06.05
Graduate Students
06.05
GRADUATE STUDENTS
06.05.01
Requirements and Expectations in Research
To foster intellectual honesty with regard to graduate student research, all academic units at UCR are encouraged to develop statements that fit the distinctive research climate and needs of their individual disciplines. These guidelines may cover responsibilities of research supervisors, assignment of authorship or credit for publications, training of research apprentices, requirements for record keeping of experimental procedures and data storage.
It is the responsibility of everyone engaged in research at UCR to be informed of University policies relating to research and of the policies and procedures of the agencies funding research. Relevant policies are posted on the UCR Office of Research website.
(Am 6 Dec 22)
06.05.02
Research Misconduct means fabrication,
falsification, or plagiarism in proposing,
performing, or reviewing research, or in reporting
research results.
All allegations of Research Misconduct by
graduate students should be referred to the
Office of Research Integrity. Relevant policies are
posted on the UCR Office of Research Integrity
website - https://research.ucr.edu/ori/rm
06.05.03
Requirements and Expectations in Courses
Instructional or university personnel responsible
for courses, capstones, or research compliance
(herein referred to as Faculty) are encouraged to
include statements addressing academic integrity
as part of the syllabus for every course and to
educate students about expectations and
standards of the course in order that students
may not, through ignorance, subject themselves
to the charge of academic misconduct.
Expectations and information about academic
misconduct should also be communicated to
students engaging in capstone preparation or
research activities. Faculty are further
encouraged to inform students of campus resources available for dealing with academic
difficulty.
06.05.04
Allegations of Misconduct in Courses
Below is an overview of the stages in the
investigation and review process.
Initiation of Cases (Faculty Member)
Communication with the student regarding
suspected misconduct and documentation of
actions via the Graduate Academic Integrity
Violation Referral
Review Stage 1 (Associate Dean for Graduate
Academic Affairs)
- Initial Administrative Review
Review Stage 2 (Graduate Academic Integrity
Committee-GAIC)
- Hearings for cases that are
complex, egregious, and/or repeated
cases of academic misconduct
- Appeals of decisions made at
Review Stage 1
Review Stage 3 (Graduate Council)
- Appeals of primary decisions
made at Review Stage 2
(Am 6 Dec 22)
06.05.04.01
Initiation of Cases
If a Faculty member suspects that an act of
academic misconduct has occurred, the Faculty
member must promptly communicate with the
student regarding the allegation and the
information upon which it is based; the
notification process must occur within 28
calendar days from the discovery of the alleged
act. The Faculty member may make a request for
an extension of time through the Associate Dean
for Graduate Academic Affairs. If the discovery is
made by a student, teaching assistant, reader,
grader or tutor that individual should
immediately communicate with the Faculty member in charge of the course, so that the
Faculty member in charge can proceed with the
investigation.
Communication with the student can either be in
writing or in the form of an in-person
consultation. Written communication should be
sent to the student’s University e-mail address.
Consultations should be conducted in a manner
that respects the student's privacy. When
multiple students are involved, the Faculty
member should communicate with each student
separately. At the consultation, the Faculty
member or the student may request the
presence of the University Ombuds.
The student must be given the opportunity to
respond to the allegation of academic
misconduct. Students will be given 14 calendar
days to respond after the initial communication
of the allegation.
After conferring with the student and/or
considering the student’s response, the Faculty
member may determine that there has been no
academic misconduct, in which case the Faculty
member may dismiss the allegation and take no
further action.
If the Faculty member determines that it is more
likely than not that the student committed an act
of academic misconduct, regardless of the
student’s intent to engage in misconduct or
admission of responsibility, the case will be
forwarded to the Associate Dean of Graduate
Academic Affairs to begin initial administrative
review. The Graduate Academic Integrity
Violation Referral must be submitted and
accompanied by all original documentation
supporting the charge (including a copy of the
course syllabus and other written communication
that addresses academic integrity standards and
expectations for the course, exam, or research
compliance).
Faculty members who will not be available to
participate fully in resolving allegations (e.g.,
Individuals holding part-time or temporary appointments, those on sabbatical or other leave,
or those leaving University employment) must
provide a copy of all documentation to the
immediate supervising administrator:
department chair, program director, center
director, or dean of school, who will serve as a
proxy for the Faculty member to conclude the
case.
In the instance of research non-compliance, a
university official responsible for research
compliance may take on the role of a Faculty
member and follow the same procedures.
06.05.04.01.01
Student Admits Responsibility
If the student admits responsibility for the
alleged academic misconduct, the Faculty
member may immediately impose an appropriate
academic sanction. Academic sanctions are
appropriate outcomes of assignment grades,
course grades, or exam results.
For alleged research non-compliance, the Faculty
member or university official may immediately
impose an appropriate sanction. Sanctions for
research non-compliance may include temporary
suspension from the lab, halting of all research
activity, publication delay or retraction,
additional training, or NC grade in research units.
The Faculty member or university official must
document the case and the sanction on the
Graduate Academic Integrity Violation Referral
and send the form to the Associate Dean for
Graduate Academic Affairs.
The Associate Dean for Graduate Academic
Affairs will determine an appropriate
educational/disciplinary sanction for the student
to complete in addition to what has already been
imposed within 14 calendar days of receiving the
referral. The goal of the sanction is to improve
the student’s knowledge regarding Academic
Integrity for graduate students.
06.05.04.01.02
Student Does Not Admit Responsibility
If the student does not admit responsibility, the
Faculty member must note on the referral form
the appropriate academic sanction if the student
is found responsible. Academic sanctions are
appropriate outcomes of assignment grades,
course grades, or exam results.
The Faculty member will evaluate the disputed
assignment or examination on its merits and note
the grade to be assigned if the student is not
found responsible.
If grades are due while the case is in progress, the
Faculty member should assign a temporary grade
placeholder of Grade Delay “GD” pending the
outcome of the review process.
For alleged research non-compliance, the Faculty
member or university official must note the
appropriate sanction on the referral
form. Sanctions for research non-compliance
may include temporary suspension from the lab,
halting of all research activity, publication delay
or retraction, additional training, or NC grade in
research units.
Upon receipt of the Graduate Academic Integrity
Violation Referral, the Associate Dean for
Graduate Academic Affairs will notify the student
of the University of California Policy on Student
Conduct and Discipline that was allegedly
violated, the factual basis for the charges, and
the plan to conduct an Initial Administrative
Review of the case. The student will be advised
that the Initial Administrative Review is intended
as a thorough exposition of all related facts and
written materials associated with the alleged
academic misconduct, and that it is not intended
as an adversarial criminal or civil legal
proceeding. The student will also be informed of
the student’s right to be assisted by an advisor of
the student’s choice. Such written notification
will occur within 14 calendar days of the receipt of the referral by the Associate Dean and will be
sent to the student’s University e-mail address.
06.05.04.01.03
A student officially notified of alleged academic
misconduct may not withdraw from the course
until the determination of responsibility is made
and any sanctions are imposed. If found
responsible, a sanction for a violation of
academic integrity that affects the course grade
will be applied. If the student is found not
responsible for academic misconduct, the
student will be permitted to withdraw from the
course in accordance with campus regulations.
06.05.04.02
The Initial Administrative Review, conducted by
the Associate Dean for Graduate Academic
Affairs, involves meetings with the student, the
Faculty member, university officials, and others
who may have relevant information. The student
will have the opportunity to discuss any
extenuating circumstances, causes, and
motivations that may have contributed to the
alleged academic misconduct. If the Associate
Dean deems it necessary, a joint meeting will be
scheduled at a time when the Faculty member or
university official, and the student can attend. If
the Faculty member or university official is
unavailable for a timely Initial Administrative
Review, the immediate supervising administrator
will be asked to serve in place of the Faculty
member or university official.
(Am 6 Dec 22)
06.05.04.02.01
If the Associate Dean for Graduate Academic
Affairs determines that it is more likely than not
that the student is responsible for academic
misconduct, the academic actions recommended
by the Faculty member, as well as any
educational/disciplinary sanctions will be
assigned.
The determination shall be forwarded by the
Associate Dean for Graduate Academic Affairs in
writing to the student within 28 calendar days of
the Initial Administrative Review; notice will be
sent to the student’s University e-mail address
and communicated to the Faculty member,
Graduate Advisor, and Chairperson of the
student’s program in accordance with legitimate
educational interest criteria as articulated by the
Family Education Rights and Privacy Act (FERPA).
In cases where the Faculty member has held a
grade in abeyance pending the outcome of an
Initial Administrative Review, the Faculty
member shall submit a final grade to the
Registrar that is consistent with the
determination by the Associate Dean for
Graduate Academic Affairs as to the question of
academic misconduct. Either the student or
Faculty member can appeal the decision of the
Associate Dean for Graduate Academic Affairs.
Cases involving a student with a record of
previous academic misconduct or cases that are
sufficiently complex or egregious to require
additional consultation shall be referred directly
by the Associate Dean for Graduate Academic
Affairs for a Stage 2 review by the Graduate
Academic Integrity Committee (GAIC) for a formal
hearing.
06.05.04.03
Review Stage 2 is reserved for cases involving a
student with a record of previous academic
misconduct, or cases that are sufficiently complex
or egregious to require additional consultation by
the GAIC for a formal hearing. Review Stage 2
also serves as the stage for appeals of decisions
made at Review Stage 1. Appellate decisions at
Review Stage 2 are final.
The Academic Senate’s Committee on
Committees will appoint faculty to the Graduate
Academic Integrity Committee to serve threeyear
terms, effective September 1-August 31, and
will appoint one faculty member from the GAIC
to serve as chair. The GAIC will consist of at least
one member from each school/college and
should include faculty who are available to
participate in hearing during the summer
months.
In addition, the Graduate Division will solicit and
review applications from interested graduate
students and make recommendations to the
Graduate Student Association of UCR regarding
students to be appointed to serve on the GAIC for
one-year terms, effective September 1-August
31. The final endorsement of student members
will rest with the Committee on
Committees. Students are not eligible to serve if
they have been suspended or are on academic or
disciplinary probation, have been evicted from
University Housing for reasons related to
conduct, or have a case pending before Student
Conduct, the Graduate Division, GAIC, or
Graduate Council.
Faculty and student members should represent
the disciplinary diversity within each
college/school, whenever possible. Staff support for the committee will be provided by the Graduate Division
(Am 6 Dec 22)
06.05.04.03.01
For each Stage 2 case, the chair of the GAIC will
convene a hearing panel of GAIC members within
28 calendar days of receiving referral from the
Associate Dean. A quorum is required for a
hearing to proceed and consists of five people,
including the chair, at least two Faculty members,
and two students.
The Associate Dean for Graduate Academic
Affairs or designee will serve as a non-voting
member of the hearing panel. The GAIC chair
shall rule on all questions of hearing procedure
and evidence, including but not limited to the
order of presentation of evidence, admissibility of
evidence, applicability of regulations to a
particular case, and relevance of testimony.
06.05.04.03.02
Hearing Procedures
1. Preparation: Prior to the hearing, panel
members will receive and review a copy of the
notification of charges and documentary
evidence provided by the Faculty member,
university official, and the student.
2. Introductory comments: At the beginning of the hearing, the chair will ask any panel members to disqualify themselves from participation if they believe that they cannot render a just and fair decision, and will permit the student to request that a member be disqualified if the student believes for an appropriate reason that a panel member cannot render a just and fair decision. If a student or Faculty member of the hearing panel is disqualified, another member will be appointed to fill the same role, if needed for a quorum. The chair will read aloud the charges of academic misconduct, and the student will be asked to respond to the charges by (a) accepting responsibility, (b) accepting responsibility and noting that there are mitigating circumstances, or (c) denying responsibility for the alleged violation of the University of California Policy on Student Conduct and Discipline.
3. Presentation of accounts: The Faculty member and the student will be given the opportunity to present their accounts of the incident and to present any witnesses or other individuals who may have relevant information about the alleged academic misconduct. Hearing panel members will be given an opportunity to ask questions of the Faculty member, the student, and witnesses. Each party will then be asked if there is additional information needed, or if any discrepancies or questions need to be presented or addressed.
4. Deliberation: The hearing panel will
deliberate in private to decide, by a majority
vote, if a preponderance of the evidence
indicates that the student is responsible or not
responsible for the alleged violation.
5. Determination of sanctions: If the student is
found to be responsible for violations of policies,
the hearing panel shall be informed of the
student’s prior record of academic misconduct.
Based on this information the committee will
determine the educational/disciplinary sanctions
to be assigned, and the conditions that must be
met for the sanctions to be lifted, if any.
6. Notification of decision: Once the hearing
panel has reached a decision, the outcome will be
distributed in writing within 7 calendar days. The
Associate Dean for Graduate Academic Affairs
will send written notification to the student, the
Faculty member, Graduate Advisor, and
Chairperson of the student‘s program detailing
the decision and the educational/disciplinary
sanctions imposed by the hearing panel. The
notification will also outline the appeal process.
7. Records: An audio recording of the hearing,
but not the deliberations of the hearing panel,
shall be made and retained by the Graduate
Division as part of the record for as long as the disciplinary record is retained, or for seven years
from the date of decision, whichever is shorter
(see Section 06.05.06 below). The student may
obtain a copy of the recording. Other than for the
purpose of the official record as provided above,
mechanical or electronic devices for recording or
broadcasting shall be excluded from the hearing
(Am Dec 6 22)
06.05.04.04
Review Stage 3 is reserved for appeals of primary
decisions made at Review Stage 2. For each Stage
3 case, the Chair of the Graduate Council or
designee shall select a 3-5 person subcommittee
of current or former Graduate Council members
to serve as an appeal panel. Each Stage 3 hearing
will be conducted according to the Hearing
Procedures described above in Section
06.05.04.03.02.
(Am 6 Dec 22)
06.05.04.05
The Graduate Council additionally conducts
annual assessments of cases adjudicated at
Review Stages 1 and 2 for the purpose of
providing oversight and ensuring that policies and
procedures are appropriately and consistently
applied.
(En 6 Dec 22)
06.05.05
Decisions of the Associate Dean for Graduate
Academic Affairs during stage 1 may be appealed
to the GAIC. Appellate decisions by the GAIC are
final.
Primary decisions of the GAIC during stage 2 may
be appealed to the Graduate Council.
Appellate decisions by the Graduate Council
during stage 3 are final.
Appeals may originate from a student or Faculty
member. In any decision that includes a sanction
of dismissal of a graduate student, the Dean of
the Graduate Division will be the final arbiter.
06.05.05.01
Criteria for Appeals
Appeals must be based on one or more of the following
- New evidence not reasonably available at the time of the original hearing, the absence of which can be shown to have had a detrimental impact on the outcome of the hearing
- Procedural error that can be shown to have had a detrimental impact on the outcome of the hearing
- Errors in the interpretation of University policy so substantial as to deny one of the parties a fair hearing
- Grossly inappropriate sanction having no reasonable relationship to the charges
06.05.05.02
Appeal Procedures
1. The Faculty member or the student may appeal a decision in writing to the appropriate body for appeal, as described above. The appeal must be made within 14 calendar days after the written decision is made available.
2. Appeals must be authored and signed by the submitting party. Appeals produced by advisors or other non- parties will not be considered.
3. The filing of a timely appeal suspends the imposition of sanctions until the appeal is decided. Grades or degrees will be withheld pending conclusion of the appeal.
4. When an appeal has been filed, the relevant parties may be requested to respond in writing to the matters in question before a decision about the appeal is made. The non-appealing party, whether student or Faculty member, will be notified of the appeal within 14 calendar days and will be given an opportunity to submit a written statement for consideration within 14 calendar days from such notification
5. The appellate body will determine whether the grounds for appeal have been satisfied and whether further process is necessary to resolve the appeal. Findings of fact will be accepted as determined by the original adjudicating body, unless the appellate body determines that the original adjudicating body acted in an arbitrary, capricious, or unfair manner.
6. The appellate body will make a decision based on the written submissions within 28 calendar days, or indicate in writing what further process is necessary for final resolution.
7. The appellate body may approve, reject, or modify the decision and sanction in question. The action taken shall be communicated in writing to the student, the Faculty member, and the original adjudicating body within 28 calendar days after receipt of the appeal and related documents. The decision of the appellate body is final.
06.05.06
Maintenance of Records
Graduate Division shall serve as the central
location where all written, audio, and electronic
records of incidents of academic misconduct are kept on file. The records will be readily available
for review by the Deans and Associate Deans of
each College or School, the Dean of the Graduate
Division, the Executive Vice Chancellor and
Provost, and the Vice Provost for Conflict
Resolution, in accordance with legitimate
educational interest criteria as articulated by the
Family Educational Rights and Privacy Act.
The file of a student found in violation of campus
policies (including the transcripts or recordings of
the hearing) will be maintained for a period of at
least seven years from the date of the letter
providing notice of final disciplinary action, unless
otherwise determined by the Associate Dean for
Graduate Academic Affairs. When a student is
suspended because of a violation of the
University of California Policy on Student Conduct
and Discipline, the fact that suspension was
imposed must be posted on the academic
transcript for the duration of the suspension.
When a student is dismissed, the fact that
dismissal was imposed must be posted on the
academic transcript permanently.
(Am 6 Dec 22)