|
Columbia
University is an academic community committed to fostering intellectual
inquiry in a climate of academic freedom and integrity. Its members are
expected to uphold these principles and to abide by the regulations of the
University. They are also expected to obey local, state and federal laws.
Students continue at the University, receive academic credits, graduate, and
obtain degrees and certificates subject to the disciplinary powers of the
University. The Trustees of the University have delegated responsibility for
student discipline to the Deans of the individual schools or divisions, whose
administration of student discipline is known as Dean's Discipline.
Academic dishonesty (for
example, plagiarism, cheating on an examination, or dishonesty in dealing with
a faculty member or other University official) violence, threatening
behavior, and harassment are particularly serious offenses that will
be dealt with severely under Dean's Discipline. Any graduate student who
engages in any form of academic or personal misconduct is subject to the
disciplinary procedures developed by the Graduate School.
Student status does not render
the individual immune from non-University jurisdiction. Infractions of city, state and federal laws
may be referred to civil authorities. Such referral does not preclude
disciplinary action within the University when it would serve the best interest
of the academic community.
Although ultimate authority on
matters of student discipline is vested in the Trustees of the University, the
Dean of the Graduate School of Arts and Sciences and his staff are given
responsibility for establishing certain standards of behavior for Graduate
School of Arts and Sciences students beyond the regulations included in the
Statutes of the University and for defining procedures by which discipline will
be administered.
The Associate Deans for M.A. and for Ph.D. programs are responsible for implementing all
Graduate School of Arts and Sciences disciplinary policy. These policies and the disciplinary
procedures invoked in cases of student misconduct are described below.
Policy on Academic and
Personal Misconduct
The Graduate School
prohibits academic dishonesty or misconduct. The following list illustrates the
different forms that academic fraud or misconduct can take. This list is not intended to be inclusive.
1. Cheating on examinations or
tests; also fabrication of data and/or fabrication of results.
2. Plagiarism, the failure to
acknowledge adequately ideas, language or research of others, in papers,
essays, dissertations or other work.
3. Knowingly assisting others in plagiarism, by making one's
papers, essays, or written work available for such use.
4. Misstatement or
misrepresentation in connection with any academic matter, such as in an application
for admission or financial aid, or during a formal inquiry by University
officials.
5. Misuse, alteration, or fabrication
of University documents, records and credentials, including transcripts and
I.D. cards.
6. Improper use of the library
and its resources: theft or purposely hoarding or hiding books or materials.
7. Misconduct in carrying out
teaching or research responsibilities. The Columbia University Institutional Policy on Misconduct in Research and the policies relating to teaching in the section of the Faculty Handbook on Obligations and Responsibilities of Officers of Instruction and Research apply to anyone teaching or conducting research at Columbia.
The Graduate School
also strictly prohibits conduct that disrupts or interferes with the operations
of the University or activities of any member of the University community.
The following types of
misconduct fall under this rubric:
1. Harassment, coercion, or
intimidation of any member of the community. This includes behavior that is
rude or abusive and harassment based on personal characteristics such as
gender, race, ethnicity, religion, disability, age or sexual orientation.
2. Interference with instruction
or research.
3. Unauthorized or improper use
of University services, equipment, library or laboratory facilities, including
computers, University email, University web sites and web addresses, and telephones.
4. Failure to comply with an
order of a legitimate University authority acting in the line of duty,
including a Public Safety officer, faculty member, or other official.
5. Violation of other rules of
the University or the Graduate School of Arts and Sciences.
Please note: The University has established alternative policies and
procedures to Dean's Discipline for the following
types of misconduct:
1. Disruptions of the operations
of the University during demonstrations, rallies, picketing and circulation of
petitions may be dealt with through the Rules Administrator of the Rules of
University Conduct (Chapter XLIV of the Statutes of Columbia University).
2. Discrimination and sexual
harassment may be dealt with through the Office of Equal Opportunity and Affirmative Action, the
Ombuds Office, the Dean of the school of the accused if the accused is a
student, or the Office of Public Safety if the situation may involve criminal
activity.
Descriptions in the two following paragraphs are adapted from material on the websites of the respective offices.
The University's Office of Equal
Opportunity and Affirmative Action
(EOAA) has overall responsibility for the management of the University's Equal
Opportunity and Nondiscrimination Policies and has been designated to
coordinate compliance activities under these policies and applicable federal,
state and local laws. Students, faculty, and staff may contact the EOAA Office
to inquire about their rights under the University's policies, request
mediation or counseling, or seek information about filing a complaint.
Complaints by students against students are governed by the Equal Educational Opportunity and Student Nondiscrimination
Policies and Procedures on Discrimination and Harassment. Complaints by
students against employees are governed by the Equal Employment Opportunity and Nondiscrimination Policies
and Procedures on Discrimination, Discriminatory Harassment and Sexual
Harassment.
The Ombuds Office is not part of any formal University process and has no authority to make decisions on complaints; it advocates for fair process, considers the rights and interests of all parties, and does not take sides. Conversations are kept confidential unless it is necessary to address an imminent risk of serious harm.
3. Sexual misconduct by a
student may be dealt with through the Disciplinary Procedure for Sexual Assualt.
4. Academic assessment of
students resides with the departmental faculty. Thus, in disciplinary cases
where assessment is an issue, the procedure is limited to assuring that the
assessment was made impartially and according to procedures applicable to all
students. A separate set of rules and procedures exists for grievances and complaints concerning academic
matters brought by students in the Graduate School of Arts and
Sciences.
Procedure for Disciplinary
Cases
Informal Resolution
In many cases, charges of
misconduct may be resolved by an individual faculty member and the student
involved. Either party may wish to involve the chair of the department or the director of the interdisciplinary program at the outset
of the resolution process. Discussions aimed at informal resolution must remain
confidential and generally should last for no more than 30 working days.
Formal Charge of Misconduct
Charges of misconduct not
resolved informally or at the department level may be brought to the attention
of the Graduate School for a formal proceeding of the
Committee on Discipline. The Committee has authority to conduct a proceeding
for the following types of complaints:
1. A charge of academic
misconduct against a student, usually brought by a faculty member or
department.
2. A charge of non-academic
misconduct against a student, which may be brought by any member of the
University community.
Regulations for Hearings of
the Committee on Discipline
Prior to Hearing
A written statement outlining
the charge and specifying the category of misconduct is presented to the appropriate
Associate Dean of the Graduate School of Arts and Sciences: for students at any
stage of a Ph.D. program, to the Associate Dean for Ph.D. Programs, and for
students in a free-standing M.A. program, to the Associate Dean for M.A. Programs.
The Associate Dean refers the statement and charges to the Committee on
Discipline.
Charges shall be timely if
brought within two years of the alleged misconduct. Under special circumstances
this time limit may be extended.
Any student accused of academic
dishonesty or misconduct will receive written notice of the complaint at least
ten days before he or she is required to appear before the Committee. Both the
accused student and the complainant will be informed of the requirements of
confidentiality of the proceedings and of the need to inform any potential witnesses
of these requirements. The student will be advised that he or she
-
is presumed innocent
-
is expected to
cooperate in the investigation of the complaint
-
has the right to an
advocate from the University community
- is entitled to the option of taking a leave of absence until the matter
is resolved.
Additionally, the student will
be informed of the potential penalties if he or she is found guilty.
An accused student may, but need
not, submit a written statement answering the complaint prior to appearing at
the proceeding. Both the complainant and the accused student will be informed
prior to the hearing of their rights to identify witnesses and documents.
Witnesses' names will be submitted to the Associate Dean at least two days in
advance of the first session of the hearing. Rebuttal witnesses, if any, may be
identified and their names forwarded to the Associate Dean during the hearing
process. The Associate Dean will contact witnesses to schedule their
appearances and to advise them about procedure and the requirement of confidentiality
of the proceedings.
Prior to and during the hearing,
the Associate Dean may grant extensions of time for good reason to either party
in order to produce supporting evidence or to appear at a session.
At any time after a complaint
has been received, but prior to a decision being rendered by the Committee, the
parties may agree to settle the matter between themselves with the help of a
mediator or the Associate Dean.
The Hearing Process
The hearing is held before the
Committee on Discipline, which is composed of (a) two faculty chosen by the
Dean from among the faculty members of the Executive Committee of the Graduate School of Arts and Sciences, (b)
two graduate students chosen by the Dean from six nominations made by the
Graduate Student Advisory Council; and (c) the Associate Dean. The Associate Dean
chairs the meeting. Before members of the Committee begin their deliberations,
the Dean may appoint a replacement for any member of the committee who believes
him or herself to be biased or to have a conflict of interest. Faculty will be replaced with
faculty, students with students, and the Associate Dean with an administrator
of the Dean's choosing.
The hearing may involve one or
more sessions, depending on how long it takes to collect, present and evaluate
the evidence needed to review the charge of misconduct.
Hearings are conducted in a
timely fashion, that is, they are completed by the end of the semester following the
one in which the student received notification of the charge of misconduct. Once
the hearing has commenced, the Committee may make any procedural decisions it
deems necessary to ensure fairness and to avoid undue delay. The Committee determines
the admissibility, relevance and materiality of the evidence offered, and may exclude
any evidence or witnesses it deems repetitive, irrelevant or disruptive.
The charge is read and
understood at the beginning of the first session by all members of the
Committee and by the accused. The complainant informs the Committee of the facts
of the situation and answers any questions its members may have.
The accused student has the
right to testify in his or her defense, but may choose not to do so. The student
may select a member of the University community to attend the meeting, serve as
his or her advocate and speak on his or her behalf. The advocate may not pose
questions or intervene in the proceedings, but may talk quietly or pass notes to
the student in a non-disruptive manner. The advocate, however, is not privy to deliberations
and does not vote. Although the student is free to consult with an attorney, he
or she is not permitted to have an attorney present during the disciplinary
proceeding or at any appeal.
If either the complainant or the
accused chooses not to appear or testify, he or she is informed that the
Committee will proceed to a decision.
The proceeding is not an
adversarial courtroom-type proceeding. Rather, the proceeding is intended to
educate the members of the Committee so that they may determine the truth of
the charges made. There is no verbatim transcript. The complainant and the accused are each
given an opportunity to present a written or oral argument in support of his or
her position, based on the evidence submitted, before the Committee retires for
deliberation.
All deliberations of the
Committee are held in private. The Committee must be persuaded by clear and
convincing evidence that an infraction of the rules for academic or personal
conduct has occurred. The decision is
made by majority vote.
The decision of the Committee is
rendered in a written report and includes the rationale for the decision and
any supporting evidence. The decision should in most cases be rendered within
ten working days of completion of the hearing. The written report also recommends
an appropriate sanction if an infraction has been found.
The Committee may recommend the
following sanctions:
- Warning, a reprimand which
becomes part of the student's official record but is not considered a formal
disciplinary action.
- Probation, which is intended
to serve as a serious warning to students whose conduct gives cause for
concern. It is hoped that probation will cause the student to return to
satisfactory behavior. The student will be relieved from probation if, at the
end of a set period of time, satisfactory conduct has been maintained. Failure
to meet the conditions of probation is a serious matter and will ordinarily result
in suspension or dismissal.
- Suspension, which requires
that the student not register for a period of one or more semesters and is
recorded on the student's permanent transcript.
- Dismissal, an action taken in
serious disciplinary cases, which ends a student's connection with the
University and is recorded on the student's permanent transcript.
After the Hearing
If no infraction of the rules is
found, notification is sent to both parties and to the Dean.
If an infraction of the rules
has occurred, the written report is sent to both parties and to the Dean. Then,
in writing, the Associate Dean informs the student of the penalty he or she is
imposing and of his or her right to appeal.
An appeal may be submitted to
the Dean within thirty working days of the student's receipt of written notice
of the penalty to be imposed.
On appeal, the Dean will review
the record and may consult with the members of the Committee. The Dean will not
consider new evidence. Ordinarily, the determination of an appeal will be based
on procedural grounds rather than a re-examination of the facts. The decision
of the Dean is final. Both the complainant and accused are advised of the outcome
of any appeal.
| 
