printer-friendly copy (pdf) 1. INTRODUCTION A discipline decision of an academic support unit (e.g. athletics, library, parking, on-campus pubs and student residences) is handled under the unit’s internal mechanism and not under this policy unless the matter is referred to an Associate Dean. Resources to advise students include the Conflict Management and Human Rights Office, Ombudsperson, Secretariat and Faculty Undergraduate and Graduate offices. Resources to assist students include Counselling Services, Health Services, and Office for Persons with Disabilities. Authority to deal with matters under this policy rests with the Undergraduate and Graduate Associate Deans. In cases where criminal proceedings have been initiated against a student, the authority usually vested in an Associate Dean rests with the Vice-President, Academic & Provost, who will keep the Associate Dean of the student’s home Faculty informed. A decision of the Vice-President, Academic & Provost is appealable to the University Committee on Student Appeals but remains in effect during the appeal process. Matters pertaining to courses offered by and events occurring on the property of:
The Associate Dean (Undergraduate or Graduate) of a student’s home Faculty is the locus for student discipline records. When a student is known to have changed Faculties, the student’s discipline record is to be forwarded to the Associate Dean of the new home Faculty. Behaviour which unduly interferes with the study, work or working environment of other members of the University or any aspect of another's University activity is dealt with under Policy 33 - Ethical Behaviour. See Appendix A - Academic Discipline Procedure
Students are expected to know what constitutes academic integrity, to avoid committing offences, and to Students are responsible for demonstrating behaviour that is honest and ethical in their academic work. Such behaviour includes:
b. Non-academic
c. Procedural Fairness Each student is entitled to:
Any member of the University who has reason to believe that an academic offence has been committed by a student has a responsibility to report the matter promptly to the instructor of the course or to the Associate Dean of the Faculty sponsoring the activity. A teaching assistant shall report to both the instructor and the appropriate Associate Dean of the Faculty sponsoring the academic activity. The Associate Dean will investigate and render a decision or refer the matter to the appropriate authority. Any member of the University who has reason to believe that a non-academic offence has been committed by a student has a responsibility to report the matter promptly to the Associate Dean of the student’s home Faculty or to UW Police who will advise the Associate Dean. The Associate Dean will investigate and render a decision or refer the matter to the appropriate authority. In cases involving disruptive or threatening behaviour on the part of students (including assault, vandalism, theft and similar behaviour), UW Police shall be contacted to establish order. Individuals should not attempt to resolve a dangerous situation. In all such cases the matter shall be reported to the Associate Dean by UW Police. No degree, diploma or certificate shall be awarded, nor shall a student be allowed to withdraw from a course in which an offence is alleged to have been committed, from the time an alleged offence is reported until the final disposition of the matter. Offences listed below are intended to be interpreted broadly. The list is not meant to be comprehensive, but rather illustrative of the typical categories of academic and non-academic offences. Misconduct includes causing an event to occur, either by omission or commission. Any act that violates the principles of this policy or that falls below a standard acceptable in the University community is subject to discipline, as is an attempt to commit or assisting someone to commit any such act. Offences include, but are not limited to, the following:
Penalties (other than removal of privileges and expulsion) are normally not in force while an appeal is being decided. In exceptional circumstances (such as when the continued presence of the student would unduly affect scholarly activities), on a case-by-case basis and after consultation (e.g. with the Associate Dean, UW Police), the Chair of the University Committee on Student Appeals (UCSA) may order that a penalty be enforced while an appeal is in process. Such a decision of the UCSA Chair is final. A student may not graduate while under suspension, nor will the University verify that degree requirements have been met until the end of the suspension. One or more of the following penalties may be imposed:
Factors to be considered when imposing academic penalties Factors to be considered by Associate Deans when imposing a penalty include, but are not limited to:
See Guidelines for the Assessment of Penalties
A report on any discipline action taken is to be filed in the Secretariat by the Associate Dean. A summary of cases is to be posted to the Secretariat website annually. The University Committee on Student Appeals will report cases annually to Senate. Information related to a discipline decision will be retained in compliance with the University's records retention schedule.
A decision of the Vice-President, Academic & Provost (or delegate) is appealable under Policy 72 - Student Appeals provided that a ground for appeal can be established. Deadline: An appeal must be started by delivering a Notice of Appeal (Form 72A) within 10 days of notification of the decision. See Policy 72 - Student Appeals.
for use by Associate Dean to report a decision: Appendix A - Academic Discipline Procedure It is expected that an Associate Dean will render a decision within 50 working days from the reporting of the offence to him/her. If this timeline will not be met, the Associate Dean will advise the student in writing and provide a revised timeline. Examinations are a special situation. Procedures to be followed when misconduct is suspected are set out in the memorandum “Proctoring of Mid-Term Tests and Final Examinations: When Cheating is Suspected; Authority to Search for and/or Confiscate Unauthorized Aids Proctor Instructions”. 1.a) Allegation 1.b) Informal resolution by instructor The allegation, admission of guilt and proposed resolution shall be submitted by the instructor to the Associate Dean of the Faculty sponsoring the academic activity and the student so informed. If the alleged offender is registered in a different Faculty, the Associate Dean who receives the report shall inform the Associate Dean of the student’s home Faculty of the allegation; together they shall decide which of them will handle the matter and keep the other informed. The Associate Dean may instruct the Registrar’s office to insert a UR notation (under review) for the course in the student’s academic record. The Registrar will not process any application for withdrawal from the course pending the outcome of the investigation. If an allegation is made after a student has withdrawn from a course, the withdrawal shall be void, the student re-enrolled in the course and a UR recorded. A UR remains until the matter is dealt with and the appeal period has expired. A student cannot graduate with a UR on his/her record. Any evidence gathered shall be retained by the instructor in case it is required, but need not be submitted initially unless requested by the Associate Dean. The Associate Dean will check the student’s discipline record and determine whether the proposed resolution is appropriate. If the proposed resolution is approved by the Associate Dean, he/she will advise the instructor and student in writing. The Associate Dean shall file a copy of the informal resolution in the Secretariat and in the student’s discipline record. If the proposed resolution is not approved by the Associate Dean, he/she will advise the instructor and student in writing that the matter will proceed as if the informal resolution had not taken place. The instructor will then submit any evidence collected to the Associate Dean, the student’s admission of guilt will be void and the matter will proceed under 1.c) below. 1.c) Allegation reported to Associate Dean If the alleged offender is registered in a different Faculty, the Associate Dean who receives the report shall inform the Associate Dean of the student’s home Faculty of the allegation; together they shall decide which of them will handle the matter and keep the other informed. Upon receipt of an allegation that an offence has been committed, the Associate Dean shall decide whether an attempt should be made to resolve the matter informally. If so, the Associate Dean may encourage the faculty member and student to attempt a resolution under 1.b) above or may attempt to reach an informal resolution through direct discussion with the student. If a resolution is reached directly with the student, the Associate Dean shall file a copy of the informal resolution in the Secretariat and in the student’s discipline record. If informal resolution is not attempted or is not successful, the Associate Dean will proceed with a formal inquiry under step 2. 2. Formal Inquiry After receipt of the student’s response or after the time for a response has passed the Associate Dean shall conduct a thorough investigation of the allegation. To assist in the investigation the Associate Dean may consult with people such as experts in the student’s discipline, another Associate Dean, and UW Police. If the Associate Dean needs more information or response to specific questions from the student, this can be done either by a meeting, by telephone, or by email. If the student fails to respond to any communication from the Associate Dean or fails to attend a scheduled meeting, the Associate Dean may proceed without input from the student. When the investigation is complete the Associate Dean will provide the student with his/her written findings and decision. If either party requests a meeting, one shall be arranged. A copy of the decision shall be provided on a need-to-know basis to administrative units (e.g. Co-operative Education, Registrar, UW Police) and will be filed in the Secretariat and in the student’s discipline record. 3. Appeal Academic Discipline Procedure
Appendix B - Non-academic Discipline Procedure It is expected that an Associate Dean will render a decision within 50 working days from the reporting of the offence to him/her. If this timeline will not be met, the Associate Dean will advise the student in writing and provide a revised timeline. 1. Allegation Upon receipt of an allegation that an offence has been committed, the Associate Dean shall decide whether an attempt should be made to resolve the matter informally. If so the Associate Dean may attempt to reach an informal resolution through discussion with the student. If a resolution is reached directly with the student, the Associate Dean shall file a copy of the informal resolution signed by the student in the Secretariat and in the student’s discipline record. If informal resolution is not attempted or is not successful, the Associate Dean will proceed with a formal inquiry under step 2. 2. Formal Inquiry After receipt of the student’s response or the time for a response has passed the Associate Dean shall conduct a thorough investigation of the allegation. If the Associate Dean needs more information or response to specific questions from the student, this can be done either by a meeting, by telephone, or by email. If the student fails to respond to any communication from the Associate Dean or fails to attend a scheduled meeting, the Associate Dean may proceed without input from the student. When the investigation is complete the Associate Dean will provide the student with his/her written findings and decision. A copy of the decision shall be provided on a need-to-know basis to administrative units (e.g. Co-operative Education, Registrar, Graduate Studies Office, UW Police) and will be filed in the Secretariat and in the student’s discipline record. If either party requests a meeting, one shall be arranged. 3. Appeal Non-academic Discipline
Appendix C - Guidelines When Criminal Proceedings have been Initiated Against a Student When UW is made aware that criminal proceedings have been initiated against a student and the student’s activity impacts or may impact campus safety, decisions with respect to student discipline shall be made by the Vice-President, Academic & Provost. A group shall be convened as soon as possible to advise the Vice-President, Academic & Provost and would likely include the following representatives: UW Police, legal advisors, Associate Dean (as appropriate), Health Services, and Counselling. Others whose advice may be sought, as the situation warrants, include Co-operative Education & Career Services and the Office for Persons with Disabilities. If a determination is made that the student’s presence on campus would pose a risk/potential risk, a letter will be issued by the Vice-President, Academic & Provost to the student indicating that the student is banned from UW property until further notice. The letter will be hand delivered by UW Police to either the student’s legal counsel or to the court and copied to all those on campus with a need to know (e.g. Associate Dean(s), Department Chair(s), Co-operative Education and Career Services, Counselling, Health Services, Housing and Residences). A second letter from the Vice-President, Academic & Provost, following consultation as above, will advise the student what UW requires of the student so that UW can continue in its assessment / decision making in the case (e.g. consulting psychiatrist report from an off-campus professional, etc.) and also makes clear under what circumstances the student may enter UW property (e.g. may be allowed on campus through pre-arranged visits and checking in with UW Police on arrival). Following receipt and review of the requested reports and taking into account other information as required, the Vice-President, Academic & Provost will determine next steps and communicate these to the student as well as others with a need to know. appeal - a proceeding undertaken to have a decision reviewed by taking it to a higher authority (e.g. Faculty Committee on Student Appeals (FCSA), University Committee on Student Appeals (UCSA)) Associate Dean - the Associate Dean (Undergraduate and Graduate) of a Faculty or his/her designate ban - prohibited from entering campus or a specific building or office cheating - trying to gain/give an improper advantage in an academic evaluation. Cheating includes but is not limited to: copying from another student's work (with or without permission) or making it possible for another student to copy from one's own work; submitting another student's work as one's own; fabrication of data; consultation with any unauthorized person during an examination or test; possession, use or intent to use unauthorized aids during an examination or test. confidential academic material - includes such things as test or examination questions, lab results, and academic information or documents which are not otherwise publicly available discipline record - means the record retained by the Associate Dean of a student’s home Faculty (includes information related to allegations and decisions made under this policy) disciplinary probation - a written warning to the student that his/her behaviour has been unacceptable and will be taken into account if further disciplinary matters arise. A copy of the warning shall be placed in the student's discipline record, but will not appear on grade reports or transcripts. The probationary period will expire on the student's graduation. expulsion - the termination of all of a student’s rights and privileges as a student at the University, with no possibility for readmission. The student is denied any further registration at the University in any program and his/her academic record, discipline record and transcript shall record this sanction permanently. If expelled, the student shall be withdrawn from courses in which a violation has not been committed without academic penalty. Expulsion shall be recorded on the academic transcript as follows: “Expelled (effective date). May not apply for readmission.” Faculty - one of Applied Health Sciences, Arts, Engineering, Environment, Mathematics, and Science home Faculty - the Faculty in which a student is registered impersonation - pretending to be another person for the purposes of someone gaining an academic advantage including in the taking of tests and examinations or the carrying out of laboratory or other assignments instructor - the person assigned to teach a course or his/her delegate letter of reprimand - a written warning to the student that his/her behaviour has been unacceptable and that a more severe penalty will be imposed if a similar offence occurs again. A copy of the letter shall be placed in the student’s discipline record. The reprimand period will expire upon the student’s graduation. member of the University - a student or an individual employed by the University misrepresentation - lying, submitting or presenting false research or credentials, or other documents or misrepresenting material facts for any academic purpose. This includes, but is not limited to, actions such as: concocting research or lab results; misrepresenting the date or time of submission; altering graded work for resubmission; failure to disclose prior academic records required for admission decisions or other academic purposes; misrepresentation of personal status (such as immigration); obtaining medical or other certificates or student ID under false pretences; altering documents or certificates, including health claims, tests, examinations and transcripts; and submitting false credentials for any purpose. misuse of University resources - includes, but is not limited to, keys, records, email and computers obstruction or interference - obstructing or interfering with the scholarly activities of another. This includes, but is not limited to, interfering or tampering with data or files, with human or animal research subjects, with a written or other creation (e.g. a painting, sculpture, file), with a chemical used for research, with any other object or study or research device or with library, electronic or other materials intended for academic use plagiarism - presenting, whether intentionally or not, the ideas, expression of ideas or work of others (whether attributed or anonymous) as one’s own in any work submitted whether or not for grading purposes
research/research ethics - includes research with humans, with animals, and research integrity. removal of privileges - denial of privileges such as access to the library, use of on-campus computer account, or UW network access restitution - payment to cover the costs of repairing or replacing damaged property or misused supplies in respect of which an offence was committed revocation - revocation of any degree, diploma or certificate obtained by a graduate or cancellation of academic standing or credits obtained by any former student who, while enrolled, committed any offence which if detected before the granting of the degree or diploma would have resulted in a conviction and the application of a penalty sufficiently severe that the degree, diploma, certificate, standing, credits or marks would not have been granted student - an individual who is registered (paid his/her fees or has arranged to pay the fees) at the University of Waterloo or an individual who was a student, has not graduated, and can resume studies at the University of Waterloo without having to initiate a formal petition or re-application form. support person - includes a student, friend or family member, does not usually include a lawyer or paralegal suspension - a penalty under this policy that restricts a student’s right to register at the University for a period of time. While under suspension, a student loses the right to attend lectures, write examinations, participate in the co-op employment program, or graduate. Courses taken elsewhere during a period of suspension shall not be eligible for credit toward a UW degree. In addition, in the case of graduate students, any research or writing completed during the suspension period may not be submitted in fulfillment of program requirements once the period of suspension is concluded. Suspension shall be recorded on the academic transcript as follows: “Suspended from date to date.” At the date for resumption of studies the record shall be removed from the transcript but shall continue to be maintained in the student’s discipline record. theft of intellectual property - the possession or use of another person's intellectual property without that person's permission or knowledge. Examples include, but are not limited to:
unauthorized aids or assistance - to use or possess an unauthorized aid; to use, obtain, or solicit unauthorized assistance; or to use or obtain prohibited material in any academic examination or term test or in connection with any other form of academic work. Such aids or material may include, but are not limited to, specific documents, electronic equipment or devices, and services (such as writing, editorial, software, or research survey services) whether commercial or provided free of charge. Students should assume that any such aid is prohibited unless they are specifically advised otherwise by the instructor. unauthorized co-operation or collaboration - co-operation or collaboration with another student/other students in the completion of an academic assignment, in whole or in part, beyond what the instructor has indicated is acceptable; failure to follow the instructor’s directions regarding the level of group work that is permissible for a particular assignment university - University of Waterloo UR -grade under review or disciplinary proceedings underway, decision pending. The student is responsible for all course material and assignments until the case is resolved. Vice-President, Academic & Provost - Vice-President, Academic & Provost or his/her delegate working day - Monday to Friday, inclusive, excluding statutory and University holidays writing – includes any of email, fax and letter |
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