Student Misconduct Rule

Document Number000935
Date Approved27 May 2011
Date Last Amended7 December 2012
         

Date of Commencement: Semester 2, 2011 (25 July 2011)

This rule is effective from Semester 2, 2011 (25 July 2011) and has replaced the previous Student Discipline Rules [000341].

Part A - Introduction

1.      Purpose

The University of Newcastle is committed to promoting the highest standards of academic and research integrity, scholarship, safety and welfare for students and staff. 

This Rule is made in accordance with the provisions of the University of Newcastle Act (NSW) 1989.  The Rule describes what constitutes student misconduct and establishes the procedural framework in which the University will deal with matters relating to the conduct of students and allegations of misconduct against students – academic, non-academic and research. 

This Rule aims to ensure allegations of student misconduct are dealt with in a timely, fair and effective manner consistent with the principles of procedural fairness.

This Rule supports the Code of Conduct and should be read in conjunction with essential supporting documents such as the Student Academic Integrity Policy 000608.

 

2.      Scope

2.1       This Rule applies to all students undertaking studies at, or offered by, the University of Newcastle and its controlled entities across all campuses, locations and modes of delivery (on-campus, online or by distance).

2.2       This Rule also applies to students who are no longer enrolled at the University but who were enrolled at the time of the alleged misconduct.

 

3.      Commencement and revocation

3.1       This Rule takes effect on the date determined by the Council when the Rule is approved.

3.2       The previous version of the Student Discipline Rules – approved by the Council on 21 August 1992 and last amended by the Council on 29 April 2005 – is revoked. 

 

4.      Definitions

In the context of this Rule:

Advisor in Research Integrity means the Assistant Dean (Research Training) in the relevant Faculty;

assessment item means any form of assignment, examination, quiz, test, laboratory task, tutorial exercise or other work used to measure student outcomes and determine the final result of a student in a course;

Assessment Officer means a person appointed by the Deputy Vice-Chancellor to undertake a preliminary assessment into an allegation of misconduct;

complainant means a person who provides notification of the allegation of misconduct, or in some cases, the person who brings the matter forward for consideration under this Rule;

days means working days, unless specified as calendar days;

Deputy Vice-Chancellor means the Deputy Vice-Chancellor responsible for academic matters unless otherwise specified;

Determination Report means the written report prepared that details the factual circumstances of the allegation of research misconduct and includes the determination and relevant considerations in determining the penalty;

ESOS Act means the Education Services for Overseas Students Act (Cth) 2000;

exclusion means the termination of a student’s enrolment in either a course or program, for a specified period of time which may include the withdrawal of all rights and privileges and the right to use, enter or be within University premises and facilities.  A student excluded from a program must apply for re-admission in accordance with the University’s admission policies and procedures;

expulsion (expel) means the permanent termination of a student’s enrolment at the University, including the withdrawal of all rights and privileges and the right to use, enter or be within University premises and facilities;

hearing means the forum in which the Student Misconduct Committee considers evidence in relation to the allegation of misconduct;

Notice to Show Cause means a written notice to the student which outlines the allegation of misconduct, as well as further action that may be taken and potential penalties;  and invites a response within 10 days ; 

preliminary assessment means an initial inquiry about the factual circumstances of the allegation of misconduct;

Preliminary Assessment Report means a written report from the Assessment Officer which provides an assessment of the factual circumstances of the allegation of misconduct and does not include findings or recommendations;

property means real, personal, intellectual and shared property in any (including library and computing / electronic asset) form;

Pro Vice-Chancellor means the Pro Vice-Chancellor of the Faculty offering the course undertaken by the student;

SACO means Student Academic Conduct Officer.

A Student Academic Conduct Officer (SACO) is an academic staff member appointed to receive reports of incidents of alleged academic misconduct and to manage the University's response to those incidents in line with this policy. This position may be based within a School, across multiple Schools or in another academic unit (such as a Campus). The appointment of a SACO would normally be at Level C or above. With justified reasons, and Deputy Vice Chancellor (Academic) approval, a Level B academic may be appointed. In large Schools or academic units the Deputy Vice Chancellor (Academic) may, in consultation with the relevant head of the academic unit, approve the appoinment of more than one SACO

student means:

  1. any person who is enrolled in a program, a course, or a group of courses at, or offered by, the University or its controlled entities leading to an award of the University;
  2. any person who is authorised to attend classes of any type at, or offered by, the University;
  3. any student of another university or higher education institution who is granted access to University premises and facilities; or
  4. any person who is enrolled in an enabling program, study abroad program, student exchange program or non-award program at, or offered by, the University.

In the context of this Rule a student on leave of absence or suspended or excluded is considered to be enrolled at the University;

student misconduct (academic) includes but is not limited to conduct that:

  1. involves academic fraud, cheating, plagiarism and any other dishonest conduct by a student to gain academic or general advantage; and/or
  2. contravenes the provisions of the University’s academic rules, policies, procedures and/or guidelines;

student misconduct (non-academic) includes, but is not limited to conduct that:

  1. contravenes the provisions of the University’s non-academic rules, policies, procedures and/or guidelines; and/or
  2. adversely impacts on the University’s reputation including the reputation of staff, students or other members of the University community; and/or
  3. is criminal or unlawful on University premises or property, or on a location where a student is present under the auspices of the University; and/or
  4. damages or wrongfully deals with any property under the control of the University, any property on University premises, or property on a location where a student is present under the auspices of the University; and/or
  5. obstructs any staff, student or other member of the University community in the performance of their duties; and/or
  6. assaults, threatens, bullies, harasses, or endangers any staff, student or other member of the University community or causes them fear for their personal safety; and/or
  7. attempts to improperly influence or bribe any staff, student or other member of the University community in the performance of their duties; and/ordisobeys any instruction of any duly authorised staff or other member of the University community, including the failure to leave any building or part of a building when directed to do so, or the failure to comply with an imposed penalty or agreed outcome under University rules and policies; and/or
  8. impairs the reasonable freedom of other persons to pursue their studies or research or to participate in the life of the University; and/or
  9. disrupts, interferes with, or is detrimental to the conduct of any teaching, study, assessment, research, or administration of the University; and/or
  10. refuses, withholds, or fails to identify oneself truthfully or furnishes false personal information to any staff, student or other member of the University community; and/or 
  11. falsifies, or attempts to falsify, University records or official files/documents; and/or
  12. breaches confidentiality or privacy requirements or obligations in respect of the University, its staff, students or other members of the University community; and/or
  13. significantly obstructs or interferes with the business of the University; and/or
  14. is lewd or obscene; and/or
  15. encourages, persuades or incites any other person to engage in conduct or behaviour constituting non-academic misconduct;

student misconduct (research) means a serious or deliberate breach of the Australian Code for the Responsible Conduct of Research that involves intent and deliberation; recklessness or gross and persistent negligence; serious consequences, such as false information on the public record; or adverse effects on research participants, animals or the environment.  It includes, but is not limited to conduct that:

  1. fails to declare or manage a serious conflict of interest;
  2. fails to follow research proposals as approved by a research ethics committee;
  3. conceals or facilitates research misconduct by others.

Student Misconduct Appeal Committee (SMAC) means the people appointed to hear an appeal against a determination of student misconduct in accordance with this Rule;

Student Misconduct Committee (SMC) means the people appointed from the Student Misconduct Panel to hear the allegation of misconduct in accordance with this Rule;

Student Misconduct Panel (SMP) means the people trained to deal with allegations of student misconduct in accordance with this Rule;

Student Misconduct Register (SMR) (formerly known as the Student Academic Misconduct Register) means the University’s confidential register maintained by the Complaints and Information Management Unit to record incidents of student misconduct;

suspension means the temporary termination of a student’s rights and privileges for a specified period of time, which may include:

  1. suspension from attendance at lectures, seminars, tutorials, practical classes, supervisor meetings or similar periods of instruction; and/or
  2. withdrawal of the right to use, enter or to be within University’s premises and facilities; and/or
  3. suspension from representing the University;

University means the University of Newcastle, its controlled entities and any entities undertaking activities on behalf of the University;

University community means people, along with students and staff, associated with the University such as alumni, conjoint appointees, guest lecturers, external contractors and visitors to the University’s premises; and

University premises means:

  1. any premises owned, leased or otherwise used and / or occupied by the University;
  2. any premises where research, workshops, camps, field placements, examinations and any other activities controlled or supervised by the University are conducted;
  3. any premises where clinical, professional, practical work or vocational placements that form part of a program or course offered by the University are conducted; or
  4. any premises or facility where a student is representing or under the auspices of the University.

 

Part B – Guiding Principles

5.      Student Responsibilities

5.1       Students have a responsibility to the University to:

  1. act fairly and honestly;
  2. respect the freedom of other members of the University;
  3. act in an orderly and proper manner consistent with the University’s Code of Conduct; and
  4. comply with the provisions of all University rules, policies, procedures and guidelines as well as all other external legislation and codes, so far as failure to do so may affect the University.

6.      Procedural Fairness

6.1       In considering matters relating to the conduct of students and allegations of student misconduct, the University has a responsibility to ensure that principles of procedural fairness are observed.

6.2       A student shall be presumed innocent unless and until guilt is freely admitted or is determined using the balance of probabilities as the standard of proof.

6.3       The University will ensure that:

  1. the student will have access to adequate information about the allegation of misconduct;
  2. the student will be given adequate notice of the process and timelines for dealing with the allegation of misconduct;
  3. the student will have an opportunity to be heard before a determination is made in relation to the allegation of misconduct;
  4. the process of inquiry and determination will be conducted without bias;
  5. a determination will be made only on the basis of facts and documentation relevant to the allegation of misconduct;
  6. the student will be notified of the outcome including sufficient reasons to explain the outcome; and
  7. the student will have a right of appeal in accordance with the provisions of this Rule.

6.4       The principles of procedural fairness will be applied with due consideration for confidentiality and privacy concerns as well as the safety and wellbeing of the complainant and other participants in the process.

 

7.      Confidentiality

7.1       All student misconduct cases and records relating to them are maintained confidentially.  Information will be made available to people directly involved in the matter and such people are expected to maintain confidentiality and comply with the University Privacy Management Plan.  Breaches may result in disciplinary action.

7.2      With due consideration for the student’s privacy, the University may disclose to a complainant and/or third party affected by the alleged misconduct information relating to the misconduct, the outcome of the misconduct process and any penalty imposed.  The student will be informed of such disclosures.

7.3      If the identity of the student is not disclosed, expressly or by implication, the University may disclose to the University community or general public information relating to the misconduct, the outcome of the misconduct process and any penalty imposed. 

7.4       All University records, including those related to student misconduct, are not protected from external legal proceedings or legislative obligations.  Material can be subpoenaed or accessed under the provisions of the Government Information (Public Access) Act (NSW) 2009.

 

8.      Reporting

8.1       Depending on the nature of the allegation of student misconduct, the University may immediately contact the Police or any other relevant external agency to report the matter, whether or not the University is required to engage in such reporting.

8.2       Action taken under this Rule does not preclude the University from:

  1. instituting civil or criminal proceedings against a student with respect to the misconduct; and/or
  2. reporting the matter to an external agency such as the Independent Commission Against Corruption (ICAC) in accordance with the University’s reporting obligations.   

8.3       The Police or any other relevant external agencies may take action on the matter separate from the University.

8.4       The Vice-Chancellor will report annually to the University Council on student misconduct matters.  The report will include summary statistics and an overview of outcomes for all student misconduct matters and appeals. 

Part C – Reporting Student Misconduct

9.      Initial Notification of Student Misconduct

9.1       A written notice of an allegation of student misconduct can be lodged by students, staff, other members of the University community or an external person with an association with the University. 

9.2       Depending on the nature of the allegation of misconduct, the written notice should be forwarded to:

  1. the SACO if the matter concerns academic integrity for coursework (including enabling and honours) students;
  2. the Dean of Graduate Studies if the matter concerns research integrity for research higher degree (including professional doctorate) students;
  3. the Deputy Vice-Chancellor if it is a non-academic matter.

 

10.    Immediate Suspension from Activities, Premises or the University

10.1     The Vice-Chancellor, Deputy Vice-Chancellor and Deputy Vice-Chancellor (Research) may immediately suspend a student for up to 20 days when a student’s actions, statements or behaviour are perceived as impeding the functions of the University, as a threat to property and/or as a threat to the safety and/or welfare of themself or other people. 

10.2     When a student has been suspended under this Rule, the allegation of misconduct must be investigated as soon as possible.

10.3     The officer imposing the suspension will notify the student in writing of the allegation of misconduct and the suspension including its length and any relevant conditions.  The student will be invited to respond within five days. 

10.4     The officer imposing the suspension will be responsible for advising other relevant staff within the University to ensure that the suspension is observed.

10.5     A student’s failure to observe the suspension will be treated as an act of misconduct and may impact upon the determination of an appropriate penalty in relation to the alleged misconduct.

10.6     Upon receipt and consideration of the student’s response, the officer invoking the suspension may:

  1. consider that the incident has been effectively dealt with, lift the suspension and take no further action; or   
  2. lift the suspension at any time, regardless of whether the allegation of misconduct has been dealt with to finality; or
  3. in exceptional circumstances, extend the suspension for up to five additional days.

10.7     Immediate suspension will normally occur when the:

  1. conduct resulting in the suspension has been recurring or is likely to recur; and/or
  2. conduct represents a threat to the health and/or safety of others; and/or
  3. conduct directly resulted in physical contact, an injury or fear of injury to another person; and/or
  4. conduct has an adverse effect on others and/or the University including its reputation.

10.8     If in the course of the misconduct process, it is determined that the suspension was unwarranted, the student may make an application for consideration of special circumstances in relation to their studies.

 

Part D – Academic Misconduct

11.    Allegations of Academic Misconduct

Actions taken by the SACO

11.1     Allegations of academic misconduct against coursework students will be referred to the SACO to investigate the matter by:

  1. advising the student in writing of the referral;
  2. issuing the student with a Notice to Show Cause in relation to the allegation with advice that failure to respond within 10 days may result in confirmation of the allegation and imposition of a penalty;
  3. examining the material with reference to the Student Academic Integrity Policy;
  4. using any electronic text-matching software or other methods of detecting dishonesty made available by the University; and
  5. considering any evidence or representations deemed necessary to undertake an assessment of the matter.

11.2     Following investigation, the SACO may:

  1. dismiss the allegation of academic misconduct; or
  2. initiate remedial action; or
  3. confirm the allegation of academic misconduct and impose a penalty in accordance with Part H of this Rule; or
  4. refer the allegation of academic misconduct to thePro Vice-Chancellor with supporting material and a recommendation for a penalty to be imposed in accordance with Part H of this Rule; or
  5. Deputy Vice-Chancellor to be dealt with in accordance with this Rule if in their opinion further investigation is required or a more serious penalty which is outside the authority of the Pro Vice-Chancellor should be considered.  The SACO will inform the Pro Vice-Chancellor of this action; or
  6. refer the allegation of academic misconduct to a SACO in another School following consultation with the SACO Coordinator in instances where there may be concern about a conflict of interest.

11.3     In determining any penalty or further referral, the SACO must check the Student Misconduct Register for the student’s record and use the following criteria for determining penalties:

  1. previous allegations and/or determinations of academic misconduct;
  2. the nature and extent of the academic misconduct;
  3. the level of the student;
  4. the student's knowledge of academic regulations; and
  5. the discipline's conventions.

11.4     The SACO will inform the student in writing of the determination including reasons for the decision. The SACO will also inform other relevant staff within the University and ensure that appropriate University records are maintained as described in Clause 20 of this Rule. 

 

Referral to the Pro Vice-Chancellor

11.5     When an allegation of academic misconduct is referred to the Pro Vice-         Chancellor by the SACO, the Pro Vice-Chancellor will review the allegation of    academic misconduct, the supporting material provided and the SACO’s           recommendation regarding the penalty to be imposed.  The Pro Vice-Chancellor may:

  1. dismiss the allegation of academic misconduct; or
  2. confirm the allegation of academic misconduct and impose a penalty in accordance with Part H of this Rule; or
  3. refer the allegation of academic misconduct to the Deputy Vice-Chancellor to be dealt with in accordance with this Rule.

11.6     The Pro Vice-Chancellor must refer the allegation of misconduct to the Deputy Vice-Chancellor if in their opinion:

  1. the matter requires further investigation;
  2. the student should be given further opportunity to respond to the allegation; and/or
  3. a penalty which is outside their authority should be considered.

11.7     The Pro Vice-Chancellor will inform the student in writing of the determination including reasons for the decision. The Pro Vice-Chancellor will also inform other relevant staff within the University and ensure that appropriate University records are maintained as described in Clause 20 of this Rule. 

 

12.    Allegations of Academic Misconduct: Referral to the Deputy Vice-Chancellor

Actions taken by the Deputy Vice-Chancellor

12.1     Upon receipt of the allegation of academic misconduct from a SACO or Pro Vice-Chancellor, the Deputy Vice-Chancellor will appoint an Assessment Officer from the Student Misconduct Panel to undertake a preliminary assessment into the matter.  The Preliminary Assessment Officer may consider any evidence or representations deemed necessary to undertake the assessment.  A Preliminary Assessment Report will be provided to the Deputy Vice-Chancellor within three days using the University’s approved report template.

12.2     Upon receipt of the Preliminary Assessment Report, the Deputy Vice-Chancellor will take further action within two days by:

  1. dismissing the allegation of academic misconduct; or
  2. issuing the student with a further Notice to Show Cause in relation to the allegation; or
  3. referring the matter back to the SACO or Pro Vice-Chancellor with clear advice on action required (within the limit of their delegations).

12.3     Upon receipt and consideration of the student’s response to the Notice to Show Cause, the Deputy Vice-Chancellor will:

  1. dismiss the allegation of academic misconduct; or
  2. confirm the allegation and impose a penalty in accordance with Part H of this Rule; or
  3. refer the allegation to a Student Misconduct Committee.

12.4     The Deputy Vice-Chancellor will inform the student in writing of the determination including reasons for the decision. The Deputy Vice-Chancellor will also inform other relevant staff within the University and ensure that appropriate University records are maintained as described in Clause 20 of this Rule. 

 

Part E – Non-Academic Misconduct

13.    Allegations of Non-Academic Misconduct

Referral for conflict of interest

13.1     Any allegation of non-academic misconduct will be forwarded to the Deputy Vice-Chancellor.  In the event of a conflict of interest, the Deputy Vice-Chancellor may refer the matter to another Deputy Vice-Chancellor and in such instances, the Deputy Vice-Chancellor to whom the matter has been referred will have the same authorities and procedural obligations as specified in this Rule.

 

Actions taken by the Deputy Vice-Chancellor

13.2     Upon receipt of the allegation of non-academic misconduct, the Deputy Vice-Chancellor will appoint an Assessment Officer from the Student Misconduct Panel to undertake a preliminary assessment into the matter.  The Preliminary Assessment Officer may consider any evidence or representations deemed necessary to undertake the assessment.  A Preliminary Assessment Report will be provided to the Deputy Vice-Chancellor within three days using the approved report template.

13.3     If the allegation of non-academic misconduct is against a research or professional doctorate student, the matter must be referred to the Dean of Graduate Studies, who will act as the Assessment Officer, to provide the Preliminary Assessment Report.

13.4     Upon receipt of the Preliminary Assessment Report, the Deputy Vice-Chancellor will take further action within two days by:

  1. dismissing the allegation of non-academic misconduct; or
  2. issuing the student with a Notice to Show Cause in relation to the allegation with advice that failure to respond within 10 days may result in confirmation of the allegation and imposition of a penalty.

13.5     Upon receipt and consideration of the student’s response to the Notice to Show Cause, the Deputy Vice-Chancellor will:

  1. dismiss the allegation of non-academic misconduct; or
  2. refer the matter to an appropriate University officer with clear advice on action required (within the limit of their delegations); or
  3. confirm the allegation and impose a penalty in accordance with this Rule; or
  4. refer the allegation to a Student Misconduct Committee.

13.6     The Deputy Vice-Chancellor will inform the student in writing of the determination including reasons for the decision.  The Deputy Vice-Chancellor will also inform other relevant staff within the University and ensure that appropriate University records are maintained as described in Clause 20 of this Rule. 

 

Part F – Research Misconduct

14.    Allegations of Research Misconduct

14.1     Potential allegations of research misconduct may in the first instance be discussed with the Adviser in Research Integrity who will provide advice about whether an allegation of research misconduct should be pursued.

 

Actions taken by the Dean of Graduate Studies

14.2     Allegations of research misconduct will be referred to the Dean of Graduate Studies to investigate the matter by:

  1. advising the student in writing of the referral;
  2. issuing the student with a Notice to Show Cause in relation to the allegation with advice that failure to respond within 10 days may result in confirmation of the allegation and imposition of a penalty;
  3. examining the matter with reference to Part A of the Responsible Conduct of Research Policy and the Student Academic Integrity Policy;
  4. using any electronic text-matching software or other methods of detecting dishonesty made available by the University; and
  5. considering any evidence or representations deemed necessary to undertake an assessment of the matter.

14.3     In the event of a conflict of interest, the Dean of Graduate Studies will immediately refer the allegation of research misconduct to the Deputy Vice-Chancellor (Research) to be dealt with in accordance with Clauses 15.1 and 15.2 of this Rule.

14.4     At the conclusion of the investigation, the Dean of Graduate Studies will prepare a Determination Report that details the factual circumstances of the allegation of research misconduct and may include any of the following determinations:

  1. dismissal of the allegation of research misconduct; or
  2. initiation of remedial action; or
  3. confirmation of the allegation of research misconduct and impose a penalty in accordance with Part H of this Rule; or
  4. referral of the allegation of research misconduct and written report to the Deputy Vice-Chancellor (Research) to be dealt with in accordance with this Rule if in their opinion a more serious penalty which is outside their authority should be considered.

14.5     In determining any penalty or further referral, the Dean of Graduate Studies must check the Student Misconduct Register for the student’s record and use the following criteria for determining penalties:

  1. previous allegations and/or determinations of research misconduct;
  2. the nature and extent of the research misconduct;
  3. the level of the student;
  4. the student's knowledge of academic regulations; and
  5. the discipline's conventions.

14.6     The Dean of Graduate Studies will inform the student in writing of the determination including reasons for the decision. The Dean of Graduate Studies will also inform other relevant staff within the University and ensure that appropriate University records are maintained as described in Clause 20 of this Rule. 

 

15.    Allegations of Research Misconduct: Referral to the Deputy Vice-Chancellor (Research)

Referral for conflict of interest

15.1     If the allegation of research misconduct is referred, in accordance with Clause 14.3, to the Deputy Vice-Chancellor (Research) by the Dean of Graduate Studies as there may be a conflict of interest, the Deputy Vice-Chancellor (Research) will appoint an Assessment Officer from the Student Misconduct Panel to undertake a preliminary assessment into the matter.  The Preliminary Assessment Officer may consider any evidence or representations deemed necessary to undertake the assessment.  A Preliminary Assessment Report will be provided to the Deputy Vice-Chancellor (Research) within 20 days using the approved report template.

15.2     Upon receipt of the Preliminary Assessment Report, the Deputy Vice-Chancellor (Research) will take further action within two days by:

  1. dismissing the allegation of research misconduct; or
  2. issuing the student with a Notice to Show Cause in relation to the allegation with advice that failure to respond within 10 days may result in confirmation of the allegation and imposition of a penalty.

15.3     From this point, the Deputy Vice-Chancellor (Research) will handle the matter in accordance with Clauses 15.5, 15.6 and 15.7 of this Rule.

 

Other referrals from the Dean of Graduate Studies

15.4     Upon receipt of an allegation of research misconduct and Determination Report from the Dean of Graduate Studies, the Deputy Vice-Chancellor (Research) will take further action within two days by:

  1. dismissing the allegation of research misconduct; or
  2. referring the matter back to the Dean of Graduate Studies with clear advice on action required (within the limit of their delegations); or
  3. issuing the student with a further Notice to Show Cause in relation to the allegation; or
  4. refer the allegation to a Student Misconduct Committee; or
  5. referring the allegation of serious research misconduct to an independent, external inquiry consistent with the provisions of the Australian Code for the Responsible Conduct of Research.

Actions taken by the Deputy Vice-Chancellor

15.5     Upon receipt of the student’s response to the Notice to Show Cause, the Deputy Vice-Chancellor (Research) will:

  1. dismiss the allegation of misconduct; or
  2. refer the matter back to the Dean of Graduate Studies with clear advice on action required (within the limit of their delegations); or
  3. confirm the allegation and impose a penalty in accordance with Part H of this Rule;
  4. refer the allegation to a Student Misconduct Committee; or
  5. refer the allegation of serious research misconduct to an independent, external inquiry consistent with the provisions of the Australian Code for the Responsible Conduct of Research.

15.6     For serious research misconduct matters referred to an independent, external inquiry, the Deputy Vice-Chancellor (Research) will consider the inquiry findings and will:

  1. dismiss the allegation of misconduct; or
  2. confirm the allegation and impose a penalty in accordance with Part H of this Rule.

15.7     The Deputy Vice-Chancellor (Research) will inform the student in writing of the determination including reasons for the decision. The Deputy Vice-Chancellor (Research) will also inform other relevant staff within the University and ensure that appropriate University records are maintained as described in Clause 20 of this Rule. 

 

Part G – Student Misconduct Committee

16.    Student Misconduct Panel

16.1     The Student Misconduct Committee must be constituted from the Student Misconduct Panel. 

16.2     The Student Misconduct Panel will provide a pool of University officers who are trained to participate in student misconduct matters as described in this Rule.  The Student Misconduct Panel will consist of:

  1. up to ten enrolled students (a mixture of undergraduate, postgraduate and research students drawn from student membership on University Council, Academic Senate and/or Faculty Boards) nominated by the Faculty Pro Vice-Chancellors and approved by the Vice-Chancellor;
  2. ten academic staff (comprising two academics from each Faculty, one of whom must be a level D/E) nominated by the Faculty Pro Vice-Chancellors and approved by the Vice-Chancellor; 
  3. ten non-academic staff at manager or director level (covering an appropriate range of academic and non-academic services) nominated by the Deputy Vice-Chancellors and approved by the Vice-Chancellor;
  4. Pro Vice-Chancellor (Singapore) or nominee;
  5. Pro Vice-Chancellor (External Relations) or nominee;
  6. Academic Registrar;
  7. Dean, Graduate Studies;
  8. University Librarian

16.3     The Vice-Chancellor may appoint additional people to the Student Misconduct Panel at any time.

16.4     Membership of the Student Misconduct Panel will be reviewed by the Vice-Chancellor at least once every two years.

16.5     Membership of the Student Misconduct Panel is contingent upon the completion of appropriate training in the handling of student misconduct matters and signing of appropriate confidentiality and privacy undertakings. 

 

17.    Student Misconduct Committee

17.1     The Student Misconduct Committee will consist of three members drawn from the Student Misconduct Panel and appointed by the relevant Deputy Vice-Chancellor.

17.2     Appropriate membership of the Student Misconduct Committee will be determined according to the nature of the allegation of misconduct. 

  1. For academic misconduct matters, the Student Misconduct Committee must include one student member and one academic staff member. 
  2. For non-academic misconduct matters, the Student Misconduct Committee must include one student member and one non-academic staff member.
  3. For research misconduct matters, the Student Misconduct Committee must include one research student member, one academic staff member and one member who is familiar with the Australian Code for the Responsible Conduct of Research.  If the academic staff member does not have knowledge and experience in the relevant field of research an appropriate person will be appointed to the Student Misconduct Panel and trained in accordance with Clauses 16.3 and 16.5 of this Rule.

17.3     Members of the Student Misconduct Committee must not have any potential conflict of interest in relation to the allegation of misconduct.

17.4     As far as practicable, the Student Misconduct Committee will conform to the University’s policy on Gender Inclusive Membership on University Committees 000780.

17.5     The Chair of the Student Misconduct Committee (“the Chair”) will be appointed by the Deputy Vice-Chancellor.

17.6     The Student Misconduct Committee will be constituted within three days of referral of the allegation of misconduct and will meet to hear the matter within 15 days of being constituted. 

17.7     When dealing with a student misconduct matter, the Student Misconduct Committee has the power to deal with multiple allegations against multiple students at once according to the circumstances of the allegation.

17.8     Secretariat support for the Student Misconduct Committee will be provided by the University Secretary.

18.    Proceedings of the Student Misconduct Committee

18.1     When referring a matter to the Student Misconduct Committee, the Deputy Vice-Chancellor will ensure that the allegation is clearly stated and that all supporting material is provided to the Chair including any prior notification to the student and the Preliminary Assessment Report.

18.2     The Chair may seek additional documents or material for the Student Misconduct Committee’s consideration but this will be restricted to information that is directly relevant to the circumstances of the allegation of misconduct. 

18.3     The Secretary to the Student Misconduct Committee (“the Secretary”) is responsible for notifying the student in writing of the hearing date, time and location and such notification must be provided no less than five days prior to the hearing.  The notification will normally include copies of all documentation being considered by the Student Misconduct Committee except where the Chair determines that part of the documentation must be treated as confidential.

18.4     Upon receiving notice of the Student Misconduct Committee hearing, the student must advise the Secretary at least three days prior to the hearing of:

  1. their intention to attend the hearing either in person or by video/teleconference including any special needs that may affect the proceedings of the Student Misconduct Committee;l
  2. their intention to bring a support person to the hearing as an observer only (who is not in any way involved or associated with the alleged misconduct and is not a qualified legal practitioner); and
  3. their intention to provide any additional documentation such as a written submission or supporting statements in relation to the allegation of misconduct (which must be provided to the Secretary no less than 24 hours before the hearing).

18.5     A student who does not wish to participate in the hearing will have the allegation heard in their absence.

18.6     The Student Misconduct Committee can not meet via circulation although meetings by video/teleconference are permitted. 

18.7     The relevant Deputy Vice-Chancellor may nominate a University staff member (who is not a qualified legal practitioner) to present the allegation to the Student Misconduct Committee.

18.8     The Chair will determine who will be interviewed by the Student Misconduct Committee as part of the hearing.  Usually this will include the student and the University staff member nominated under Clause 18.7. 

18.9     The Chair may seek advice from the University’s General Counsel prior to the hearing or after the completion of the hearing.

18.10   The proceedings of the Student Misconduct Committee are not subject to the rules of evidence or other technicalities and legal forms.  The Chair may conduct the hearing by any procedure they consider to be appropriate provided that the principles of procedural fairness are observed such that:

  1. all participants in the hearing are identified;
  2. details of the allegation are presented;
  3. the student has an opportunity to respond to the allegation of misconduct and to admit the allegations in part or whole;
  4. the student is informed of the substance of all evidence that the Student Misconduct Committee intends to rely on;
  5. questions of clarification are asked through the Chair;
  6. all participants conduct themselves in a proper manner at all times; and
  7. the hearing is conducted in camera with respect for confidentiality and privacy requirements.

18.11     The Chair may adjourn the hearing at any point.  The Chair may also direct any participant to leave the hearing if they do not conduct themselves in a proper manner and the hearing will proceed in their absence.

18.12     The Student Misconduct Committee will make its determination within five days of the hearing on the basis of a majority decision using the balance of probabilities as the standard of proof.

18.13     The Chair of the Student Misconduct Committee will inform the student in writing of the determination including reasons for the decision.  The Chair will also inform other relevant staff within the University and ensure that appropriate University records are maintained as described in Clause 20 of this Rule. 

 

Part H – Penalties and Outcomes

19.    Authorised Penalties

19.1     If it is determined that the allegation of misconduct is sustained, either in full or in part, a penalty may be imposed according to the severity of the misconduct, previous misconduct by the student and any mitigating circumstances.  The penalty may also take into account the fact that the student has admitted to the allegation.  Conditions may be specified regarding the timing of the imposition of the penalty.

19.2      To ensure that penalties are imposed as consistently as possible, the SACO, Pro Vice-Chancellor, relevant Deputy Vice-Chancellor or the Student Misconduct Committee will consider the penalty with respect to previous student misconduct cases of a similar nature, but will not be bound by precedent.

19.3      The SACO may consider any one or more of the following actions in determining an appropriate penalty for academic misconduct:

  1. remedial action such as counselling or training on proper academic conventions and techniques and/or allowing the student to re-attempt the assessment item without loss of marks;
  2. allowing the student to re-attempt the assessment item with a capped mark;
  3. allowing the student to complete a new piece of work with a capped mark;
  4. excluding any parts resulting from dishonest practices and referring the assessment item for a remark appropriate to the work completed; and/or
  5. awarding no marks for the assessment item.

19.4      The Pro Vice-Chancellor may consider any one or more of the following actions in determining an appropriate penalty for academic misconduct:

  1. consider that the incident has been effectively dealt with and take no further action;
  2. counsel, reprimand, caution or warn the student;
  3. awarding no marks for the assessment item and/or
  4. award a fail grade in a course or courses.

19.5      The Deputy Vice-Chancellor or the Student Misconduct Committee may consider any one or more of the following actions in determining an appropriate penalty for academic and/or non-academic misconduct:

  1. consider that the incident has been effectively dealt with and take no further action;
  2. counsel, reprimand, caution or warn the student;
  3. require the student to provide full restoration of the cost of any damage done to or theft of University property;
  4. impose a fine not exceeding $1,000;
  5. require the student to apologise formally to any aggrieved party;
  6. require the student to undertake some form of remediation, such as academic training or counselling;
  7. require the student to undertake a specified period of community service to the benefit of the University;
  8. require the student to undertake further academic work to complete a course;
  9. award a fail grade in a course or courses;
  10. impose a suspension, with or without conditions, for a specified period of time;
  11. impose an exclusion, with or without conditions, for a specified period of time, at the end of which the student will be required to apply for re-admission to the University;
  12. expel the student from the University;
  13. recommend to the Council that the student’s degree be revoked; and/or
  14. any such other penalty or action as considered appropriate.

19.6      The Dean of Graduate Studies may consider any one or more of the following actions in determining an appropriate penalty for research misconduct:

  1. consider that the incident has been effectively dealt with and take no further action;
  2. remedial action such as counselling or training on proper academic conventions and techniques;
  3. counsel, reprimand, caution or warn the student;
  4. exclude any parts resulting from dishonest practices;
  5. require the student to undertake further research work to complete their studies;
  6. award a fail grade in a course or courses (for professional doctorate students); and/or
  7. any such other penalty or action as considered appropriate with the exception of termination, suspension or expulsion.

19.7      The Deputy Vice-Chancellor (Research) or the Student Misconduct Committee may consider any one or more of the following actions in determining an appropriate penalty for research misconduct:

  1. consider that the incident has been effectively dealt with and take no further action;
  2. counsel, reprimand, caution or warn the student;
  3. exclude any parts resulting from dishonest practices;
  4. require the student to apologise formally to any aggrieved party;
  5. require the student to undertake some form of remediation, such as academic training or counselling;
  6. require the student to undertake further research work to complete their studies;
  7. award a fail grade in a course or courses (for professional doctorate students);
  8. terminate the student’s research candidature;
  9. impose a suspension, with or without conditions, for a specified period of time;
  10. expel the student from the University;
  11. recommend to the Council that the student’s degree be revoked; and/or
  12. any such other penalty or action as considered appropriate.

20.    Recording Outcomes

20.1     The SACO, Pro Vice-Chancellor, Dean of Graduate Studies, relevant Deputy Vice-Chancellor or Chair of the Student Misconduct Committee will prepare a Determination Report to document their decision and relevant considerations in imposing the penalty.

20.2     All matters relating to student misconduct, including the determination and penalty will be recorded in the Student Misconduct Register and/or other appropriate University records. 

20.3     The student will be informed in writing of the determination outlining reasons for the decision and including notification of the right to appeal. 

20.4     Relevant staff within the University will be informed of the determination and appropriate University records will be maintained.  Usually the following people will be notified:

  1. the Academic Registrar for the purposes of appropriately recording the misconduct on the student’s academic record and/or amending the student’s enrolment;
  2. the Complaints and Information Management Unit for inclusion in the Student Misconduct Register;
  3. the ESOS Student Compliance Coordinator for necessary action under the ESOS Act if the student is an international student (including development of an intervention plan if required);
  4. the SACO, Dean of Graduate Studies and relevant Pro Vice-Chancellor (as required); and
  5. the Vice-Chancellor.

20.5     The complainant may be advised that the investigation into the allegation of misconduct has been completed with summary details of the outcome in accordance with Clause 7 of this Rule.

20.6     Any determination by the SACO, Dean of Graduate Studies, Pro Vice-Chancellor, relevant Deputy Vice-Chancellor or Student Misconduct Committee will not take effect until the period for appeal has expired.

 

Part I – Appeals

21.    Appeal Process

21.1     An appeal against a determination in a student misconduct matter can be lodged by the student if there is:

  1. evidence of a breach of this Rule or general principles of procedural fairness; and/or
  2. the suggestion that the determination was affected by a conflict of interest or personal bias; and/or
  3. new information that could not reasonably have been provided prior to the hearing and it is probable that this information would have affected the determination.

21.2     An appeal on the grounds of penalty alone will not be considered.

21.3     An appeal against a determination made by the SACO or the Pro Vice-Chancellor may be made in writing to the Deputy Vice-Chancellor within 20 days of notice of the determination and the grounds for appeal must be clearly set out.

21.4     An appeal against a determination made by the Dean of Graduate Studies may be made in writing to the Deputy Vice-Chancellor (Research) within 20 days of notice of the determination and the grounds for appeal must be clearly set out.

21.5     An appeal against a determination made by the relevant Deputy Vice-Chancellor or the Student Misconduct Committee may be made in writing to the Vice-Chancellor within 20 days of notice of the determination and the grounds for appeal must be clearly set out.

21.6     The Deputy Vice-Chancellor may make an appeal against a determination made by the Student Misconduct Committee on the grounds of improper process.  Such an appeal may be made in writing to the Vice-Chancellor within 20 days of notice of the determination and the grounds for appeal must be clearly set out.

21.7     Upon receipt of the appeal the relevant Deputy Vice-Chancellor or Vice-Chancellor shall undertake a preliminary review to determine the validity of the appeal.  Once determined, and within 10 days of receiving the appeal, the relevant Deputy Vice-Chancellor or Vice-Chancellor may:

  1. dismiss the appeal if not valid;
  2. make a determination in relation to the appeal; or
  3. refer the appeal to the Student Misconduct Appeal Committee.

21.8     According to the circumstances of the allegation of misconduct, the relevant Deputy Vice-Chancellor or Vice-Chancellor has discretion to determine whether or not a suspension will be imposed, with or without conditions, during the appeal process.  If, at the conclusion of the appeal process, the suspension was considered unwarranted, the student may apply for consideration of special circumstances in relation to their studies.

21.9     The appeal determination (made by the relevant Deputy Vice-Chancellor, Vice-Chancellor or Student Misconduct Appeal Committee) is final and there is no further avenue of appeal within the University.  However, the student and/or complainant do have the right to further appeal outside the University to the NSW Ombudsman.  Students and/or complainants wishing to do so should contact the Complaints Office for assistance.

21.10   In making a determination in relation to the appeal, the original determination may be confirmed, varied or set aside.  In varying the penalty, any one or more of the actions listed in Part H of this Rule may be considered.

21.11   The student will be informed in writing of the appeal determination outlining reasons for the decision.   

21.12   Relevant staff within the University will be informed of the appeal determination and appropriate University records will be maintained. 

 

22.    Membership of the Student Misconduct Appeal Committee

22.1     The Student Misconduct Appeal Committee will consist of:

  1. either the Vice-Chancellor, Deputy Vice-Chancellor (Services), or a senior officer of the University as appointed by the Vice-Chancellor, as Chair;
  2. a level D/E academic appointed by the Chair from the Student Misconduct Panel; and
  3. an enrolled student appointed by the Chair from the Student Misconduct Panel.

22.2     For appeals on research misconduct matters the Student Misconduct Appeal Committee will be appointed with reference to Clause 17.2c to ensure consistency with the requirements of the Australian Code for the Responsible Conduct of Research.

22.3     Members of the Student Misconduct Appeal Committee must not have participated in the Student Misconduct Committee or have any potential conflict of interest in relation to the allegation of misconduct.

22.4     As far as practicable, the Student Misconduct Appeal Committee will conform to the University’s policy on Gender Inclusive Membership on University Committees 000780.

22.5     The Student Misconduct Appeal Committee will be constituted within three days of the initial review of the appeal and will meet to hear the matter within 15 days of being constituted. 

 

23.    Proceedings of the Student Misconduct Appeal Committee

23.1     The Student Misconduct Appeal Committee will conduct its proceedings adopting the same principles of procedural fairness as set out for the Student Misconduct Committee in Part G of this Rule.

23.2     In considering an appeal the Student Misconduct Appeal Committee:

  1. will obtain and consider the written letter of appeal; and
  2. may obtain and consider any other material or evidence, that in its opinion is relevant to the process including the written report in relation to the findings and relevant considerations in determining the penalty.

23.3     In making a determination in relation to the appeal, the original determination may be confirmed, varied or set aside.  In varying the penalty, any one or more of the actions listed in Part H of this Rule may be considered.

23.4     The Chair of the Student Misconduct Appeal Committee will inform the student in writing of the determination including reasons for the decision.  The Chair will also inform other relevant staff within the University and ensure that appropriate University records are maintained as described in Clause 20 of this Rule. 

 

Part J – Miscellaneous Provisions

24.   Timelines

24.1     Timelines specified in this Rule are provided as a guideline in the interests of dealing with allegations of misconduct efficiently and fairly.  In exceptional circumstances they may be extended or reduced at the discretion of the Vice-Chancellor or Deputy Vice-Chancellor.

24.2     The failure to meet timelines specified in this Rule is not in itself grounds to dismiss or not proceed with an allegation of misconduct.  Consideration will be given if unfair consequences arise from a failure to meet these specified timelines.

 

25.    Notification to students

25.1     All correspondence and notifications will be sent in writing to the student’s University of Newcastle email address in the first instance and will be deemed to have been delivered at the time of sending.

25.2     Correspondence and notifications may also be served in writing by being:

  1. given to the student in person; or
  2. sent by express, registered post or courier to the student’s postal address as recorded on the University student system, NUSTAR; or
  3. left for the student at their last known address.

25.3     Correspondence and notifications served under Clause 25.2ii will be deemed to have been received by the student:

  1. given to the student in person; or
  2. three days after being sent to an address within Australia; or
  3. 10 days after being sent to an address outside Australia.

26.    Undischarged Penalties

26.1     A student cannot be qualified for an award of the University while an allegation of misconduct is being considered in accordance with this Rule. If an allegation of misconduct has been considered and a determination made in accordance with this Rule, the student cannot be qualified for an award of the University until the period of appeal has expired and/or the imposed penalty (including conditions)has been served.

26.2     The Vice-Chancellor or relevant Deputy Vice-Chancellor may determine that a student cannot re-enrol at the University, access examination results and/or return from suspension until after an allegation of misconduct has been dealt with in accordance with this Rule, the period of appeal has expired and/or the imposed penalty (including conditions) has been served.

 

27.    Improper Process

27.1     Any person with concerns regarding the proper implementation of this Rule in relation to a specific misconduct matter may advise the Vice-Chancellor in writing.  The Vice-Chancellor may take any action they consider to be appropriate to address the concern.

 

28.    Transitional Provisions

28.1     Any proceedings for academic or general misconduct that have commenced but not completed before the commencement of this Rule must be completed as if the previous version of these Rules had not been replaced.

28.2     Any allegation of academic or general misconduct which was alleged to have occurred prior to the date of commencement of these Rules must be dealt with under the previous version of these Rules unless the student and relevant Deputy Vice-Chancellor agree in writing to deal with the matter under these Rules.

29.    Essential Supporting Documents

Code of Conduct - Policy 000059

Notice to Show Cause Template – under development

Preliminary Assessment Report Template – under development

Student Misconduct Training Manual – under development

Student Academic Integrity Policy - 000608

Complaints Resolution Policy - 000745

Complaints Resolution Procedure - 000898

Complaints Resolution Guideline - 000899

 

Approval AuthorityCouncil
Date Approved27 May 2011
Date Last Amended7 December 2012
Date for Review27 May 2014
Policy SponsorVice-Chancellor
Policy OwnerDeputy Vice-Chancellor (Academic)
Policy ContactDeputy Academic Registrar, Governance and Academic Administration
Amendment History

Change to appeals period from 10 to 20 days (Clauses 21.3, 21.4, 21.5 and 21.6) approved by Council (Resolution C12:219) 7 December 2012; and change from DVC(Academic & Global Relations) to DVC(Academic), Governance and Policy 14 December 2012.

Minor amendments by the Governance and Policy Unit 1 June 2012.

Change to appeals period from 25 to 10 days (Clauses 21.3, 21.4, 21.5 and 21.6) and inclusion of information regarding appointment of SACOs (Section 3, Relevant Definitions), approved by Vice-Chancellor 16 February 2012; effected by the Governance and Policy Unit 23/02/2012.

Minor Amendment Clause 26.1 now two sentences to improve clarity, Governance and Policy 22 November 2011.

Approved by Council - 27 May 2011 (C11:097), for commencement on 25 July 2011. It replaces and rescinds:

• Student Discipline Rules - 000341