Information for Instructors

1. Inform student in writing of the investigation

An instructor who identifies a possible departure from academic integrity must fill out the Notice of Investigation (“NOI”) form. Completing the form supplies the student with all of the information required by the Queen’s Academic Integrity Policy and Procedures, including:

• The nature of your concern
• The evidence on which the investigation is based (the student should be supplied with all documents related to the investigation)
• The possible remedies and sanctions
• The student's right to respond to the investigation in writing or in person
• The student's right to have representation in any response
• Information about student rights and responsibilities and guidance on policy and procedure from the Office of the University Ombudsperson

While the case is under investigation, instructors should address all matters to the student as a "possible" or "potential" departure from academic integrity. The instructor should be clear that they will not make decision until the investigation is complete and they have heard and considered the student’s response.

To ensure that the student receives the NOI and additional relevant materials in a timely manner, the instructor should e-mail the student with all materials attached. Instructors can use Adobe Acrobat to combine additional relevant materials to the NOI. Adobe Acrobat Pro DC is licensed for all Faculty members. Fill out a request form through IT Services if you don’t already have the software.

To ensure the security of the information, instructors should password protect the document with the student’s ID number. View instructions on how to password protect documents using Adobe Acrobat.

Being involved in an academic integrity investigation can be very distressing for students. Thus, if possible, instructors should not send NOIs or other adverse decisions on Fridays, weekends, or holidays, to ensure students have access to University resources after they receive the email. If you need to send a NOI during midterm or final exam season, contact the Academic Integrity Administrator for help determining an appropriate date.

2. Receive student response to the Notice of Investigation

Within 10 days of receiving the NOI, the student must make an initial response to the instructor, either to schedule a meeting, indicate they wish to submit a written response, or indicate that they do not wish to meet.

If the student wishes to meet, the instructor should ask who else, if anyone, will accompany the student, as they have a right to bring a support person to such a meeting. If the student appears with legal counsel without prior notice, the instructor should re-schedule the meeting and contact the Academic Integrity Administrator for support.

Instructors can meet with students in person or virtually. Instructors may also bring a support person if desired; please contact the Academic Integrity Administrator for guidance if you wish to bring a support person.

In most instances, the instructor will meet with the student to discuss the possible departure from academic integrity. At the meeting, the student will have the opportunity to respond to the investigation. If the student wishes, they may offer a written submission in addition to attending the meeting and may bring a support person. The student is responsible for bringing all documents to the meeting on which they intend to rely. Instructors should schedule at least 30 minutes for the meeting, depending on the complexity of the case.

If, for any reason, the student does not wish to meet in person, the student may submit a detailed, written explanation to the instructor, along with any other relevant documentation, such as copies of earlier drafts of work. The student must inform the instructor within 10 business days from receiving the NOI that they intend to respond in writing. They then have an additional 5 business days from the day that they informed the instructor to submit their written statement.

If you discover new information about the alleged departure before reaching a decision, you must disclose that information to the student and give them the option to respond to it, by way of a written submission. The student has 5 business days after being informed of the new information to submit a response.

If an investigation is initiated near the end of the course or otherwise cannot be resolved prior to the grade submission deadline, the instructor should assign a Grade Deferred (GD) to hold the final grade in abeyance until the investigation process has been concluded. Once the investigation is concluded and the appeal deadline has passed, the instructor must submit a change of grade.

The student may not drop the course while an investigation is under way. If an instructor becomes aware that a student under investigation has dropped the course, the instructor should alert the Academic Integrity Administrator, who will reinstate the student pending the outcome of the case. If a finding is made and the sanction affects the student’s grade in the course, the student may not drop the course.

3. Finding of departure from academic integrity

After considering the available evidence, the instructor will determine if there has been a of departure from academic integrity. Conflicts of evidence and issues of credibility on pivotal issues must be resolved, and a finding of fact made concerning the version of events before the finding of a departure from academic integrity can be made. The decision should be made within 14 days of meeting with the student (or receiving their written submission), or within a reasonable period of time as demanded by the complexity of the case.

• In cases where there is no finding of departure from academic integrity: If, after a careful investigation of the evidence and consideration of the response by the student, the instructor determines that there are insufficient grounds for a finding of departure from academic integrity, all documents related to the case must be destroyed and the instructor must inform the student that the investigation has been dropped using the Notice of Dismissal of Investigation (DOI) form. The instructor must also send the DOI (which has been deidentified) to the Academic Integrity Administrator for the purposes of record-keeping.
• In cases where there is a finding of departure from academic integrity: If, after a careful investigation of the evidence and consideration of the response by the student, the instructor determines that there is sufficient and persuasive evidence to make a finding of departure from academic integrity, the instructor must complete a Finding of a Departure from Academic Integrity form and will need to determine an appropriate sanction or remedy. (see Step 4 below). Up to this point, any record of previous departures from academic integrity is not relevant in making a finding of departure from academic integrity.

1. Contact Smith’s Academic Integrity Administrator

Business - Academic Integrity Panel SmithAcademicIntegrityPanel@queensu.ca

Where there is a finding of departure from academic integrity, the instructor must first contact the Smith Academic Integrity Administrator. If a previous finding exists, they will inform the instructor. In this case the instructor will indicate on the Finding of a Departure from Academic Integrity form that the case is being referred to the Smith Academic Integrity Lead for the assignment of an appropriate remedy(ies) and/or sanction(s). In these cases, the instructor should proceed directly to Step 4 below.

2. Considerations in assessing the remedy or sanction

If no other academic integrity record is on file in the Smith Dean’s Office, the instructor may assign a remedy or sanction appropriate to the extent or severity of the offense. After the finding is made, it is recommended that the instructor consult the Academic Integrity Administrator concerning the matter of an appropriate remedy or sanction. The instructor should consider several factors in assessing the gravity of the remedial measure or sanction to be imposed, including:

• The extent and seriousness of the departure, having regard to its actual or potential consequences
• The degree to which the work or conduct in question forms a significant portion of the final grade and whether the extent of the departure is substantial as demonstrated by the work or conduct in question
• The academic experience of the student, differentiating between first-year and upper-year students who ought to be familiar with the expectations for academic integrityRecords of multiple departures within a single incident or multiple departures discovered at one time, rather than an isolated aberration
• Evidence of a deliberate attempt to gain advantage
• Injury to another student, individual, to the institution, or other stakeholders
• Conduct that intimidates others or that provokes misconduct by others

In addition, there may be occasions where there are mitigating circumstances. Although mitigating circumstances do not exonerate or excuse a student from the finding of a departure from academic integrity, these factors should be taken into account to ensure that the remedy or sanction imposed is fair, reasonable, and proportionate to the gravity of the departure found. Mitigating circumstances may justify the lessening of a sanction. The onus is on the student to provide evidence of mitigating circumstances. The sorts of mitigating circumstances that may be relevant include:

• Documented evidence from an appropriate health professional of factors directly compromising the student’s capacity to adhere to the standards of academic integrity at the relevant time
• Prompt admission to the alleged departure from academic integrity by the student and expression of contrition and willingness to undertake educative remedies
• Evidence that reasonable steps were not taken in the circumstances to bring the standards and expectations regarding academic integrity to the attention of the student at the relevant time.

In some cases, aggravating circumstances may also have an impact on the appropriate and reasonable remedy or sanction and should also be taken into account. The impact of aggravating circumstances will typically be ensuring a robust consequence is imposed. Examples of aggravating circumstances that may be relevant include, but are not limited to:

• Evidence of a deliberate attempt to gain advantage;
• Evidence of an active attempt to conceal the departure;
• Conduct that intimidates others or provokes misconduct by others; or
• Direct harm to another student, individual, or to the University.

The instructor’s decision must outline the evidence supporting reliance on any mitigating or aggravating circumstances.

In summary, any remedy or sanction should reflect the extent and severity of the departure from academic integrity and precedents in the School of Business, taking into account any mitigating circumstances. The instructor may consider a range of remedies or sanctions including:

• An oral or written warning that such infractions constitute unacceptable behaviour (Note that an oral warning must still be documented on the Finding of a Departure from Academic Integrity form)
• A learning experience involving a rewriting or revision of the original piece of work
• The submission of a new piece of work
• The completion of other work
• The deduction of partial or total marks for the assignment/exam
• A deduction of a percentage of the final grade in the course; or
• A failing grade (down to a grade of zero) in the course

If the remedy or sanction affects the student’s grade in the course, the student may NOT drop the course regardless of the drop deadlines, and the student may be reinstated in the course if the course was dropped prior to the finding being decided.

If the instructor believes that the finding warrants a sanction more serious than an instructor may impose, the instructor should refer the case to the Smith Academic Integrity Panel (see Step 6 below).

3. Informing the student of finding and sanction

After making the finding and setting a sanction within the scope of those available to the instructor (see Step 4 above), the instructor must inform the student in writing of the decision. Instructors must use the Finding of a Departure from Academic Integrity (“DFAI”) form. Completing the form supplies the student with the information required by Senate policy, including:

• The details of the finding of a departure from academic integrity, including the reasons for the finding as supported by relevant, clear and cogent evidence
• The sanction
• The student’s right to appeal the finding and/or the sanction to the Smith Academic Integrity Panel
• The deadline for appealing to the Academic Integrity Panel
• The resources available for consultation, including information on the website of the Office of the University Ombudsperson about student rights and responsibilities and guidance on policy and procedure
• Information on where and how the information will be stored

All original documents related to the case, including the submitted work, and any relevant correspondence, as well as copies of the NOI form, and Finding of Departure from Academic Integrity form should be forwarded to the Smith Academic Integrity Administrator (Business - Academic Integrity Panel SmithAcademicIntegrityPanel@queensu.ca).

Students have the right to appeal an instructor’s decision on the grounds that the instructors acted outside their jurisdiction or a breach of procedural fairness. The student will have 10 business days to initiate an appeal of the instructor’s decision. While the appeal window is open, instructors should not implement the sanctions outlined in the DFAI until confirming with the Academic Integrity Administrator that the appeal deadline has passed.

4. Referral of sanction to the Smith Academic Integrity Panel

If the finding appears to warrant a sanction more serious than the instructor may impose, the student is from a different Faculty/School, or if there is a previous finding of a departure from academic integrity on file in the Smith Dean’s Office, the case shall be referred to the Smith Academic Integrity Lead. The Lead may impose sanctions ranging from those noted above in addition to:

• An official written warning that the penalty for a subsequent offence could be a requirement to withdraw from the University for a specified minimum period of time;
• The rescinding of University- or Faculty-awarded scholarships, prizes and/or bursaries;
• A recommendation to Senate that the student be required to withdraw from the University for a specified minimum period of time;
• The revocation or rescinding of a degree.

In the event of a referral to the Lead, the instructor must still fill in the Finding of Departure from Academic Integrity form. Completing the form supplies the student with the information required by Senate policy, as listed in Step 3 above.

All original documents related to the case, including the submitted work, and any relevant correspondence, as well as copies of the NOI form, and Finding of Departure from Academic Integrity form should be forwarded to the Smith Academic Integrity Administrator.

Students may appeal the decision and/or the sanction imposed by the instructor in writing to the Smith Academic Integrity Panel, within 10 business days of receiving the instructor’s decision.

The Academic Integrity Administrator will notify the instructor by way of email that the student submitted an appeal.

• If the appeal submission contains new evidence: the instructor will retain jurisdiction of the matter and be asked to reconsider their decision based on all the available evidence. The instructor may choose to maintain, modify, or rescind their decision. The instructor will inform the Academic Integrity Administrator of their decision and their rationale, which will be communicated to the student. The student will have the option to accept the new decision or initiate a new appeal.
• If the appeal submission does not contain new evidence: the instructor will receive a copy of the student’s submission and be given the option to make a written response to the appeal. Any response from the instructor will be provided to the student and the student will have five business days to make any further submissions to the Panel before the matter is heard.

In the appeal form, the student will indicate whether they wish to attend the appeal hearing.

• If the student does not wish to attend, Panel will not meet with the instructor or the student. The Panel will make a decision based on any written submissions and the student’s appeal package.
• If the student wishes to attend, the Panel will call a meeting with the student (and representative if desired), the instructor (and representative if desired), and other witnesses as appropriate, to conduct a thorough review of the available evidence. The Panel will provide a written response, normally within 7 days though more time may be required depending on the complexity of the case.

The Panel may deny or grant the student’s appeal. The Panel may modify the decision of the instructor.

If the appeal is denied, the student can appeal to the Smith Academic Appeals Committee, if they can meet the grounds for appeal described in the Smith Academic Integrity Policy (Section 5.1.4).