How to conduct an Academic Misconduct

investigation in the FOANew policies and procedures effective September 2007

(Adapted for use in the FOA by Michael Imort, based on a presentation developed by Mark Baetz)

Goals

• Clarify and standardize process and penalties

• Respect rights of those involved

• Track outcomes

• Reduce exposure to liability

Resources

Familiarize yourself with the policies• Undergraduate and Graduate Calendars• Academic Integrity Website:

www.wlu.ca/academicintegrity• Michael Imort, Associate Dean: Student

Affairs (Faculty of Arts)• Mark Baetz, Chair, Academic Integrity

Committee

Step 1: Suspicion of Misconduct

• Begin process by documenting how you formed the suspicion:– Personal observation– Documentary evidence e.g., Turnitin– Other witnesses – written statement required

• It may only be a suspicion – you don’t have to be sure at this point

• Make notes immediately (save them)• Begin to keep track of the time spent on the

entire investigation

Step 2: Consult Chair• Discuss your suspicions with the Chair/Program

Coordinate• Come to a consensus on whether or not an

investigation should proceed• If proceeding, complete top half of Form 1 Allegation of

Academic Misconduct (in duplicate, available as form-fillable .pdf file on FOA web page under Academic Integrity)

• Contact student at official WLU e-mail• Be brief – only indicate suspicion of academic misconduct with

respect to particular assignment and request meeting within a week, (refer student to graduate or undergraduate calendar for information on process)

Step 3 – Meet Student

Task # 1- Fact Finding: • Don’t meet alone (include an

uninterested witness)• Meet each involved student individually

(witnesses, co-conspirators etc; maintain integrity of the evidence)

• In order to encourage student candor– Use neutral language (non-accusatory)– Avoid emotion – anger…– Allow student time to speak

Step 3 (cont’d)

Task # 2 - Make a Decision:• Decide whether to proceed with investigation

– Misconduct occurred - investigation continues– Not sure or more information required -

investigation continues– Allegation unfounded – discontinue investigation– If discontinued – end of process

• Form 1 is securely filed in instructor’s files, destroyed at end of term

Step 3: (cont’d)If proceeding: • Advise student of decision to proceed and what the next steps will

be:– Case will be sent to Associate Dean for further processing– Student has one week to make a written submission to and/or meet

with the Assoc Dean to discuss the allegations• Complete bottom half of Form 1 (both copies) and recommend

appropriate penalty (see Penalty Guidelines)– Suggested language for the section “Student responded as follows”:

• “Denied the allegation (entirely or partially)”• “Admitted the allegation”• “Admitted the allegation with the following explanation”

(Possible explanations: didn’t know the rules, overwhelmed, fear, everyone does it…)

• Give student a copy of completed Form 1 and copies of the evidence

• Make notes after the meeting (witness as well)

Step 4: Follow up after meeting

• Advise the Chair of outcome of meeting

• Send second copy of Form 1 (including evidence) to the Associate Dean: Student Affairs (Faculty of Arts)

• At this point, the Associate Dean takes over

Step 5: Determination of Offence & Penalty

• The Assoc Dean determines whether it is a first or subsequent offence

• In the meantime, the student has one week to submit a written statement or request a meeting with the Associate Dean

• If first offence: – Assoc Dean confirms penalty with instructor and notifies student with

Letter 1 of official penalty to be imposed• If subsequent offence:

– Assoc Dean meets with student, reviews the evidence, and determines penalty

– Assoc Dean notifies student with Letter 1 of official penalty to be imposed

– Assoc Dean offers student opportunity to submit a written statement within one week

• If applicable, Assoc Dean responds to the submission before proceeding

Step 6: Appeal Rights

• Students have a right to appeal so records must be kept

• Confidentiality must be respected• Instructor may be involved in appeal

through written submissions or (rarely) as witness

• Once all appeal periods have ended, the Assoc Dean files a Final Incident Report with Central Registry

Any Questions:

• Dr Michael Imort, Associate Dean: Student Affairs (FOA)– mimort@wlu.ca– Ext. 2785