduct that would not constitute covered sexual harassment, the Title IX Grievance Process will be applied to investigation and adjudication of only the allegations that constitute covered sexual harassment.

Mandatory Dismissal

If any one of these elements are not met, the Title IX Coordinator will notify the parties that the Formal Complaint is being dismissed for the purposes of the Title IX Grievance Policy. Each party may appeal this dismissal using the procedure outlined in “Appeals,” below.

Discretionary Dismissal

The Title IX Coordinator may dismiss a Formal Complaint brought under the Title IX Grievance Policy, or any specific allegations raised within that Formal Complaint, at any time during the investigation or hearing, if:

A complainant notifies the Title IX Coordinator in writing that they would like to withdraw the Formal Complaint or any allegations raised in the Formal Complaint;
The respondent is no longer enrolled or employed by {the institution}; or,
If specific circumstances prevent SUNY Empire from gathering evidence sufficient to reach a determination regarding the Formal Complaint or allegations within the Formal Complaint.

Any party may appeal a dismissal determination using the process set forth in “Appeals,” below.

Notice of Dismissal

Upon reaching a decision that the Formal Complaint will be dismissed, the institution will promptly send written notice of the dismissal of the Formal Complaint or any specific allegation within the Formal Complaint, and the reason for the dismissal, simultaneously to the parties through their institutional email accounts. It is the responsibility of parties to maintain and regularly check their email accounts.

Notice of Removal

Upon dismissal for the purposes of Title IX, SUNY Empire retains discretion to utilize Sexual Violence Prevention and Response Policy and procedures in the Student Conduct Policy and Procedures to determine if a violation of Sexual Violence Prevention and Response Policy and Student Conduct Policy and Procedures has occurred. If so, SUNY Empire will promptly send written notice of the dismissal of the Formal Complaint under the Title IX Grievance Process and removal of the allegations to the conduct process.

Notice of Allegations

The Title IX Coordinator will draft and provide the Notice of Allegations to any party to the allegations of sexual harassment. Such notice will occur as soon as practicable, but no more than 15 calendar days after the institution receives a Formal Complaint of the allegations, if there are no extenuating circumstances.

The parties will be notified by their institutional email accounts if they are a student or employee, and by other reasonable means if they are neither.

The institution will provide sufficient time for the parties to review the Notice of Allegations and prepare a response before any initial interview.

The Title IX Coordinator may determine that the Formal Complaint must be dismissed on the mandatory grounds identified above, and will issue a Notice of Dismissal. If such a determination is made, any party to the allegations of sexual harassment identified in the Formal Complaint will receive the Notice of Dismissal in conjunction with, or in separate correspondence after, the Notice of Allegations.

Contents of Notice

The Notice of Allegations will include the following:

Notice of the institution’s Title IX Grievance Process and Sexual Violence Prevention and Response Policy and a hyperlink to a copy of the process.
Notice of the allegations potentially constituting covered sexual harassment, and sufficient details known at the time the Notice is issued, such as the identities of the parties involved in the incident, if known, including the complainant; the conduct allegedly constituting covered sexual harassment; and the date and location of the alleged incident, if known.
A statement that the respondent is presumed not responsible for the alleged conduct and that a determination regarding responsibility is made at the conclusion of the grievance process.
A statement that the parties may have an advisor of their choice, who may be, but is not required to be, an attorney, as required under 34 C.F.R. § 106.45(b)(5)(iv);
A statement that before the conclusion of the investigation, the parties may inspect and review evidence obtained as part of the investigation that is directly related to the allegations raised in the Formal Complaint, including the evidence upon which the institution does not intend to rely in reaching a determination regarding responsibility, and evidence that both tends to prove or disprove the allegations, whether obtained from a party or other source, as required under 34 C.F.R. § 106.45(b)(5)(vi);

Ongoing Notice

If, in the course of an investigation, the institution decides to investigate allegations about the complainant or respondent that are not included in the Notice of Allegations and are otherwise covered "sexual harassment” falling within the Title IX Grievance Policy, the institution will notify the parties whose identities are known of the additional allegations by their institutional email accounts or other reasonable means.

The parties will be provided sufficient time to review the additional allegations to prepare a response before any initial interview regarding those additional charges.

Advisor of Choice and Participation of Advisor of Choice

SUNY Empire will provide the parties equal access to advisors and support persons; any restrictions on advisor participation will be applied equally.

The university has a long-standing practice of requiring students to participate in the process directly and not through an advocate or representative. Students participating as Complainant or Respondent in this process may be accompanied by an Advisor of Choice to any meeting or hearing to which they are required or are eligible to attend. The Advisor of Choice is not an advocate. Except where explicitly stated by this Policy, as consistent with the Final Rule, Advisors of Choice shall not participate directly in the process as per standard policy and practice of SUNY Empire.

SUNY Empire will not intentionally schedule meetings or hearings on dates where the Advisors of Choice for all parties are not available, provided that the Advisors act reasonably in providing available dates and work collegially to find dates and times that meet all schedules.

SUNY Empire’s obligations to investigate and adjudicate in a prompt timeframe under Title IX and other university policies apply to matters governed under this Policy, and SUNY Empire cannot agree to extensive delays solely to accommodate the schedule of an Advisor of Choice. The determination of what is reasonable shall be made by the Title IX Coordinator or designee. SUNY Empire will not be obligated to delay a meeting or hearing under this process more than five (5) days due to the unavailability of an Advisor of Choice, and may offer the party the opportunity to obtain a different Advisor of Choice or utilize one provided by the university.

Notice of Meetings and Interviews

SUNY Empire will provide, to a party whose participation is invited or expected, written notice of the date, time, location, participants, and purpose of all hearings, investigative interviews, or other meetings with a party, with sufficient time for the party to prepare to participate.

Delays

Each party may request a one-time delay in the Grievance Process of up to five (5) days for good cause (granted or denied in the sole judgment of the Title IX Coordinator, Director of Student Conduct, or designee) provided that the requestor provides reasonable notice and the delay does not overly inconvenience other parties.

For example, a request to take a five day pause made an hour before a hearing for which multiple parties and their advisors have traveled to and prepared for shall generally not be granted, while a request for a five day pause in the middle of investigation interviews to allow a party to obtain certain documentary evidence shall generally be granted.

The Title IX Coordinator shall have sole judgment to grant further pauses in the Process.

Investigation

General Rules of Investigations

For employees in collective bargaining units the Associate Vice President for Human Resources, or for matters involving students, the Title IX Coordinator, will perform an investigation. In both situations, investigations will occur under a reasonably prompt timeframe of the conduct alleged to constitute covered sexual harassment after issuing the Notice of Allegations.

SUNY Empire and not the parties, has the burden of proof and the burden of gathering evidence, i.e. the responsibility of showing a violation of this Policy has occurred. This burden does not rest with either party, and either party may decide not to share their account of what occurred or may decide not to participate in an investigation or hearing. This does not shift the burden of proof away from SUNY Empire and does not indicate responsibility.

SUNY Empire cannot access, consider, or disclose medical records without a waiver from the party (or parent, if applicable) to whom the records belong or of whom the records include information. SUNY Empire will provide an equal opportunity for the parties to present witnesses, including fact and expert witnesses, and other inculpatory and exculpatory evidence, (i.e. evidence that tends to prove and disprove the allegations) as described below.

Inspection and Review of Evidence

Prior to the completion of the investigation, the parties will have an equal opportunity to inspect and review the evidence obtained through the investigation. The purpose of the inspection and review process is to allow each party the equal opportunity to meaningfully respond to the evidence prior to conclusion of the investigation.

Evidence that will be available for inspection and review by the parties will be any evidence that is directly related to the allegations raised in the Formal Complaint. It will include any:

Evidence that is relevant, even if that evidence does not end up being relied upon by the institution in making a determination regarding responsibility;
inculpatory or exculpatory evidence (i.e. evidence that tends to prove or disprove the allegations) that is directly related to the allegations, whether obtained from a party or other source.

All parties must submit any evidence they would like the investigator to consider prior to when the parties’ time to inspect and review evidence begins. See, 85 Fed. Reg. 30026, 30307 (May 19, 2020).

The institution will send the evidence made available for each party and each party’s advisor, if any, to inspect and review through an electronic format or a hard copy. The Institution is not under an obligation to use any specific process or technology to provide the evidence and shall have the sole discretion in terms of determining format and any restrictions or limitations on access.

The parties will have ten (10) business days to inspect and review the evidence and submit a written response by email to the investigator. The investigator will consider the parties’ written responses before completing the Investigative Report.

The institution will provide copies of the parties’ written responses to the investigator to all parties and their advisors, if any. See, 85 Fed. Reg. 30026, 30307 (May 19, 2020).

The institution will provide the parties up to ten (10) days to provide a response, after which the investigator will not be required to accept a late submission. Investigator has 10 business days to generate a report or, alternatively, may provide the parties with written notice extending the investigation for 10 business days and explaining the reason for the extension.

Any evidence subject to inspection and review will be available at any hearing, including for purposes of cross-examination.

The parties and their advisors must sign an agreement not to disseminate any of the evidence subject to inspection and review or use such evidence for any purpose unrelated to the Title IX grievance process. See, 85 Fed. Reg. 30026, 30435 (May 19, 2020).

The parties and their advisors agree not to photograph or otherwise copy the evidence. See, 85 Fed. Reg. 30026, 30435 (May 19, 2020).

Inclusion of Evidence Not Directly Related to the Allegations

Evidence obtained in the investigation that is determined in the reasoned judgment of the investigator not to be directly related to the allegations in the Formal Complaint will not be disclosed, or may be appropriately redacted before the parties’ inspection to avoid disclosure of personally identifiable information of a student. Any evidence obtained in the investigation that is kept from disclosure or appropriately redacted will be documented in a “privilege log” that may be reviewed by the parties and their advisors, if any. See, 85 Fed. Reg. 30026, 30438 (May 19, 2020).

Investigative Report

The Title IX Coordinator will create an Investigative Report that fairly summarizes relevant evidence and provide that Report to the parties at least ten (10) business days prior the hearing in an electronic format for each party’s review and written response.

The Investigative Report is not intended to catalog all evidence obtained by the investigator, but only to provide a fair summary of that evidence.

Only relevant evidence (including both inculpatory and exculpatory – i.e. tending to prove and disprove the allegations - relevant evidence) will be referenced in the Investigative Report.

The investigator may redact irrelevant information from the Investigative Report when that information is contained in documents or evidence that is/are otherwise relevant. See, 85 Fed. Reg. 30026, 30304 (May 19, 2020).

Hearing

General Rules of Hearings

SUNY Empire will not issue a disciplinary sanction arising from an allegation of covered sexual harassment without holding a live hearing.

The live hearing may be conducted with all parties physically present in the same geographic location, or, at the university’s discretion, any or all parties, witnesses, and other participants may appear at the live hearing virtually through Microsoft Teams, the university’s immersive cloud learning environments, or through the university’s Cisco video equipment. This technology will enable participants simultaneously to see and hear each other. At its discretion, SUNY Empire may delay or adjourn a hearing based on technological errors not within a party’s control.

All proceedings will be recorded through audio recording and/or audiovisual recording. That recording will be made available to the parties for inspection and review.

Prior to obtaining access to any evidence, the parties and their advisors must sign an agreement not to disseminate any of the testimony heard or evidence obtained in the hearing or use such testimony or evidence for any purpose unrelated to the Title IX Grievance Process. Once signed, this Agreement may not be withdrawn See, 85 Fed. Reg. 30026, 30435 (May 19, 2020).

Continuances or Granting Extensions

SUNY Empire may determine that multiple sessions or a continuance (i.e. a pause on the continuation of the hearing until a later date or time) is needed to complete a hearing. If so, SUNY Empire will notify all participants and endeavor to accommodate all participants’ schedules and complete the hearing as promptly as practicable.

As a general rule, no new evidence or witnesses may be submitted during the live hearing.

If a party identifies new evidence or witnesses that were not reasonably available prior to the live hearing and could affect the outcome of the matter, the party may request that such evidence or witnesses be considered at the live hearing.

The hearing board chair will consider this request and make a determination regarding (1) whether such evidence or witness testimony was actually unavailable by reasonable effort prior to the hearing, and (2) whether such evidence or witness testimony could affect the outcome of the matter. The party offering the newly-discovered evidence or witness has the burden of establishing these questions by the preponderance of the evidence.

If the hearing board chair answers in the affirmative to both questions, then the parties will be granted a reasonable pause in the hearing to review the evidence or prepare for questioning of the witness.

Participants in the live hearing

Live hearings are not public, and the only individuals permitted to participate in the hearing are as follows:

Complainant and Respondent (The Parties)

The parties cannot waive the right to a live hearing.
The institution may still proceed with the live hearing in the absence of a party and may reach a determination of responsibility in their absence, including through any evidence gathered that does not constitute a “statement” by that party. 85 Fed. Reg. 30026, 30361 (May 19, 2020).
- For example, a verbal or written statement constituting part or all of the sexual harassment itself is not a “prior statement” that must be excluded if the maker of the statement does not submit to cross-examination about that statement. In other words, a prior statement would not include a document, audio recording, audiovisual reading, and digital media, including but not limited to text messages, emails, and social media postings, that constitute the conduct alleged to have been the act of sexual harassment under the formal complaint.
SUNY Empire will not threaten, coerce, intimidate or discriminate against the party in an attempt to secure the party’s participation. See 34 C.F.R. § 106.71; see also 85 Fed. Reg. 30026, 30216 (May 19, 2020).
If a party does not submit to cross-examination, the decision-maker cannot rely on any prior statements made by that party in reaching a determination regarding responsibility, but may reach a determination regarding responsibility based on evidence that does not constitute a “statement” by that party.
The decision-maker cannot draw an inference about the determination regarding responsibility based solely on a party’s absence from the live hearing or refusal to answer cross examination or other questions. See 34 C.F.R. §106.45(b)(6)(i).
The parties shall be subject to the institution’s Rules of Decorum (Appendix B - Rules of Decorum (PDF 28kB)).

The Decision-maker

The hearing body will consist of a panel of 3 decision-makers.
No member of the hearing body will also have served as the Title IX Coordinator, Title IX investigator, or advisor to any party in the case, nor may any member of the hearing body serve on the appeals body in the case.
No member of the hearing body will have a conflict of interest or bias in favor of or against complainants or respondents generally, or in favor or against the parties to the particular case.
The hearing body will be trained on topics including how to serve impartially, issues of relevance, including how to apply the rape shield protections provided for complainants, and any technology to be used at the hearing.
The parties will have an opportunity to raise any objections regarding a decision-maker’s actual or perceived conflicts of interest or bias at the commencement of the live hearing.

Advisor of choice

The parties have the right to select an advisor of their choice, who may be, but does not have to be, an attorney.
In addition to selecting an advisor to conduct cross-examination, the parties may select an advisor who may accompany the parties to any meeting or hearing they are permitted to attend, but may not speak for the party.
The parties are not permitted to conduct cross-examination; it must be conducted by the advisor. As a result, if a party does not select an advisor, the institution will select an advisor to serve in this role for the limited purpose of conducting the cross-examination at no fee or charge to the party.
The advisor is not prohibited from having a conflict of interest or bias in favor of or against complainants or respondents generally, or in favor or against the parties to the particular case.
The advisor is not prohibited from being a witness in the matter.
If a party does not attend the live hearing, the party’s advisor may appear and conduct cross-examination on their behalf. 85 Fed. Reg. 30026, 30340 (May 19, 2020).
If neither a party nor their advisor appear at the hearing, SUNY Empire will provide an advisor to appear on behalf of the non-appearing party. See, 85 Fed. Reg. 30026, 30339-40 (May 19, 2020).
Advisors shall be subject to the institution’s Rules of Decorum and may be removed upon violation of those Rules (Appendix B).

Witnesses

Witnesses cannot be compelled to participate in the live hearing and have the right not to participate in the hearing free from retaliation. See, 85 Fed. Reg. 30026, 30360 (May 19, 2020).
If a witness does not submit to cross-examination, as described below, the decision-maker cannot rely on any statements made by that witness in reaching a determination regarding responsibility, including any statement relayed by the absent witness to a witness or party who testifies at the live hearing. 85 Fed. Reg. 30026, 30347 (May 19, 2020).
Witnesses shall be subject to the institution’s Rules of Decorum (Appendix B).

Hearing Procedures

For all live hearings conducted under this Title IX Grievance Process, the procedure will be as follows:

Hearing Board Chair will open and establish rules and expectations for the hearing;
The Parties will each be given the opportunity to provide opening statements;
Hearing Board Chair will ask questions of the Parties and Witnesses;
Parties will be given the opportunity for live cross-examination after the Hearing Board Chair conducts its initial round of questioning; During the Parties’ cross-examination, the Hearing Board Chair will have the authority to pause cross-examination at any time for the purposes of asking his/her own follow up questions; and any time necessary in order to enforce the established rules of decorum.
Should a Party or the Party’s Advisor choose not to cross-examine a Party or Witness, the Party shall affirmatively waive cross-examination through a written or oral statement to the Hearing Board Chair. A Party’s waiver of cross-examination does not eliminate the ability of the Hearing Board Chair to use statements made by the Party.

Live Cross-Examination Procedure

Each party’s advisor will conduct live cross-examination of the other party or parties and witnesses. During this live-cross examination the advisor will ask the other party or parties and witnesses relevant questions and follow-up questions, including those challenging credibility directly, orally, and in real time.

Before any cross-examination question is answered, the Hearing Board Chair will determine if the question is relevant. Cross-examination questions that are duplicative of those already asked, including by the Hearing Board Chair, may be deemed irrelevant if they have been asked and answered.

Review of Recording

The recording of the hearing will be available for review by the parties within 15 business day, unless there are any extenuating circumstances. The recording of the hearing will not be provided to parties or advisors of choice.

Determination Regarding Responsibility

Standard of Proof

SUNY Empire uses the preponderance of the evidence standard for investigations and determinations regarding responsibility of formal complaints covered under this Policy. This means that the investigation and hearing determines whether it is more likely than not that a violation of the Policy occurred evidence is clear and convincing, highly and substantially likely, to a neutral decision maker.

General Considerations for Evaluating Testimony and Evidence

While the opportunity for cross-examination is required in all Title IX hearings, determinations regarding responsibility may be based in part, or entirely, on documentary, audiovisual, and digital evidence, as warranted in the reasoned judgment of the Decision-maker.

Decision-makers shall not draw inferences regarding a party or witness’ credibility based on the party or witness’ status as a complainant, respondent, or witness, nor shall it base its judgments in stereotypes about how a party or witness would or should act under the circumstances.

Generally, credibility judgments should rest on the demeanor of the party or witness, the plausibility of their testimony, the consistency of their testimony, and its reliability in light of corroborating or conflicting testimony or evidence.

Still, credibility judgments should not rest on whether a party or witness’ testimony is non-linear or incomplete, or if the party or witness is displaying stress or anxiety.

Decision makers will afford the highest weight relative to other testimony to first-hand testimony by parties and witnesses regarding their own memory of specific facts that occurred. Both inculpatory and exculpatory (i.e. tending to prove and disprove the allegations) evidence will be weighed in equal fashion.

Except where specifically barred by the Title IX Final Rule, a witness’ testimony regarding third-party knowledge of the facts at issue will be allowed, but will generally be accorded lower weight than testimony regarding direct knowledge of specific facts that occurred.

The Final Rule requires that SUNY Empire allow parties to call “expert witnesses” for direct and cross examination. SUNY Empire does not provide for expert witnesses in other proceedings. While the expert witness will be allowed to testify and be crossed as required by the Final Rule, the decision-maker will be instructed to afford lower weight to non-factual testimony of the expert relative to fact witnesses, and any expert testimony that is not directed to the specific facts that occurred in the case will be afforded lower weight relative to fact witnesses, regardless of whether the expert witness testimony is the subject of cross examination and regardless of whether all parties present experts as witnesses.

The Final Rule requires that SUNY Empire allow parties to call character witnesses to testify. SUNY Empire does not provide for character witnesses in other proceedings. While the character witnesses will be allowed to testify and be crossed as required by the Final Rule, the decision-maker will be instructed to afford very low weight to any non-factual character testimony of any witness.

The Final Rule requires that SUNY Empire admit and allow testimony regarding polygraph tests (“lie detector tests”) and other procedures that are outside of standard use in academic and non-academic conduct processes. While the processes and testimony about them will be allowed to testify and be crossed as required by the Final Rule, the decision-maker will be instructed to afford lower weight to such processes relative to the testimony of fact witnesses.

Where a party or witness’ conduct or statements demonstrate that the party or witness is engaging in retaliatory conduct, including but not limited to witness tampering and intimidation, the {Decision-maker} may draw an adverse inference as to that party or witness’ credibility.

Components of the Determination Regarding Responsibility

The written Determination Regarding Responsibility will be issued simultaneously to all parties through their institution email account, or other reasonable means as necessary. The Determination will include:

Identification of the allegations potentially constituting covered sexual harassment;
A description of the procedural steps taken from the receipt of the formal complaint through the determination, including any notifications to the parties, interviews with parties and witnesses, site visits, methods used to gather other evidence, and hearings held;
Findings of fact supporting the determination;
Conclusions regarding which section of the Student Conduct Policy and Procedures, if any, the respondent has or has not violated.
For each allegation:
1. A statement of, and rationale for, a determination regarding responsibility;
2. A statement of, and rationale for, any disciplinary sanctions the recipient imposes on the respondent; and
3. A statement of, and rationale for, whether remedies designed to restore or preserve equal access to the recipient’s education program or activity will be provided by the recipient to the complainant; and
The recipient’s procedures and the permitted reasons for the complainant and respondent to appeal (described below in “Appeal”).

Timeline of Determination Regarding Responsibility

If there are no extenuating circumstances, the determination regarding responsibility will be issued by SUNY Empire within 15 calendar days of the completion of the hearing.

Finality

The determination regarding responsibility becomes final either on the date that the institution provides the parties with the written determination of the result of the appeal, if an appeal is filed consistent with the procedures and timeline outlined in “Appeals” below, or if an appeal is not filed, the date on which the opportunity to appeal expires.

Appeals

Each party may appeal (1) the dismissal of a formal complaint or any included allegations and/or (2) a determination regarding responsibility. To appeal, a party must submit their written appeal within 30 calendar days of being notified of the decision, indicating the grounds for the appeal.

The limited grounds for appeal available are as follows:

Procedural irregularity that affected the outcome of the matter (i.e. a failure to follow the institution’s own procedures);
New evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made, that could affect the outcome of the matter;
The Title IX Coordinator, investigator(s), or decision-maker(s) had a conflict of interest or bias for or against an individual party, or for or against complainants or respondents in general, that affected the outcome of the matter.
Information/documentation presented at the hearing /decision that was disregarded
Imposition of an unreasonable sanction.

The submission of appeal stays any sanctions for the pendency of an appeal. Supportive measures and remote learning opportunities remain available during the pendency of the appeal.

If a party appeals, the institution will as soon as practicable notify the other party in writing of the appeal, however the time for appeal shall be offered equitably to all parties and shall not be extended for any party solely because the other party filed an appeal.

Appeals may be no longer than 5 (including attachments). Appeals should be submitted in electronic form using ARIAL or TIMES NEW ROMAN, 12 point font, and single-spaced. Appeals should use footnotes, not endnotes. Appeals that do not meet these standards may be returned to the party for correction, but the time for appeal will not be extended unless there is evidence that technical malfunction caused the appeal document not to meet these standards.

Appeals will be decided before a panel, which may include one or more students, that is fair and impartial and does not include individuals with a conflict of interest and bias, and will not serve as investigator, Title IX Coordinator, or hearing decision maker in the same matter.

Outcome of appeal will be provided in writing simultaneously to both parties, and include rationale for the decision.

Retaliation

SUNY Empire will keep the identity of any individual who has made a report or complaint of sex discrimination confidential, including the identity of any individual who has made a report or filed a Formal Complaint of sexual harassment under this Title IX Grievance Policy, any Complainant, any individual who has been reported to be the perpetrator of sex discrimination, any Respondent, and any witness, except as permitted by the FERPA statute, 20 U.S.C. 1232g, or FERPA regulations, 34 CFR part 99, or as required by law, or to carry out the purposes of 34 CFR part 106, including the conduct of any investigation, hearing, or judicial proceeding under this Title IX Grievance Policy.

No person may intimidate, threaten, coerce, or discriminate against any individual for the purpose of interfering with any right or privilege secured by Title IX of the Education Amendments of 1972 or its implementing regulations.

No person may intimidate, threaten, coerce, or discriminate against any individual because the individual has made a report or complaint, testified, assisted, or participated or refused to participate in any manner in an investigation, proceeding or hearing under this Title IX Grievance Policy.

Any intimidation, threats, coercion, or discrimination, for the purpose of interfering with any right or privilege secured by Title IX or its implementing regulations constitutes retaliation. This includes any charges filed against an individual for code of conduct violations that do not involve sex discrimination or sexual harassment, but that arise from the same facts or circumstances as a report or complaint of sex discrimination or a report or Formal Complaint of sexual harassment.

Empire State University recognizes that students who have been drinking and/or using drugs, whether voluntarily or involuntarily, at the time that violence, including, but not limited to domestic violence, dating violence, stalking or sexual assault, may be hesitant to report such incidents due to fear of potential consequences for their own conduct. Empire State University strongly encourages students to report incidents of domestic violence, dating violence, stalking, or sexual assault to university officials. A bystander or reporting individual acting in good faith, who discloses any incident of domestic violence, dating violence, stalking, or sexual assault to Empire State University officials or law enforcement, will not be subject to the university’s code of conduct for violations of alcohol and/or drug use policies at or near the time of the commission of the domestic violence, dating violence, stalking, or sexual assault.

Applicable Legislation and Regulations

Disability Accommodations

This Policy does not alter any institutional obligations under federal disability laws including the Americans with Disabilities Act of 1990, and Section 504 of the Rehabilitation Act of 1973. Parties may request reasonable accommodations for disclosed disabilities to the Title IX Coordinator at any point before or during the Title IX Grievance Process that do not fundamentally alter the Process. The Title IX Coordinator will not affirmatively provide disability accommodations that have not been specifically requested by the Parties, even where the Parties may be receiving accommodations in other institutional programs and activities.

Related References, Policies, Procedures, Forms and Appendices

Complaints alleging retaliation may be filed according to the Discrimination and Complaint Procedures.

Appendix A - Responsible Employees and Campus Security Authorities (PDF 126kB)

Appendix B - Rules of Decorum (PDF 28kB)

CHOSEN NAME POLICY

Purpose

This policy recognizes that members of the SUNY Empire community may choose to use names other than their legal names in order to identify themselves and ensures that the chosen name of students and employees can and should be used whenever possible, in the course of business, communication, and/or education. This policy is limited to first names and not surnames or family names.

Definitions

Chosen Name: For the purpose of this policy, the first name by which a student or employee choses to be known that differs from a person’s legal first name. Please note: The GENDA legislation uses ‘requested name’ and this is synonymous with the definition of chosen name.

Institutional Identification Card: It is an identification document certifying the status of a student or employee.

Legal Name: The name that an individual is given at birth and which appears on a birth certificate recognized by a government or other legal entity, or the name which appears on a marriage certificate or other government-issued document (e.g. court order) on which a legal name change is recorded.

Student: A person who is enrolled at SUNY Empire for the purpose of taking courses and/or working towards obtaining a degree. This can include a matriculated undergraduate, graduate, international, and non-degree seeking student.

Employees: A person employed for wages or salary at SUNY Empire.

Statements

SUNY Empire acknowledges that a person’s chosen name can and should be used whenever possible. When required for the protection of the individual, and as required by law, certain official correspondence will use a student or employee’s legal name.

The Chosen Name policy applies to students and employees.

Prohibited uses of a Chosen Name

A chosen name shall not be used for the purpose of misidentification, misrepresentation, fraud, to avoid legal obligations, or in any other manner that violates SUNY Empire, SUNY, local, state, or federal policy, law, rules or regulations, including the student conduct policy and all employee-related rules and policies. Violations of such policies, laws, rules, or regulations shall be addressed through established procedures.
A chosen name may not include words, symbols or numbers or be otherwise prohibited under the law and/or SUNY Empire policy or procedure, including the student code of conduct.
SUNY Empire reserves the right to reject the use of or remove from administrative systems or documents any chosen name that it deems in its sole judgment to be in violation of this policy.

For employees, requests will be reviewed by the Office of Human Resources. For students, requests will be reviewed by the Office of the Registrar.

SUNY Empire is obligated to use the legal name for many official records and reports, including, but not limited to, payroll records, billing records, tax forms, financial aid documents, official transcripts, medical records, enrollment reporting, and federal immigration documents.

This policy is consistent with current values and policies of SUNY Empire that protect students and employees against discrimination based on gender identity and expression, and aligns with state and federal regulations. This policy is drafted as a best practice for supporting transgender and gender non-conforming members of campus communities. The ability to use one’s chosen name is not limited to use by transgender and gender non-conforming students and employees, however, and is available to anyone who uses a chosen name other than their legal/primary first name, on a daily basis.

Applicable Legislation and Regulations

The Gender Expression Non-Discrimination Act (GENDA)

Title IX of the United States

Related References, Policies, Procedures, Forms and Appendices

Procedures

Students should complete the Chosen Name request form, which is found on the Office of the Registrar’s page under personal identification change.

Employees should complete the Personal Information Form found in the Office of Human Resources website under Forms and reach out to the office for questions.

Students and employees should allow up to 10 business days for a response to the request.

Chosen name will appear in the following locations:

Self-service Banner
Learning Management System
Email address/Office365
DP Planner (excludes printed Degree Plans)
PLA Planner
Service Now
MyESC
ID Card
Human Resources self-service and online time and attendance (for employees)
SUNY Empire’s directory (for employees)

Students who have registered a chosen name with SUNY Empire can obtain a new ID by visiting the Student Identification Number Card and Login website. Employees can obtain a new ID with their chosen name by sending an email to campus.safety@esc.edu.

While the chosen name will be on the front of the card, the legal name will be shown on the back. The first card for a chosen name change will be issued at no charge. Any card issued after this complimentary card will be charged a $10 replacement fee.

Students may choose to use their chosen name when requesting their diploma. However, students should be aware that some professional and licensing boards require use of legal name in the licensing process. As such, the use of a chosen name on the diploma may delay or complicate a certification or licensure process. In addition, some countries may require a diploma for various legal, immigration, or employment purposes. A student who has already graduated from SUNY Empire may contact the registrar’s office to request a new diploma with their chosen name, however, a fee will be collected for reprinting.

Additional Information

SUNY Empire will make a good faith effort to update reports, documents, and systems that are designated to use one’s chosen name. Adjusting the various information systems to include the use of the chosen name is a multiyear effort, due to the complexity and interrelated nature of systems and record sources.

Requests for chosen names should not be made more than once per academic year.

For Students Appealing a Denial for a Chosen Name

If a request for a chosen name was denied, a student can appeal the decision by email to titleIX@esc.edu. Please include any additional relevant information as to why the denial reason does not apply to this case. For example, a student requesting a change involving a common derivative for gender-affirming reasons should appeal their case to the Title IX Coordinator.

For Employees Appealing a Denial for a Chosen Name

If a request for a chosen name was denied, an employee can appeal the decision by email to titleIX@esc.edu. Please include any additional relevant information as to why the denial reason does not apply to this case.

Related References, Policies, Forms and Appendices

STUDENT CONDUCT POLICY

Purpose

SUNY Empire State strives to maintain a community that promotes and values the academic experience, institutional and personal integrity, and justice, equality, and diversity. Members of the SUNY Empire community should be able to work and learn in an environment that is orderly, peaceful, and free of disturbances that impede individuals’ growth and development, or their ability to perform their responsibilities. Respect for the rights of others and SUNY Empire property are essential expectations for each SUNY Empire student.

To maintain a fair, just, and safe community environment, this Student Conduct Policy defines the minimum expectations for behavior at SUNY Empire. It also provides for the procedures for responding to allegations of student misconduct, and the actions the SUNY Empire may take in dealing with policy violations, which are outlined in the Student Conduct System.

Definitions

A. "Affirmative Consent” is a knowing, voluntary, and mutual decision among all participants to engage in sexual activity. Consent can be given by words or actions, as long as those words or actions create clear permission regarding willingness to engage in the sexual activity. Silence or lack of resistance, in and of itself, does not demonstrate consent. The definition of consent does not vary based upon a participant's sex, sexual orientation, gender identity, or gender expression.

B. "Business Day" means a weekday or non-holiday when the SUNY Empire is open for regular business.

C. "Bystander" shall mean a person who observes a crime, impending crime, conflict, potentially violent or violent behavior, or conduct that is in violation of rules or policies of the SUNY Empire.

D. "Complainant" means any person or persons who have made a disciplinary complaint against a student and may or may not be the victim.

E. “Faculty” or "Faculty Member" means any employee of SUNY Empire engaged in teaching, learning, advising, or evaluation of learning.

F. "May" is used in the permissive sense.

G. "Personal Property" means anything of value to which a person has legal possession or title.

H. "Reporting individual" is the victim/survivor related to cases of rape, sexual assault, domestic violence, dating violence, and stalking. “Reporting Individual” status will also apply to cases where the respondent has been charged with conduct which violates the health and safety of an individual.

I. "Respondent" is used to describe an accused student.

J. “Sanctions” are educational and/or punitive measures assigned to a student after they have been found responsible for violating SUNY Empire policy.

K. "Shall" is used in the imperative sense.

L. "Staff" or "Staff Member" means any person employed by SUNY Empire.

M. "Student" means all persons enrolled in a program or engaged in credit or noncredit learning and/or assessment activities at SUNY Empire, both full-time and part-time, or those individuals who were students at the time of an alleged violation of the Student Conduct Policy, whether on SUNY Empire premises or remotely. Persons who are not officially enrolled for a particular term but who have a continuing relationship as a student with the SUNY Empire are considered "students." A continuing relationship exists for a student who has begun a first term of enrollment, has not graduated, withdrawn or been expelled, and is within the 3-years of the end date of the last term of enrollment.

N. "Student Conduct Body" means any person or persons authorized by the Student Conduct Director to determine whether a student has violated the Student Conduct Policy and to recommend sanctions when necessary.

O. “Student Conduct Director” means the individual(s) designated to administer the SUNY Empire Student Conduct System.

P. "Student Conduct Hearing Officer" means any individual assigned to advise a Student Conduct Body.

Q. “Student Conduct System” means the procedures for responding to allegations of student misconduct and the delineation of actions SUNY Empire may take in dealing with policy violations.

R. "Student Organization" means any number of persons who have complied with the formal requirements for recognition by SUNY Empire and has official recognition.

S. "Student Publication" means written material including, but not limited to, brochures, newspapers, and special interest magazines published by students and distributed to the SUNY Empire community.

T. "SUNY Empire" means the Empire State University.

U. "SUNY Empire Community Member " means any person who is a student, faculty member, SUNY Empire official, or any other person employed by or affiliated with SUNY Empire. The Student Conduct Director shall determine a person’s status in a situation.

V. "SUNY Empire Official" includes any person employed by the university.

W. "SUNY Empire Premises” or “Campus" includes all land, buildings, facilities, or other property in the possession of or owned, leased, used, or controlled by the university, including adjacent streets and sidewalks.

X. "SUNY Empire Property" means all items owned, leased, or on loan to the university.

Y. “Title IX Coordinator” shall mean the Title IX Coordinator or his or her designee

Z. “Weapon” any weapon or any device capable of use as a weapon by release of explosive material, noxious material, electric discharge, or projectile; any deadly weapon as defined in the NYS Penal Law Section 10.00(12); any weapon listed in NYS Penal Law Section 265; and as listed in the SUNY Board of Trustee Regulations 8 NYCRR Part 590 and SUNY Document #5403.

Statements

SUNY Empire strives to create an atmosphere of student success in direct support of its mission. Students, like all citizens, are afforded the right of free expression and advocacy and the SUNY Empire encourages and seeks to preserve freedom of expression and inquiry within the institution. Students are to conduct themselves civilly, lawfully, and responsibly. Students will not engage in disruptive, threatening, unethical, or abusive conduct toward other members of the SUNY Empire community, including other students, instructors, and staff.

SUNY Empire has a responsibility to maintain standards of student conduct essential to the orderly conduct of its function as an educational institution. Students are expected to be familiar with the Student Conduct Policy and the regulations included in the policy, and to abide by them.

Along with local, state, and federal laws and statutes, each student is accountable for his or her own behavior and for the behavior of their guests and/or those attempting to act on their behalf. Any violation of the Student Conduct Policy is strictly prohibited and may result in sanctions including, without limitation: disciplinary warning, disciplinary suspension, or disciplinary expulsion from SUNY Empire. The Student Conduct System is intended to be educational in nature and every effort is made to develop understanding and compliance with the SUNY Empire standards of conduct. However, occasions arise when disciplinary or punitive sanctions are necessary, and those actions are within the scope of the policy. Because disciplinary actions must be commensurate with the seriousness of the offense and the total conduct record of the student, each case is determined on its own merits.

A. Jurisdiction

SUNY Empire jurisdiction and discipline pertains to conduct which occurs on its premises, in/on properties or buildings it owns/leases/operates, through online tools and learning management systems provided by SUNY Empire, or off campus and which adversely affects the SUNY Empire community, including any of its members, and/or the pursuit of its objectives and mission. In addition, illegal conduct off campus or on external online platforms may be adjudicated on campus as a violation of the Student Conduct Policy, and students outside of the United States may be held responsible on campus for violations of the laws of the country where they are visiting/residing.

B. Due Process

The Student Conduct System is designed to support the right to due process, which is a process that is fair, consistent, provides adequate notice, and a meaningful opportunity to be heard. The student conduct proceedings provide the Student Conduct Body or officer a full opportunity to hear both sides of the issue in considerable detail. Except as otherwise provided in Section D below, no student shall be disciplined for a violation of this policy without being first given appropriate advance notice of the charges against him or her and a hearing before an appropriate body or officer. The student may waive in writing the requirement of a hearing when allowed by law or related regulations.

C. Violation of Law and Student Conduct Policy

Students may be charged with violations of both the SUNY Empire’s Student Conduct Policy and the laws of the broader society. Proceedings under this Student Conduct Policy may be carried out prior to, simultaneously with, or following external civil or criminal proceedings for the same factual situation without regard to the status of civil litigation in court or criminal arrest and prosecution. Exceptions may be approved by the Student Conduct Director for temporary delays as requested by external legal or law enforcement entities. Temporary delays should not last more than 10 business days except when law enforcement specifically requests and justifies a longer delay.

When a student is charged by federal, state, or local authorities with a violation of law, SUNY Empire will not request or agree to special consideration for that individual because of the individual’s status as a student. The alleged offense may also the subject of a proceeding before a Student Conduct Body under the Student Conduct Policy and SUNY Empire may advise off-campus authorities of the existence of the Student Conduct Policy and of how such matters will be handled within SUNY Empire. SUNY Empire will cooperate fully with law enforcement and other agencies in the enforcement of criminal law on campus and in the conditions imposed by criminal courts for the rehabilitation of student violators. Individual students and faculty/staff members, acting in their personal capacities, remain free to interact with governmental representatives, as they deem appropriate.

D. Interim Suspension and Directives

The Student Conduct Director, or designee, may impose interim measures prior to and pending a hearing, and determination of said hearing, including interim suspension and loss of privileges, which may include no contact orders, and other reasonable measures, upon learning of a possible Student Conduct Policy violation. Students have the right to challenge the terms of the interim measure(s) or request a modification. Interim suspensions may only be imposed when, in the judgement of the Student Conduct Director, the continued presence of such student would constitute a danger to themself, to the safety of persons or property, and/or would pose an immediate threat of disruptive interference with the normal conduct of the SUNY Empire’s activities and functions. Violation of any condition of the interim suspension shall be grounds for additional charges and sanctions up to and including expulsion from the SUNY Empire.

E. Amnesty In Sexual Misconduct Cases For Alcohol and/or Drug Use

The health and safety of every student at the State University of New York and its State-operated and community colleges is of utmost importance. SUNY Empire recognizes that students who have been drinking and/or using drugs (whether such use is voluntary or involuntary) at the time that sexual misconduct occurs may be hesitant to report such incidents due to fear of potential consequences for their own conduct. SUNY Empire strongly encourages students to report incidents of sexual misconduct to SUNY Empire officials. A bystander or Reporting Individual, acting in good faith, who discloses any incident of sexual misconduct to SUNY Empire officials or law enforcement, will not be subject to the Student Conduct Policy for violations of alcohol and/or drug use policies occurring at or near the time that the sexual misconduct occurred.

F. Prohibited Conduct

The following list of prohibited conduct is not exhaustive and is intended to describe minimum standards for specific and/or general types of behavior that may result in sanctions outlined in the procedures for this policy. These prohibitions apply both to student behavior which occurs on campus, at SUNY Empire-sponsored events off campus, in SUNY Empire-sponsored virtual and online activities, and may apply to off campus behaviors as noted in “Section A: Jurisdiction” of this policy. Prohibited behavior includes not only completed actions, but also attempted violations of the Student Conduct Policy.

1. Fire Safety

Causing or creating a fire, regardless of intent (except as authorized for use in class, in connection with SUNY Empire-sponsored research, or other approved activities).
Tampering with safety measures or devices, including but not limited to, alarm systems, fire extinguishers, exit signs, emergency phone systems, smoke or heat detectors, fire hoses, security systems, locked exterior doors, etc.
Failing to conform to safety regulations, including but not limited to, falsely reporting an incident, failure to evacuate facilities in a timely fashion in emergency situations or in response to fire alarms, inappropriate use of the fire alarm system, and inappropriate, negligent or reckless behavior which results in the activation of a fire alarm.

2. Weapons

The on-campus possession or use of any weapon or any device capable of use as a weapon whether it is through the release of explosive material, noxious material, electric discharge, or projectile; or cutting, thrusting, stabbing, striking.
The on-campus possession or use of a deadly weapon as defined in NYS Penal Law Section 10.00(12) or any weapon listed in NYS Penal Law Section 265.

Note: in addition to SUNY Empire policy restrictions, possession of a weapon on school grounds, including all SUNY Empire locations, is a felony under NYS Penal Law Section 265.01-a.

3. Threatening or Abusive Behavior

Intentionally or recklessly causing physical harm to any person, or reasonable fear of such harm, verbally or in written form. Students cannot justify such behavior as defensive if:

the behavior is a physical response to verbal provocation
the student has the ability to leave the situation, but instead chooses to respond physically, and/or
such actions are punitive or retaliatory.

Additionally, it is prohibited to use a self-defense spray in circumstances that do not justify the use of such device.

4. Harassment

Engaging in behavior that is sufficiently severe, pervasive, and objectively offensive that it unreasonably interferes with, denies, or limits any SUNY Empire Community Member’s ability to participate in or benefit from the SUNY Empire’s education program and/or activities, threatens or violates the personal safety of any SUNY Empire Community Member, and/or creates an academic environment that a reasonable person would find intimidating or hostile.

Activity protected by the First Amendment will not constitute harassment.

Harassment may include:

directing unwanted physical, verbal, or electronic conduct at an individual based on one or more of that person’s protected characteristics or status, including age, color, race, disability, marital status, national/ethnic origin, religion, military/veteran’s status, sex [including pregnancy], gender expression or gender identity, sexual orientation, domestic violence victim status, criminal or arrest record, political activities, or predisposing genetic characteristics; or
subjecting a person or group of persons to unwanted physical contact or threat of such; or
repeated contact with an individual or office after being instructed to cease.

5. Intimate Partner Violence

Intimate Partner Violence includes Dating Violence and Domestic Violence, both of which are further defined below. Intimate Partner Violence can occur in relationships of the same or different genders.

Dating Violence - Any act of violence, including physical, sexual, psychological, electronic, and verbal violence, committed by a person who is or has been in a social relationship of a romantic or intimate nature with the Reporting Individual. Dating Violence can occur as a single act, or it can consist of a pattern of violent, abusive, or coercive acts that serve to exercise power and control in the context of a romantic or intimate relationship. The existence of such a relationship shall be determined based on the victim’s statement and with consideration of the type and length of the relationship and the frequency of the interaction between the persons involved in the relationship. Two people may be in a romantic or intimate relationship, regardless of whether the relationship is sexual in nature; however, neither a casual acquaintance nor ordinary fraternization between two individuals in a business or social context shall constitute a romantic or intimate relationship.
Domestic Violence - Any violent felony, non-violent felony, or misdemeanor crime, as those terms are defined by the laws of the State of New York and/or of the federal government, committed by a current or former spouse or intimate partner of the victim, a person sharing a child with the victim, or a person cohabitating with the victim as a spouse or intimate partner.

6. Stalking

Stalking is engaging in a course of conduct (including, but not limited to, acts in which the stalker directly, indirectly, or through third parties, by any action, method, device, online tools, or means, follows, monitors, observes, surveils, threatens, or communicates to or about a person, or interferes with a person’s property) directed at a specific person(s) that would cause a reasonable person(s) to:

fear for their safety or the safety of others; or
suffer substantial emotional distress (defined as significant mental suffering or anguish that may, but does not necessarily, require medical or other professional treatment or counseling).

Stalking does not require direct contact between parties and can be accomplished in many ways, including through third parties or through the use of electronic devices and social media.

7. Endangerment

Acting to create or contribute to dangerous or unsafe environments anywhere on- or off-campus or electronically. Reckless or intentional acts which endanger, or put at risk, the welfare of oneself or others are prohibited.

8. Sexual Harassment

Sexual Harassment is unwelcome sexual advances, requests for sexual favors, or other unwanted conduct of a sexual nature, whether verbal, nonverbal, graphic, physical, electronic, or otherwise, when the conditions outlined in subsections a. and/or b. below, are present:

Submission to, or rejection of, such conduct is made, either explicitly or implicitly, a term or condition of a person’s employment, academic standing, or participation in any SUNY Empire programs or activities or is used as the basis for SUNY Empire decisions affecting the individual (often referred to as “quid pro quo” harassment); or
Such conduct creates a hostile environment. A hostile environment exists when the conduct is sufficiently severe, persistent, or pervasive that it unreasonably interferes with, limits, or deprives an individual’s ability to participate in, or benefit from, SUNY Empire’s education or employment programs or activities. Conduct must be deemed severe, persistent, or pervasive from both a subjective and an objective perspective.

9. Sexual Assault and Sexual Exploitation

Sexual Assault I - Intentionally engaging in any form of vaginal, anal, or oral penetration, however slight, with any object (an object includes but is not limited to parts of a person’s body) without the person’s Affirmative Consent
Sexual Assault II - Intentionally engaging in touching a person’s intimate parts (defined as mouth, genitals, groin, anus, inner thigh, breast, or buttocks) whether directly or through clothing, without the person’s Affirmative Consent. Sexual Assault II also includes forcing an unwilling person to touch another’s intimate parts.
Sexual Exploitation - Intentionally engaging in, or attempting to engage in, abusive sexual behavior without Affirmative Consent that does not otherwise constitute Sexual Assault I or Sexual Assault II. Examples include, but are not limited to: intentional, nonconsensual tampering with or removal of condoms or other methods of birth control and STI prevention prior to or during sexual contact in a manner that significantly increases the likelihood of STI contraction and/or pregnancy by the nonconsenting party; nonconsensual video or audio recording of sexual activity; sharing and/or allowing others to watch consensual or nonconsensual sexual activity without the consent of a sexual partner; observing others engaged in dressing/undressing or in sexual acts without their knowledge or consent; trafficking people to be sold for sex; inducing incapacitation with the intent to sexually assault another person; creating, possessing, or distributing the sexual performance of a child (as defined in NYS Penal Code 263.00) ; and aiding, abetting, or otherwise facilitating sexual activity between persons without the Affirmative Consent of one or more party.

The following principles outlined in NYS Education Law Article 129-B apply to the SUNY Empire’s interpretation of Affirmative Consent

Consent to any sexual act or prior consensual sexual activity between or with any party does not necessarily constitute consent to any other sexual act.
Consent is required regardless of whether the person initiating the act is under the influence of drugs and/or alcohol.
Consent may be initially given but withdrawn at any time.
Consent cannot be given when a person is incapacitated, which occurs when an individual lacks the ability to knowingly choose to participate in sexual activity. Incapacitation may be caused by the lack of consciousness or being asleep, being involuntarily restrained, or if an individual otherwise cannot consent. Depending on the degree of intoxication, someone who is under the influence of alcohol, drugs, or other intoxicants may be incapacitated and therefore unable to consent.
Consent cannot be given when it is the result of any coercion, intimidation, force, or threat of harm.
When consent is withdrawn or can no longer be given, sexual activity must stop.

10. Hazing

Hazing is any reckless or intentional conduct in connection with the initiation into, or affiliation with, any organization or group which degrades, humiliates, or endangers the mental or physical health of any person, regardless of the person’s willingness to participate.

11. Forgery, Fraud, Dishonesty

Altering or misusing documents, records, stored data, or instruments of identification, or furnishing false information to any SUNY Empire, local, state or federal official. This includes possessing, creating, or using a fake or forged instrument of identification, or monetary notes, or knowingly making a false complaint to a SUNY Empire office. A good faith complaint which is later not substantiated is not considered to be a false complaint.

12. Property Damage

Removing, destroying or damaging SUNY Empire property, or property under SUNY Empire administration or supervision.
Destroying or damaging the property of others, on- or off-campus.

13. Theft

Stealing property and/or services; possessing stolen property. This includes identity theft (i.e., unauthorized possession or use of a financial instrument, SUNY Empire ID Card, etc.).

14. Unauthorized Entry, Presence, or Use

Entering, being present in/on, or using facilities or property on- or off-campus, belonging to individuals, SUNY Empire-recognized groups and/or corporate entities without proper authorization.

15. Drugs

Consistent with the federal Drug-Free Schools and Communities Act Amendments of 1989 (Public Law 101- 226), possessing, using, distributing, or intent to distribute, a controlled substance or dangerous drug, or any drug unlawful to possess, (i.e., marijuana) except as expressly permitted by law. Drug paraphernalia including, but not limited to bongs, water pipes, or hypodermic needles that are not specifically required for the administration of prescribed medications are not allowed on campus. Use of legal medication outside the parameters of the medical authorization is prohibited and prescription drugs must have an authentic medical prescription. Driving under the influence of drugs is prohibited. This applies to both on- and off-campus behavior.

While possession of marijuana by adults (21+) in New York State has been legalized, it remains prohibited on all state campuses as required by federal law. Possession while at a SUNY Empire location or event will result in a Student Conduct Policy violation.

16. Alcohol

Consistent with New York State Law, individuals under the age of 21 years are prohibited from using, possessing, or distributing alcoholic beverages. Individuals over the age of 21 may use and possess alcohol as permitted by the law and SUNY Empire policies. Open containers and public intoxication are prohibited. Students who are irresponsible in their use of alcohol or who provide alcohol to minors will be subject to this policy regardless of the student’s age. Driving under the influence of alcohol is prohibited. This applies to both on and off-campus behavior.

17. Obstruction or Disruption

Impairing, obstructing, or disrupting the orderly conduct, processes, activities, and functions of SUNY Empire, including teaching and learning, or the community where the conduct occurs including, without limitation, teaching, research, administration, disciplinary procedures, or other authorized activities, including public service functions. It can include participation in campus demonstrations which disrupt the normal operations of SUNY Empire and infringe on the rights of other SUNY Empire Community Members by leading or inciting others to disrupt scheduled and/or normal activities within any campus building or area; and intentional obstruction which unreasonably interferes with freedom of movement, be it pedestrian, vehicular, or electronic on campus. It also includes, without limitation, excessive noise, abusive, or obscene language in a public place, littering, obstructing vehicular or pedestrian traffic, and boisterous, indecent, or threatening conduct that is unreasonable in the area, time, or manner in which it occurs. Behaviors, speech, or actions that interfere with the ability of the instructor(s) to teach or students to learn are considered disruptive.

Conduct protected by the First Amendment is excluded.

18. Student Group Violations

Students are expected to know and abide by the regulations governing their membership in a Student Organization. Prohibited conduct by officers/members of student groups and organizations may result in a referral to the Student Conduct System for individual students.

It is a violation of SUNY Empire policy for students to affiliate with organizations that have had recognition suspended or permanently revoked by SUNY Empire. The definition of affiliation includes joining or being involved in any activity that would normally be associated with being a member of such organization.

19. Misuse of SUNY Empire Name and Mark

Use of the SUNY Empire name, symbols, logo, and wordmark inconsistent with the university’s Use of University Name and Wordmark Policy, available here: https://www.sunyempire.edu/policies/?search=cid%3D37966

20. Aiding and Abetting

Aiding, abetting, or otherwise facilitating an individual to commit or attempt to commit a violation of the Student Conduct Policy.

21. Non-Compliance

Failure to comply with SUNY Empire policy and/or any local, state, public health directive, federal law, rule, or regulation.
Failure to comply with the directions of an authorized local, state, federal, or SUNY Empire Official acting in the performance of their duties, or any other person responsible for a facility or registered function acting in accordance with those responsibilities. This includes, without limitation: not appearing at meetings when directed to do so; not providing identification; not abiding by any temporary and/or administrative directive; and not leaving areas/events/offices when directed to do so.
Failure to notify SUNY Empire of a felony or misdemeanor crime. It is the obligation of every student to notify the SUNY Empire (via e-mail – Collegewidestudentservices@sunyempire.edu) five (5) calendar days from the date of arrest of any felony or misdemeanor arrests at any time after a student pays their orientation fee through graduation or separation from SUNY Empire, regardless of geographic location of the arrest or specific crime alleged. Failure to do so may result in conduct charges by the SUNY Empire or administrative/registration holds placed on the student’s account. SUNY Empire may review the facts underlying the arrest to determine if there is an associated SUNY Empire policy violation.

22. Electronic Use

Misuse or abuse of the SUNY Empire computer systems, voice mail, or telephone services. This includes, without limitation:

Unauthorized use or abuse of your SUNY Empire computer account, including failure to safeguard or sharing of user IDs and passwords
Sending abusive or threatening messages to students, faculty, or staff.
Accessing a student or staff account without authorization.
Using a SUNY Empire office email account to send messages without authorization.
Failure to comply with any SUNY Empire technology policies.
Illegal use including, but not limited to illegal downloading, uploading, or use of file sharing programs with regard to copyrighted materials.

23. Hate or Bias-Related Crime

Intentionally selecting a person against whom a criminal offense is committed or intended to be committed because of a belief or perception regarding the race, color, national origin, ancestry, gender, religion, religious practice, age, disability, or sexual orientation, or other classes protected by state or federal law regardless of whether the belief or perception is correct.

24. Abuse of The Student Conduction System

Abusing the Student Conduct System, including but not limited to:

Failure to obey the notice of a Student Conduct Body, Student Conduct Director, or SUNY Empire Official.
Falsification, distortion, or misrepresentation of information before a Student Conduct Body, Student Conduct Director, or SUNY Empire Official.
Disruption or interference with the orderly conduct of a student conduct proceeding.
Knowingly instituting a student conduct complaint without cause.
Attempting to discourage an individual’s proper participation in, or use of, the Student Conduct System.
Attempting to influence the impartiality of a member of a Student Conduct Body or any other party/individual that may choose to participate in a student conduct proceeding.
Harassment (verbal or physical) and/or intimidation of a member of a Student Conduct Body or any other party/individual that may choose to participate in a student conduct proceeding.
Failure to comply with the sanction(s) or directives imposed under the Student Conduct Policy.
Influencing or attempting to influence another person to commit an abuse of the Student Conduct System.

25. Retaliation

Retaliation is adverse action taken against an individual or groups for making a good faith report of prohibited conduct or for participating in any investigation or proceeding regarding prohibited conduct. Retaliation may include intimidation, threats, coercion, or adverse employment or educational actions. Retaliation may be found even when an underlying report, made in good faith, was not substantiated. Retaliation may be committed by the Respondent, the Reporting Individual, or any other students.

Applicable Legislation and Regulations

The following link to FindLaw's New York State Laws is provided for users' convenience; it is not the official site for the State of New York laws.

NYS Education Law §356(3)(g) (Councils of state-operated institutions; powers and duties)

In case of questions, readers are advised to refer to the New York State Legislature site for the menu of New York State Consolidated.

Board of Trustees Established Guidelines - Student Conduct (8 NYCRR Part 500)

Board of Trustees Rules - Maintenance of Public Order (8NYCRR Part 535)

State University of New York Board of Trustee Resolution 82-261, adopted October 27, 1982

Related References, Policies, Procedures, Forms and Appendices

Domestic Violence in the Workplace Policy

Non-Discrimination/Anti-Harassment Policy

Sexual Harassment Policy

Sexual Violence Prevention and Response Policies

Workplace Violence Policy

Student Conduct System

RIGHTS OF STUDENTS WITH DISABILITIES POLICY

Purpose

The purpose of this policy is to assure university compliance with federal, state and local laws pertaining to the rights of prospective and current students with disabilities.

Definitions

Disability: A diagnosed physical or mental impairment that affects the performance of one or more major life activities. Individuals with a history of impairment or regarded as impaired are also protected from discrimination on the basis of that disability.

Qualified individual with a disability: A person with a disability, who with or without reasonable accommodation is able to perform the essential functions of his or her job.

Reasonable accommodation: A modification to an employee’s work environment or tasks that does not reduce standards, fundamentally alter the nature of the employee’s work or pose an undue burden on the institution.

Essential functions: Those tasks or functions that, if modified, would fundamentally change the nature of the job or occupation for which the position exists

Statements

Empire State University complies with Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act (ADA) of 1990. These acts “ … no otherwise qualified handicapped individual … shall, solely by reason of his or her handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance (29 USC Sect. 706).” Regulations implementing Section 504 and ADA establish standards for employment practice, accessibility of facilities, and education programs with which institutions receiving federal funds must comply (34 CFR Part 104).

In accordance with these regulations, a qualified person with a disability who meets the academic and technical standards required to enroll in and participate in the Empire State University program shall be provided an equal opportunity to obtain a degree in the most integrated setting appropriate to that person’s needs. Empire State University makes reasonable accommodation to meet the needs of students with disabling conditions. Reasonable accommodation does not include academic adjustments that would fundamentally alter the nature, essential requirements or academic standards of the program.

The university considers each student’s individual needs through consultation with the student’s center or unit and the director of Accessibility Resources and Services.

The director of Accessibility Resources and Services, coordinates the university’s compliance with Section 504, ADA and their implementing regulations with respect to students. Questions concerning the university’s policy should be directed to the director of Accessibility Resources and Services, Empire State University, 113 West Ave., Saratoga Springs, NY 12866-4390, 518-587-2100, ext. 2244 or email Disability.Services@sunyempire.edu.

Applicable Legislation and Regulations

Section 504 of the Rehabilitation Act of 1973

Americans with Disabilities Act of 1990

Americans with Disabilities Amendments Act of 2008

New York State Human Rights Law

Related References, Policies, Procedures, Forms and Appendices

Empire State University provides educational services through regional enrollment centers throughout New York state and the Center for Distance Learning. Students with disabling conditions may work out informal accommodations with their mentors/tutors. To make a formal declaration of disability and request a student may contact the center’s disability representative (see A below).

Requesting Accommodations
1. The student may first contact the disability representative for his/her center or the disability specialist in the Office of Accessibility Resources and Services. A list of the disability representatives and their contact information can be found in the student services section of the undergraduate catalog or on the Accessibility Resources and Services website.
2. The student completes the Disability Declaration and Request for Accommodation form (available from a disability representative or on the Accessibility Resources and Services website, forms page) to provide information about his or her disability and request accommodations. The student does not need to provide documentation of the disability at this stage.
3. The disability services staff review the request and determine appropriate accommodations, consulting with the dean, the student’s mentor, and other faculty and staff as needed.
4. The student, his/her primary mentor, other mentors, tutors or instructors the student is studying with and the disability representative are notified of the approved accommodations. The student contacts his/her mentors or tutors to discuss implementing the approved accommodations.
ADA Grievances or Appeals
Students who wish to file a complaint about their treatment at the university or the determination of their accommodation request are welcome to do so. Internally, students may access the university’s Student Grievance Procedure to do so.
1. Informal resolution
  The student is strongly encouraged to seek informal resolution of a grievance by bringing it to the attention of the relevant center, program or central office administrator in a timely fashion. An attempt at informal resolution should begin no more than 30 days after the concern arises.
2. Written Grievance
  If the student is unsatisfied with the response, the student may make a formal, written complaint to the relevant administrator.
  1. Any formal complaint must be submitted within 60 days of the concern arising. The student must state the nature of the grievance and the remedy s/he is seeking and describe any previous attempts to resolve the issue.
  2. The administrator reviews the situation and should provide a written response within 15 days of receiving the complaint.
3. Appeal
  If the student is unsatisfied with the first level of administrative response, the student may appeal in writing to the appropriate Vice President.
  1. Appeals regarding academic services are to be submitted to the Vice President for Academic Affairs. Appeals regarding financial issues are to be submitted to the Vice President for Administration.
  2. Any appeal must be submitted within 30 days of the transmission of the first level administrative response. The student must state the nature of the justification for the appeal and describe any previous attempts to resolve the issue.
  3. The Vice President reviews the situation and should provide a written response within 15 days of receiving the appeal. The Vice President’s decision is final.

USE OF UNIVERSITY NAME AND WORDMARK POLICY

Purpose

To protect the university's trademark for all logos, symbols, etc. that pertain to SUNY Empire State University

Definitions

Statements

The SUNY Empire State University name, symbols, logo and wordmark are protected trademarks of Empire State University. It is the policy of the university to permit the use of these trademarks by centers, Coordinating Center offices and alumni/student associations for purposes of public relations and fund raising, where the proceeds benefit the university and its students. Notwithstanding such policy, the university reserves its right, at its sole discretion, to revoke or restrict such use of its trademarks for commercial purposes and in any other circumstances.

Any group wishing to use the trademark(s) must receive written permission from the senior director of marketing. Such permission will set forth the name of the group, the nature of the use and restrictions regarding the standards and quality of the goods and services in connection with which the trademark(s) are used. The university reserves the right to approve samples showing the proposed use of the trademarked product or service prior to production and distribution.

The Empire State University trademarks should not be used in any manner suggesting advocacy or official position of the university regarding any issues including, but not limited to, political issues.

For further information to use the Empire State University trademarks, contact the senior director of marketing at 518-587-2100.

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

STUDENT EMAIL COMMUNICATION POLICY

Purpose

Empire State University assigns each student and employee an email account. The SUNY Empire email account serves as a primary method of communication between students and the institution. Use of the SUNY Empire email account and associated features provides a higher level of security and assurance of sender identity over correspondence through third party providers. This policy sets the requirements for official communication with students and students’ responsibilities for the information sent through official university channels.

Definitions

Official communications are any communications related to matters concerning student, faculty, and staff interaction with SUNY Empire.

Student is defined as an individual who has enrolled in courses at/with SUNY Empire; has not graduated, has been dismissed or expelled, and/or has withdrawn from SUNY Empire; and it has been less than three years since the end-date of the last enrollment.

Statements

Email is an official communication channel at Empire State University and the institution provides all students with an email account. All faculty and staff shall use students’ SUNY Empire email addresses when conducting official communications such university business via email. Other official channels and portals that require a login into university systems with students’ credentials are also acceptable means of communication. Faculty and staff may require that students use other official channels and portals, such as those within the Learning Management System (LMS).

Students are accountable to SUNY Empire for information delivered to their SUNY Empire email and other assigned channels and portals. Thus, SUNY Empire expects students to receive and review official email communications in a timely fashion. As correspondence may be time-sensitive, students are encouraged to check their accounts daily. Communication prior to first enrollment as a student is not covered by this policy, however incoming students should begin using SUNY Empire email as soon as it is available. If a student has paused their enrollment during the three-year window in which they are defined as students, SUNY Empire may send emails to a student’s non-SUNY Empire email addresses for re-enrollment activities provided that the communication contains no protected educational record information.

Students may request that their SUNY Empire email be forwarded to another service provider and do so at their own risk. Students are responsible for all information, including attachments, forwarded to any email account. SUNY Empire’s responsibility ends with the proper delivery of the email to the official university channel. SUNY Empire does not guarantee delivery to forwarded addresses nor does it guarantee that documents attached to forwarded messages will function.

To ensure identity verification, students must correspond with SUNY Empire using their institution-provided email account or through other official channels.

Applicable Legislation and Regulations

34 CFR Part 99—Family Educational Rights and Privacy

Related References, Policies, Procedures, Forms and Appendices

Electronic Mail (email) Policy

Computer Use Statement Policy – Students

STUDENT GRIEVANCE POLICY AND PROCEDURES

Purpose

The purpose of the Student Grievance Policy is to provide equitable and orderly processes to resolve grievances by students.

Definitions

Grievance -- formal difference or dispute between a student and a university employee about the interpretation and/or application of the university's non-academic policies and procedures, or provision of services, by members of the university's faculty or staff, that negatively affects the student. A grievance may be based on one of the following claims: failure to provide services, arbitrary and/or capricious actions by a university employee or administrative office; policy or procedure applied unfairly and/or in a different manner than it was applied to others; administrative error in the application of the policy or procedure.

Days – Monday through Friday excluding university holidays

Relevant Administrator– Appropriate Office Director or School Associate Dean or Dean. The locus of grievance is with the unit where the service is delivered. Questions about the appropriate locus are resolved by the provost, vice president or designee.

Relevant Provost, Vice President or designee—The office responsible for the service area.

Statements

A grievance differs from an appeal of an academic decision, as it deals with service issues and not the actual outcomes of course work. A student may file a grievance in the cases of an unresolved difference or dispute between themselves and the university (office or individual) related to services rendered or non-academic decisions. The policy covers matters outside the scope of other policies of the university.

Complaints about sexual harassment and discrimination based upon protected class are addressed via the Discrimination Complaint Procedure; complaints about services related to disabilities are addressed through Rights of Students with Disabilities Policy, complaints about student behavior are addressed through the Student Conduct Policy and Procedures and student academic appeals including grading are addressed through Student Academic Appeals Policy and Procedures.

In cases where service issues underlie a disagreement about an academic evaluation, the service issue will be investigated and decided first.

Informal Resolution

The student is strongly encouraged to seek informal resolution of a grievance by bringing it to the attention of the relevant individual, administrator or office. An attempt at informal resolution should begin no more than 20 business days after the service or decision is rendered.

Formal Grievance

If the student is unsatisfied with the response, the student may make a formal, written grievance to the relevant administrator.

Any formal grievance must be submitted by the student within 40 business days after the service or decision is rendered . The student must state the nature of the grievance and the remedy s/he is seeking and describe any previous attempts to resolve the issue grievance.

The administrator reviews the situation and should provide a written response, including appeal information within 15 days of receiving the complaint, copying the primary mentor/academic advisor. Students will be informed if extenuating circumstances require additional time.

Appeal of Formal Grievance Decision

If the student is unsatisfied with the formal grievance decision, the student may appeal in writing to the appropriate vice president, provost or designee.

Any appeal must be submitted within 20 business days of the transmission of the the formal grievance decision. The student must state the nature of the justification for the appeal.

The vice president, provost or designee reviews the grievance and should provide a written response within 15 days of receiving the appeal. This decision is final.

Applicable Legislation and Regulations

Middle States

State Complaint Procedures

Related References, Policies, Procedures, Forms and Appendices

Discrimination Complaint Procedure

Rights of Students with Disabilities Policy

Student Conduct Policy and Procedures

Student Academic Appeals Policy and Procedures.

PROTECTION OF HUMAN RESEARCH SUBJECTS POLICY

Purpose

To ensure the ethical treatment of human subjects involved with Empire State University research projects as well as to comply with federal and state regulations, the university has developed this policy as well as procedures with which to carry out the policy. Additionally, the university, in order to maintain its federal-wide assurance with the Office of Human Research Protections, which is necessary for federal grants, must have a policy for the protection of its human research subjects.

Definitions

Research: a systematic investigation including research development, testing and evaluation designed to develop or contribute to generalizable knowledge. Activities which meet this definition constitute “research” for purposes of this policy, whether or not they are conducted or supported under a program that is considered research for other purposes. For example, some demonstration and service programs may include research activities.

Human subject: a living individual about whom an investigator (faculty, staff or student) conducting research obtains; 1. Data through intervention or interaction with the individual, or 2. Identifiable private information.

Statements

All research involving human subjects conducted by university faculty, staff and students must be reviewed and approved by the Institutional Review Board prior to the start of the research. Those submitting protocols to the Institutional Review Board must have completed the CITI human subjects training within three years of the protocol submission or the protocol will not be approved.

Applicable Legislation and Regulations

U.S. Department of Health & Human Services

SUNY Research Foundation Best Practices: Research Involving Human Subjects

Related References, Policies, Procedures, Forms and Appendices

Empire State University human subjects in research guidance, procedures and protocol form

STUDENT CLUBS AND ORGANIZATIONS PROCEDURES

PURPOSE

To enhance the co-curricular experience for students

DEFINITIONS

STATEMENTS

Only officially recognized organizations may use the name of the State University of New York or Empire State University (the university) for identification purposes, obtain organizational privileges in the use of the university’s facilities and services, or imply university sponsorship or approval of their activities.
Recognition (or withdrawal of recognition) of a group as a university organization is an executive responsibility of the President, acting on behalf of the Chancellor and trustees of the State University of New York. Responsibility for the coordination of policy development and for the administration of recognition procedures in the case of organizations having students as full members is delegated to the Director of Alumni and Student Relations. The final decision to grant or withdraw recognition rests with the President or his/her designee.
Determination of criteria for membership and for active status is the prerogative of each organization, insofar as it is consistent with State and Federal law. No organization may restrict its selection of members or assignment of voting privileges, rank or office, based on illegal differentiation or based on an individual’s previous affiliations. There will be no discrimination based on race, gender, color, religions, age national origin, disability or sexual orientation. The names, purposes and procedures of organizations must reflect this policy of nondiscrimination.
Local affiliates of national organizations must be entirely free to select individual members from among the generally qualified; outside approval shall not be required.
Gender associated or otherwise circumscribed names should not be interpreted as denying or prohibiting membership to any person wishing to join any registered organization, or to participate in its activities. Students are free to select any group of their choosing.
Each group applying for recognition must agree to abide by all regulations of the university and the State University of New York. Applications of original recognition or renewed recognition will be submitted to the Director of Alumni and Student Relations. Each application for recognition must include the following information:
a brief statement of the organization’s purpose and proposed activities
membership requirements
sources of income and costs to members
assurance of responsible financial accounting to its membership
a list of current officers with their addresses and telephone numbers, including national or regional officer, if applicable
name of university faculty/professional advisor
Any constitution approved by organization members must be submitted to the Director of Alumni and Student Relations. All information required in the application for recognition (as detailed above) must be furnished separately.
Student organization credentials are maintained by the Office of Alumni and Student Relations and must be renewed or updated yearly. Failure to renew credentials or to comply with other university regulations will result in temporary or permanent withdrawal of official recognition.
Recognition of student groups by the university will not extend beyond the university facilities. Any activities by student groups beyond university locations are the responsibility of individual students and not campus administration. Events and meetings held at university locations must be approved and registered with the Director of Alumni and Student Relations and the Center Dean. The Director and relevant Dean may approve, for posting purposes only, announcements of off-campus events.
Student organizations bringing discredit upon themselves or the university may lose their recognition at the discretion of the President.
Any organization that receives financial assistance from the Student Activity Fee fund must maintain all deposits in an account administered by the Office of Alumni and Student Relations. For further information on procedures, please contact the Office of Alumni and Student Relations.

***All informal groups meeting on a regular or ad hoc basis are not bound by this policy. Any group desiring official university recognition and financial assistance must submit an application and is subject to all policies described above.

APPLICABLE LEGISLATION AND REGULATIONS

RELATED REFERENCES, POLICIES, PROCEDURES, FORMS AND APPENDICES

TEACHER PROFESSIONAL EXPECTATIONS POLICY

Purpose

The main factor for having this policy is ethics. New York State teachers must be ethical and professional with regards to their encounters with school district personnel, program faculty and staff, and most importantly, with their students. This policy will allow us to review any candidate who demonstrates a lack of professional conduct and dismiss him/her from the teaching program.

Definitions

Disposition refers to professional conduct and judgment.

Statements

Empire State University expects teacher education students to teach effectively and to demonstrate behaviors and attitudes that are consistent with the ideal of fairness and the belief that all students can learn. Empire State University expects students in professional education to demonstrate a set of values and attitudes consistent with the highest professional standards and to comply with relevant local, state and federal law. Students who fail to meet professional expectations are subject to warning or dismissal from the program and those dismissed cannot be recommended for teacher certification. Further, the teacher education programs prepare students to function as professionals who serve pupils and clients who may be minors or individuals in circumstances of significant vulnerability. In pursuing their academic programs, students come into direct contact with such vulnerable pupils and clients as part of their field experiences, residency placements, and teaching roles. Empire State University has an obligation to protect those pupils and clients and cannot tolerate student behavior that exploits, endangers, compromises or threatens the welfare, safety or rights of those pupils or clients.

In deciding whether to admit, readmit, retain, or graduate a student from a program, or to recommend an individual for state certification, the teacher education program considers not only the university's admission and academic requirements but also the individual’s competencies related to serving in the teaching profession, including, but not limited to, the individual’s conduct, professional attitudes, values and attributes to the extent such traits impact the person’s ability to serve effectively and ethically in the profession, and advancement in a teacher education program. The teacher education faculty and staff will conduct periodic reviews of students at key checkpoints, such as the time for certification recommendation, to determine whether or not the student will move forward in the process.

Professional Expectations and Criteria:

In deciding whether to admit, readmit, retain, or graduate students from a program, or to recommend an individual for a state teaching certificate, a teacher education program considers:

The individual's educational, work, and other life experiences related to the teaching profession.
The individual’s ability to communicate and work effectively with students, families, colleagues, peers, university faculty and staff, and communities, including individuals from different backgrounds, individuals with exceptional needs or limitations, individuals from different religious, cultural, racial or ethnic populations, and individuals of different genders and sexual orientations.
The individual’s fitness for the profession, including but not limited to any formal charge of professional misconduct or any felony conviction(s).
The individual's behavior in light of appropriate professional and ethical standards.
The individual's general and specific knowledge, skills, and dispositions needed to successfully complete the particular program and to function effectively in the profession. Dispositions for teaching are defined as those professional attitudes, values and attributes expected of an education professional by this policy and by New York State law and regulations. An instrument is used as a valid, reliable and objective tool for assessment in this process. There is a set process to review the results of this instrument.
The legal requirements and professional expectations as set out in the applicable laws and regulations governing state certification;
The standards and rules adopted or recognized by a teacher education program and applicable professional organizations; and
Whether the individual has met all the other program requirements for retention, graduation, or recommendation for state certification as set forth in the Graduate Catalog and the program's written policies and procedures.

Procedures

Warning or Dismissal from a Teacher Education Program

Academic Warning or Dismissal

The graduate student Evaluation and Grading policy, Satisfactory Academic Progress policy, and Academic Honesty policy contain university policy and procedures for academic warning and dismissal.
Professional Warning or Dismissal

The dean of the School for Graduate Studies may issue a warning or dismiss a student from the program for failure to meet, satisfy, or demonstrate satisfactory performance with respect to one or more of the program's professional criteria (see Part I).
1. Grounds for Professional Warning or Dismissal The dean of the School for Graduate Studies may issue a warning or dismiss a student from the program for failure to meet one or more of the following:
  1. A school or a school district decides not to hire or retain the student, dismisses the student from field experience, disciplines the student for misconduct, or determines that the student has behaved inappropriately with respect to any of the professional criteria.
  2. The dean of the School for Graduate Studies determines that the student does not meet the professional criteria.
2. Procedure for Warning or Dismissal
  1. Once notified of a complaint/incident, the division chair will notify the student and the student’s advisor of the complaint/incident; schedule a meeting between the student, advisor, and chair; and conduct an investigation. The student will have 1 week from the date of notification to confirm a date for this meeting. In advance of this meeting, the student may provide a written response to the division chair concerning the incident. At this meeting, the student may provide information or documentation or be asked by the division chair to provide information or documentation related to the complaint/incident. Based on the investigation, the division chair will make a recommendation to the dean of the School for Graduate Studies and copy the student. The student has 1 week from the submission of the chair’s recommendation to submit a written response to the dean of the School for Graduate Studies. In the absence of the division chair, the Office of Teacher Education will act in his/her place.
  2. Upon receipt of this recommendation, the dean of the School for Graduate Studies may warn or dismiss the student from the program. In making this decision, the dean may obtain information, documentation, or consult with others as deemed necessary.
  3. The dean notifies the student in writing. The warning or dismissal notice includes the effective date and reason for the warning or dismissal. The dean provides a copy to the division chair, Office of Teacher Education, the student’s academic advisor and course instructor(s).
  4. If the student is in a field experience or teaching role and is dismissed by the university, the dean also notifies appropriate school personnel of the dismissal. If the student has been issued transitional B certification and is dismissed, the Office of Teacher Education also notifies appropriate NYS Education Department personnel.
  5. In cases where the student’s behavior appears to present an immediate danger to the welfare and safety or rights of pupils or clients, in accordance with the Student Conduct Policy and Procedures, the dean may place an individual on interim suspension.
  6. A student who receives a warning or is dismissed may make an appeal following the university's policy on Student Academic Appeals.

Decision Not To Recommend For Certification

Grounds for Decision Not to Recommend a Student for Certification
1. The program does not recommend any student for certification who has been dismissed from the program.
2. The program does not recommend any student for certification who fails to meet NYS Education Department requirements.
3. The division chair and/or Office of Teacher Education may decide not to recommend a student for certification who fails to meet, satisfy, or demonstrate satisfactory performance with respect to one or more of the program’s academic and/or professional criteria.
4. The division chair and/or Office of Teacher Education may decide not to recommend a student for certification if a school or school district disciplines the student for misconduct, dismisses the student from field experience, or determines that a student has behaved inappropriately with respect to any of the professional criteria.
Procedure for Decision Not to Recommend a Student for Certification
1. The division chair and/or Office of Teacher Education may decide not to recommend a candidate for certification. In making this decision, the division chair and/or Office of Teacher Education may obtain information, documentation, or consult with others as deemed necessary.
2. The division chair and/or Office of Teacher Education notifies the student in writing. This notice includes the reason for the decision not to recommend the student for certification. The division chair and/or Office of Teacher Education provides a copy to the student’s academic advisor and the dean of the School for Graduate Studies.
3. A student who is not recommended for certification may make an appeal following the university's policy on Student Academic Appeals.

Readmission Consideration

Students who reapply to the program or a different program in the School for Graduate Studies must do so in accordance with the procedures for readmission. In reviewing an application for readmission to the teacher education programs all previous work in a graduate program including the individual's competencies related to serving in the teaching profession and professional expectations and criteria defined in the policy is considered .

Incident Reporting

Violations of Criminal Law by Teacher Education Students
1. Students charged with violations of criminal law must report such charges immediately to the division chair and Office of Teacher Education. The dean is responsible for determining the student’s status upon receipt of the information. The dean makes an evaluation and determination concerning the seriousness of the offense or offenses charged and the bearing, if any, that the criminal charges have on the student’s fitness or ability to perform the duties and responsibilities of field experiences or teaching, until the charges have been dismissed.
2. Depending on the nature of the charges and the information available, the dean may immediately remove such students from participation in field experiences or teaching.
3. If further action is required, including interim suspension from the university, the dean follows the procedures outlined in the Student Conduct Policy and Procedures.
Legal Notice
1. Students in field experiences are covered by New York State Education Law §3023, which requires that each school district “save harmless and protect all teachers, practice or cadet teachers… from financial loss arising out of any claim, demand, suit or judgment by reason of alleged negligence or other act resulting in accidental bodily injury to any person, or accidental damage to the property of any person within or without the school building, provided such teacher, practice or cadet teacher… at the time of the accident or injury was acting in the discharge of his duties within the scope of his employment or authorized volunteer duties and/or under the direction of said board of education….” A student who is involved in any such accident must immediately inform the school administrator and the SUNY Empire division chair and Office of Teacher Education.
2. A student who is served with a summons, complaint or other legal process involving an incident which occurred during the course of their teaching or field experience while participating in a teacher education program must immediately forward a copy of the legal papers to the local school administrator, SUNY Empire division chair and Office of Teacher Education.

Applicable Legislation and Regulations

New York State Code of Ethics for Educators (pdf)

New York State Education Law 3023

Part 83 of the NYS Commissioner's Regulations, Determination of Good Moral Character

Part 52 of the NYS Commissioner's Regulations, Registration of Curricula in Teacher Education

Related References, Policies, Procedures, Forms and Appendices

UNDERGRADUATE ENROLLMENT IN GRADUATE COURSES

Purpose

Provides for undergraduate enrollment in graduate courses with explicit controls for such enrollment and the uses of the credit.

Definitions

SGS – School for Graduate Studies

Statements

An advanced undergraduate student (within the last 32 credits of the bachelor’s program) with a concurred degree program may apply to take up to nine credits of selected graduate course work as determined by the appropriate graduate program chair or coordinator (but only six hours during a single term), related to the student’s undergraduate degree program. If the student is permitted to enroll, the graduate-level course(s) must be used in the undergraduate degree program and graduate-level course expectations and grading policies apply.

Students and mentors should consult with the appropriate program chair or coordinator as they develop a degree program plan that includes graduate study.

The appropriate program chair determines eligibility on a course-by-course basis, in consultation with the student's primary mentor and other mentors as appropriate. Decision criteria include (1) the student’s preparedness for graduate study based on the academic record, (2) the student’s rationale for enrolling in graduate courses, and (3) the availability of space in the course(s). The graduate course(s) will be used toward the undergraduate degree (subject to undergraduate degree program review). Additionally, if the student is accepted within two years to the graduate program to which the courses apply, those course(s) will apply toward that graduate degree.

Applicable Legislation and Regulations

Title 8 Chapter II Regulations of the Commissioner part 52.2 (c)(3) “Credit toward an undergraduate degree shall be earned only for college level work. Credit toward a graduate degree shall be earned only through work designed expressly for graduate students. Enrollment of secondary school students in undergraduate courses, of undergraduates in graduate courses, and of graduate students in undergraduate courses shall be strictly controlled by the institution.”

Related References, Policies, Procedures, Forms and Appendices

Procedures for Undergraduate Students to Request Enrollment in Graduate Courses

Undergraduate Consultation with Primary Mentor

The undergraduate student consults with his/her primary mentor to determine if she/he is ready for graduate-level study, if graduate study is appropriate to his/her goals, and if so, what courses would be relevant to his/her degree program. Some indicators of readiness to engage in graduate study are that students will have been highly successful in upper-level courses/studies demonstrating strong writing and critical thinking skills, and have completed the any prerequisites required for a particular course.

The student completes and signs the application for enrollment in graduate courses, acknowledging the expectations of graduate level-study and grading.

Appeals

Appeals of decisions would follow the university’s academic appeals process and formal appeals would be referred to the appropriate division. For example, appeals of decisions not to allow a student to participate in a graduate course would be directed to SGS and appeals of decisions about the appropriateness of such a course to the undergraduate program would be directed to the student’s undergraduate division.

WITHDRAWING FROM A COURSE PROCEDURE

If personal concerns or work demands make if difficult or impossible for a student to continue with a course after it has started, the student needs to alert his or her course instructor as soon as possible. Sometimes alternative arrangements can be made, such as an incomplete. It is recommended that the student also consult with their academic advisor.

If alternative arrangements cannot be made, then the student will need to withdraw from the course. To withdraw from a course, the student will need to go to MySUNYEmpire, click on Registration and Course Offerings, and then click on Begin or Modify Registration.

It is very important to note that a graduate student may withdraw from a course on or before the end of the 10th week of a 15-week term or the end of the 5th week of an 8-week term.

It is equally important for the student to note that they may be eligible for a refund for all or part of the tuition paid for the course depending on the date of withdrawal notification. (Please refer to the Withdrawal Liability Chart and Refund Policy.)

Effect on Enrollment Status
The effective date of the withdrawal may affect the full- or part-time enrollment status of the student. For the purpose of establishing enrollment status, enrolled credits are the number of registered credits after day 28 of the enrollment term. For example, a student who first enrolls for 12 credits and withdraws from one 4-credit study on or before day 28 remains enrolled for only 8 credits and is no longer considered full time. If the student withdraws after day 28, he or she is considered full time.

A withdrawal that results in a change from full- to part-time enrollment status can jeopardize the student’s financial aid eligibility. See the Empire State University statements on Eligibility for New York State Financial Aid and Eligibility for Federal Financial Aid.

Effect on Satisfactory Academic Progress
The effective date of a withdrawal also affects the calculation of satisfactory academic progress. For purposes of calculating academic progress, “credits attempted” is the number of registered credits after day 28 of the enrollment term. Thus, the date of withdrawal affects whether the credits are counted in the number of credits attempted. For example, if a student first enrolls for 12 credits and then withdraws from one 4-credit study on or before day 28, satisfactory progress is calculated on 8 credits attempted. If the student withdraws after day 28, satisfactory progress is calculated on 12 credits attempted.

For information on the effect on financial aid eligibility, see the statements on Eligibility for New York State Financial Aid and Eligibility for Federal Financial Aid.

WITHDRAWING FROM THE PROGRAM PROCEDURE

For a number of different reasons, students occasionally find that their academic program is not appropriate for them and they decide to withdraw. Before withdrawing, the student is encouraged to contact their academic advisor to discuss the matter. The student may only need a leave of absence from the program so as to catch up on work responsibilities or respond to family demands. The academic advisor also may help the student if they want advice about other Empire State University graduate programs more suited to their particular interests or needs.

To formally withdraw, the student must submit the online Withdrawal from University form, also available here - https://sunyempire.edu/registrar/forms-services/

SUNY Empire Academic Catalog

STUDENT ACADEMIC APPEALS POLICY AND PROCEDURES

Purpose

Definitions

Statements

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

ACADEMIC HONESTY POLICY AND PROCEDURES

Purpose

Definitions

Statements

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

ADDING AN ADVANCED CERTIFICATE PROCEDURE

COPYRIGHTED MATERIALS: THEIR REPRODUCTION AND USE

USE OF COPYRIGHTED MATERIALS

USING COPYRIGHTED WORKS ONLINE

MAKING COPIES IN A FACE-TO-FACE CLASSROOM SETTING

PERFORMANCE AND DISPLAY IN A FACE-TO-FACE CLASSROOM SETTING

FOR COPYRIGHT INFORMATION AND HELP, CONSULT THE LIBRARY

GRADUATE ACADEMIC STANDING POLICY

Purpose

Definitions

Statements

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

GRADUATE ADMISSION POLICY

Purpose

Definitions

Statements

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

GRADUATE ADMISSION PROCEDURE

Admissions: Appealing a Denial Procedure

GRADUATE EVALUATION AND GRADING POLICY AND PROCEDURES

PURPOSE

DEFINITIONS

STATEMENTS

APPLICABLE LEGISLATION AND REGULATIONS

RELATED REFERENCES, POLICIES, PROCEDURES, FORMS AND APPENDICES

GRADUATE FINANCIAL AID SATISFACTORY ACADEMIC POLICY

Purpose

Definitions

Statements

Satisfactory Academic Progress Determination

Financial Aid Warning

Rescinding a Financial Aid Warning

Financial Aid Suspension

Appeal of Financial Aid Suspension

Appeals

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

GRADUATE FRESH START POLICY

Purpose

Definitions

Statements

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

GRADUATE MEDICAL OR COMPASSIONATE WITHDRAWAL POLICY

Purpose

Definitions

Statements

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

GRADUATE MINIMUM STUDY POLICY

Purpose

Definitions

Statements

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

GRADUATE NONMATRICULATED ENROLLMENT POLICY

Purpose

Definitions

Statements

Applicable Legislation and Regulations

Related References, Policies, Procedures, Forms and Appendices

GRADUATE SATISFACTORY ACADEMIC PROGRESS

Purpose

Definitions

Statements