THE AUSTRALIAN NATIONAL UNIVERSITY

 

ACADEMIC MISCONDUCT RULE 2015

 

I, Professor Ian Young AO, Vice-Chancellor of the Australian National University, make the following rule.

 

Dated: 11 December 2015

 

 

 

 

Professor Ian Young AO

VICE-CHANCELLOR

 

___________________________________________________________________

TABLE OF CONTENTS

Part 1 PRELIMINARY

1 Name, commencement and authority

2 Application of instrument

3 The academic integrity principle

4 Definitions

Part 2 Student Academic Conduct

5 The academic integrity principle

6 Academic misconduct

7 Plagiarism

8 Collusion

9 Poor academic practice

Part 3 interim action

10 Interim exclusion by the Deputy Vice-Chancellor

11 Exclusion of student from attendance at an examination venue

12 Enrolment not terminated by interim action

Part 4 Report of academic misconduct

13 Alleged academic misconduct

14 Reference of alleged academic misconduct to the Registrar

Part 5 Initial Review

15 Allegations of academic misconduct to be reviewed

16 Power of Registrar to initiate inquiry without initial review

17 Decision by review officer to terminate the process

18 Notification of initial review

19 Meeting with the review officer

20 Decision by the review officer

21 Action to be taken if poor academic practice is found

Part 6 Inquiry

22 Registrar to refer matter to an inquiry officer

23 Decision by the inquiry officer not to conduct an inquiry

24 Options available to the inquiry officer

25 Transfer by an inquiry officer

26 Meeting with the student

27 Notice of inquiry by inquiry officer

28 Procedure at an inquiry

29 Student’s rights at an inquiry

30 Decision by the inquiry officer

31 Penalty for academic misconduct

32 Student undertakings

33 Re-enrolment following suspension

Part 7 Appeals and Review

34 Review by the Appeals Committee

35 Review by the Dean of a finding of poor academic practice

Part 8 Miscellaneous

36 Nominees

37 Action where there may be a serious health issue

38 Multiple processes

39 Extension of time

40 Service of notices etc.

41 Repeal etc.

___________________________________________________________________

Part 1              PRELIMINARY

1          Name, commencement and authority

2          Application of instrument

3          The academic integrity principle

4          Definitions

(a) an examination; or

(b) a task required to be performed by a student for the assessment of the student’s performance; or

(c) a thesis, dissertation, minor thesis, research project, written report, assignment or essay undertaken for the assessment of the student’s performance; or

(d) a task required to be performed by a person for the purpose of enabling the person to qualify for admission as a student in a program or course.

Examples

1 use of prohibited material or equipment for unfair advantage

2 consultation with other persons during the course of the assessment where this is prohibited.

(a) in a connected series of classes or demonstrations; or

(b) by means of practical work, including, for example, the production by students of essays, theses or case studies or the attendance and participation by students in seminars or workshops; or

(c) by clinical or professional practice; or

(d) in another way or in a combination of ways.

examination venue means a place at which students are required to attend for the purpose of assessment under controlled conditions.

exercise a function includes perform the function.

fabrication means the representation of data, observation or other research activity as genuine, comprehensive or original when it is not. This includes inventing the data, using data gathered by other researchers without acknowledgement, falsifying data or wilfully omitting data to obtain desired results.

function includes duty and power.

initial review means review under Part 5.

inquiry officer means a person who conducts an inquiry under Part 6.

inquiry process means the process of investigating a report of academic misconduct, including any appeal from a decision.

invigilator means any person, including a member of the academic or general staff of the University, who is employed by or acting on behalf of the University to attend examinations and/or supervise students who are undertaking examinations conducted by or on behalf of the University (including examinations conducted by other national or international educational institutions).

member of ANU means a person who is a member of staff, a student or an invigilator.

original work means work that is genuinely produced by a student specifically for the particular assessment task for which it is submitted.

poor academic practice has the meaning given to it in section 9.

plagiarism has the meaning given to it in section 7.

research misconduct includes:

(a) fabrication of data; and

(b) plagiarism; and

(c) other conduct that:

(i) improperly appropriates the intellectual property or contributions of others; or

(ii) intentionally impedes the progress of research; or

(iii) risks corrupting the research record or compromising the integrity of research practices.

review officer means a person who conducts an initial review under Part 5.

serious research misconduct means research misconduct where:

(a) there is recurrence or continuation of conduct that has previously been found to be research misconduct by the student; or

(b) there is failure to follow research protocols approved by research ethics committees or statutory licence conditions, where that failure has resulted in harm, or unreasonable risk of harm, to humans, animals or the environment; or

(c) there is deliberate publishing of false research results that become part of the public record; or

(d) serious harm to the University, or to other students, staff or visitors occurs as a result of reckless and wilful disregard for the consequences of the conduct.

student means a person who is or was enrolled in, or seeking enrolment in, a program or a course offered by the University, or who is or was given permission by the University to audit a program or course offered by the University.

supervisor, in relation to a student, means a person who is:

(a) a supervisor of the student under the Research Awards Rule; or

(b) for a coursework student—appointed to supervise the student’s thesis or research project.

work includes written, oral, numerical, audio, visual or other material that is submitted for assessment.

working day means a day that is not a Saturday, a Sunday, a public holiday in the Australian Capital Territory, or a University holiday.

Part 2              Student Academic Conduct

5          The academic integrity principle

(a) the academic integrity principle requires the words, ideas, scholarship and intellectual property of others used in the work to be appropriately acknowledged; and

(b) a person is in breach of the academic integrity principle if the person engages in collusion.

6          Academic misconduct

(a) in relation to an assessment:

(i) cheats; or

(ii) engages in plagiarism; or

(iii) improperly colludes with another person; or

(iv) acts, or assists another person to act, dishonestly or unfairly in or in connection with an examination; or

(v) takes a prohibited document into an examination venue; or

(vi) fails to comply with examination or assessment rules or directions; or

(vii) engages in other conduct with a view to gaining unfair or unjustified advantage; or

(viii) submits work that is not original; or

(b) in relation to research, commits research misconduct.

7          Plagiarism

8          Collusion

(a) a person’s involvement is unintentional; or

(b) a person collaborates by undertaking work jointly, in accordance with course requirements.

9          Poor academic practice

(a) excusable due to mitigating circumstances (including personal, emotional, or health-related circumstances); or

(b) due to unintended, careless, inadvertent or uninformed behaviour which is excusable.

(a) the failure to conform to the academic integrity principle is severe; or

(b) there has been repeated similar behaviour.

Part 3              interim action

10       Interim exclusion by the Deputy Vice-Chancellor

(a) a copy of the notice; and

(b) a written statement setting out the reasons for the action and advising the student that the student has a right to apply for review of the decision under the Appeals Rule.

11      Exclusion of student from attendance at an examination venue

(a) if the conduct occurs at an examination venue, the invigilator; or

(b) the course convenor; or

(c) the Registrar.

(a) make a report of the decision and the circumstances relating to it; and

(b) if the decision is made by a person other than the Registrar, forward the report to the Registrar.

12      Enrolment not terminated by interim action

Part 4              Report of academic misconduct

13      Alleged academic misconduct

(a) in accordance with subsection (2), a person reports a belief that a student may have engaged in academic misconduct; or

(b) in accordance with subsection (3), a course convenor makes a written record of a belief that a student may have engaged in academic misconduct.

14      Reference of alleged academic misconduct to the Registrar

(a) academic misconduct in research; or

(b) academic misconduct in another college; or

(c) academic misconduct involving more than one college.

Part 5              Initial Review

15      Allegations of academic misconduct to be reviewed

(a) the Registrar receives the allegation of academic misconduct directly; or

(b) the allegation of academic misconduct is referred to the Registrar under section 14.

(a) the Associate Dean, in the case of:

(i) a report of academic misconduct across colleges; or

(ii) a report of academic misconduct in relation to research; or

(b) in any other case, the course convenor.

16      Power of Registrar to initiate inquiry without initial review

17      Decision by review officer to terminate the process

(a) there are not adequate grounds for deciding that the student has engaged in the alleged academic misconduct; or

(b) the review officer considers that it is appropriate that the alleged academic misconduct should be treated as a very minor breach of the academic integrity principle; or

(c) the allegation is frivolous, vexatious or not made in good faith; or

(d) in the circumstances, it is not appropriate to take further action.

(a) the course in relation to which the allegation is made is an introductory or transitional course taken in the first year of the student’s undergraduate degree or the first semester of the student’s graduate coursework award; and

(b) the course outline provides information on academic integrity and states that very minor breaches of the academic integrity principle may result in a reduction of marks of up to 10% of the total marks available for the assessment; and

(c) the breach of the academic integrity principle is a very minor mistake in referencing; and

(d) as part of the course or feedback in relation to the course, an opportunity is provided to learn appropriate academic integrity techniques through individual or group sessions or written educative information.

18      Notification of initial review

(a) provide the substance of the alleged misconduct; and

(b) offer the student the opportunity to be heard; and

(c) be accompanied by:

(i) a copy of this instrument; and

(ii) a copy of any information provided to support the allegation; and

(d) be given to the student:

(i) if the investigation is to be conducted as a result of an allegation being made, within 10 working days after the allegation is made; and

(ii) in any case, as soon as is practicable.

19      Meeting with the review officer

(a) whether there is substance to the allegation; and

(b) if there is substance, whether the alleged conduct constitutes poor academic practice or academic misconduct.

(a) observe the proceedings; and

(b) with the express approval of the review officer, act as an advocate.

20      Decision by the review officer

21      Action to be taken if poor academic practice is found

(a) direct the student to resubmit one or more assessment items;

(b) counsel the student;

(c) request that the student make an undertaking to attend academic or other counselling;

(d) reprimand the student;

(e) direct that the student’s marks or grade be changed for the assessment.

Part 6              Inquiry

22      Registrar to refer matter to an inquiry officer

(a) the Registrar decides, under section 16, to refer alleged academic misconduct for inquiry under this Part without an initial review being conducted; or

(b) a review officer refers a matter to the Registrar under section 20(3); or

(c) the Deputy Vice-Chancellor transfers the matter to the Registrar under section 25; or

(d) an inquiry officer refers the matter to the Registrar under section 30.

(a) the Deputy Vice-Chancellor, if:

(i) the matter has been referred to the Registrar under section 30; or

(ii) it appears to the Registrar that the alleged academic misconduct may relate to serious research misconduct (except where the Deputy Vice-Chancellor has transferred the matter to the Registrar under section 25); or

(b) the Dean, if the review officer was the Associate Dean; or

(c) if it appears to the Registrar that there may have been academic misconduct across more than one college, the Associate Dean of one of the affected colleges; or

(d) in any other case, the Associate Dean of the college.

23      Decision by the inquiry officer not to conduct an inquiry

(a) there are not adequate grounds for deciding that the student has engaged in the alleged academic misconduct; or

(b) the allegation is frivolous, vexatious or not made in good faith; or

(c) in the circumstances, it is not appropriate to take further action.

(a) notify the Registrar; and

(b) give to the student a written notice that:

(i) sets out the alleged misconduct, and contains copies of any substantive material on which the allegations were made; and

(ii) informs the student that the allegations have been considered by the inquiry officer, who has determined that there are not adequate grounds believing that the student has engaged in academic misconduct, or (as the case may be) has determined that the allegation is frivolous, vexatious or not made in good faith.

24      Options available to the inquiry officer

(a) decide to take no action; or

(b) decide to meet with the student, if it appears that the student has engaged in poor academic practice; or

(c) decide to hold an inquiry; or

(d) transfer the matter in accordance with section 25.

25      Transfer by an inquiry officer

26      Meeting with the student

(a) advises the student of the name of the inquiry officer; and

(b) sets out the details of the alleged academic misconduct and includes a copy of this instrument and of any materials on which the allegations are based; and

(c) advises the student that the inquiry officer has decided to meet with the student to discuss poor academic practice; and

(d) advises the student of the date, time and place for the meeting (which must be not less than 5 working days after the date of service of the notice); and

(e) advises the student who to contact if the student needs to arrange an alternative time.

(a) direct the student to resubmit 1 or more assessment items;

(b) counsel the student;

(c) request the student to make an undertaking to attend academic or other counselling;

(d) reprimand the student;

(e) direct that the student’s marks or grade be changed for the assessment.

27      Notice of inquiry by inquiry officer

(a) advises the student of the name of the inquiry officer; and

(b) sets out the details of the alleged academic misconduct and includes a copy of this instrument and of any materials on which the allegations are based; and

(c) advises the student that the inquiry officer has decided to hold an inquiry into the alleged misconduct; and

(d) advises the student of the date, time and place for the hearing of the inquiry (which must not, without the written consent of the student, be less than 7 working days               after the date of service of the notice); and

(e) contains a statement to the effect that:

(i) the purpose of the inquiry is to determine whether there has been academic misconduct by the student and that the inquiry officer may make a finding that there has been academic misconduct; and

(ii) the inquiry will be conducted in an informal manner; and

(iii) the student is entitled to attend in person at the inquiry; and

(iv) if student does not attend at the time and place specified under paragraph (d), the inquiry may proceed in the absence of the student; and

(v) the student is entitled to present oral statements to the inquiry; and

(vi) the student may, in addition to or instead of appearing in person at the inquiry, present to the inquiry written statements in relation to the alleged misconduct (whether made by the student or any other person); and

(vii) the student is entitled to be accompanied at the inquiry by another person who may observe the proceedings, but that person must not act as an advocate unless expressly invited to do so by the inquiry officer; and

(viii) the inquiry officer is not bound by rules of evidence.

28      Procedure at an inquiry

(a) the procedure to be followed is at the discretion of the inquiry officer; and

(b) the inquiry officer:

(i) may conduct the inquiries, and have regard to anything, that the inquiry officer considers appropriate; and

(ii) is bound by the rules of procedural fairness, but is not bound by rules of evidence; and

(iii) must take into consideration any submission made by the student.

(a) the student or the person (if any) accompanying the student; or

(b) an administrative assistant to the inquiry officer; or

(c) a person giving evidence. 

29      Student’s rights at an inquiry

(a) appear in person; and

(b) call and question witnesses; and

(c) make oral or written statements.

(a) observe the proceedings; and

(b) with the express approval of the inquiry officer, act as an advocate.

30      Decision by the inquiry officer

(a) decide that the student’s conduct does not amount to academic misconduct and conclude the matter without further action; or

(b) decide that the student’s conduct does not amount to academic misconduct but does amount to poor academic practice, and take any action referred to in section 21; or

(c) decide that the student’s conduct amounts to academic misconduct and impose a penalty set out in section 31; or

(d) decide that the student’s conduct amounts to academic misconduct of a serious nature, and refer the matter to the Deputy Vice-Chancellor; or

(e) if the misconduct involved so warrants, refer the matter to the Registrar for transfer to the Deputy Vice-Chancellor.

(a) publish the decision; and

(b) notify any relevant professional, government or other organisation or agency of the decision.

31      Penalty for academic misconduct

(a) order a re-assessment in a program or course to which the alleged misconduct is related (which may include, for example, requiring the student to re-sit an               examination for a maximum pass grade of 50% or determining that an alternative form of examination be completed by the student);

(b) order that a denial of access imposed under this instrument does not affect the student’s academic progress;

(c) reprimand the student;

(d) award a reduced mark for any piece of assessment;

(e) award a fail mark for any piece of assessment;

(f) record a fail (‘0’) mark for the entire course;

(g) determine the conditions under which the student may attend classes or lessons or use any facility or otherwise continue in the student’s studies or research program of the University;

(h) require the student to undertake relevant research integrity training;

(i) request an undertaking from the student to attend relevant academic or other counselling;

(j) require the student to make the relevant corrections to the student’s research findings or publications;

(k) require the student to apologise or take other action the inquiry officer thinks appropriate with a view to mitigating the effect of the misconduct;

(l) suspend the candidature or enrolment of the student in a program of study or course in which the student is admitted or enrolled and prohibit resumption of candidature or enrolment for a period not exceeding 12 months;

(m) accept an undertaking from the student;

(n) refer the matter to the Deputy Vice-Chancellor for action if it appears to the inquiry officer that the student has previously been found to have committed academic misconduct.

(a) deny the student access to all or any of the facilities of the University or to all or any part of the University premises for a specified period, or to any activities conducted by or on behalf of the University;

(b) terminate the candidature or enrolment of the student in a program of study or course in which the student is admitted or enrolled and prohibit the resumption of candidature or enrolment;

(c) determine that the student should not be granted the relevant award for the program the student is studying;

(d) recommend to the Council that an award of the University (within the meaning of the Programs and Awards Statute) gained by the student be revoked;

(e) exclude the student from the University.

32      Student undertakings

(a) the inquiry officer must ensure that a written copy of the undertaking is provided to the student and the Registrar; and

(b) if the student fails to comply with the undertaking, an inquiry officer may impose a further penalty for the academic misconduct.

33      Re-enrolment following suspension

Part 7              Appeals and Review

34      Review by the Appeals Committee

(a) an interim decision to exclude a student under section 10;

(b) a decision that a student has committed academic misconduct;

(c) a decision to impose a penalty for academic misconduct.

35      Review by the Dean of a finding of poor academic practice

(a) the Dean must provide to the student the opportunity to make submissions, either in writing or, if agreed by the Dean, orally; and

(b) the Dean must consider a report from the decision-maker, and may consider other relevant material (in which case, a copy of the other relevant must be given to the student, and the student given opportunity to comment on it); and

(c) the Dean must, as soon as is practicable, decide whether to:

(i) dismiss the application and confirm the decision; or

(ii) allow the application, and modify or set aside the decision.

Part 8              Miscellaneous

36      Nominees

(a) the Deputy Vice-Chancellor; or

(b) the Dean; or

(c) the Associate Dean; or

(d) the Registrar; or

(e) a course convenor.

37      Action where there may be a serious health issue

(a) if the Deputy Vice-Chancellor considers that the student may have a serious health condition, suspend further proceedings under this instrument and refer the student to the Registrar to be assessed in accordance with the Medical Leave Rules; or

(b) whether or not the Deputy Vice-Chancellor considers that the student may have a serious health condition, refer the matter back to the review officer or inquiry officer to be dealt with as if this section did not apply.

38      Multiple processes

(a) may be academic misconduct; and

(b) may be misconduct within the meaning of the Discipline Rule.

(a) a review officer conducting a review under this instrument may suspend that review; or

(b) an inquiry officer conducting an inquiry under this instrument may suspend that inquiry; or

(c) the Registrar or the Deputy Vice-Chancellor may suspend a process under this instrument.

39      Extension of time

(a) the reason why the extension is sought; and

(b) the period of the extension; and

(c) the prejudice, if any, which will be caused by the granting of the extension.

40      Service of notices etc.

(a) by giving it to the individual; or

(b) by sending it by prepaid post, addressed to the individual, to an address shown in the University’s records as the individual’s semester address, work address or permanent home address; or

(c) by emailing it to:

(i) if the individual is a student at the University—an email address provided by the University to the individual; or

(ii) if the individual is not a student at the University—an email address otherwise recorded by the University as the individual’s email address.

41      Repeal etc.