GSAS Policies and Procedures Manual - New York University



[School or College] Doctoral Policies and Procedures ManualTable of contents TOC "1-2"1.The [School or College X] Community PAGEREF _Toc529523772 \h 22.Affiliate Programs PAGEREF _Toc529523773 \h 33.Curriculum PAGEREF _Toc529523774 \h 44.Admissions PAGEREF _Toc529523777 \h 45.Coursework and Assessment PAGEREF _Toc529523778 \h 56.Enrollment PAGEREF _Toc529523780 \h 77.Graduation PAGEREF _Toc529523783 \h 88.Academic Probation and Termination PAGEREF _Toc529523785 \h 99.Discipline PAGEREF _Toc529523787 \h 1110.Grievances PAGEREF _Toc529523790 \h 1311.Links PAGEREF _Toc529523791 \h 14Administrative forms[This section lists all the administrative forms pertaining to the policies and procedures laid out in the manual, and provides links to the forms themselves.] The [School or College X] Community1.1. Policies and Procedures: [School or College X] is committed to providing a supportive and structured environment for the development of scholars, researchers, and teachers. It is expected that the responsibilities of students, faculty, and staff will be discharged with impartiality, reason, and consistency. To this end, it is the responsibility of all members of the [School or College X] community to respect and comply with all [School or College X] Policies and Procedures as well as all University rules and policies. 1.1.1. Dean’s Designee: The Dean of [School or College X] may designate any member of the administration of [School or College X] to fulfill any of the [School or College X] procedural roles outlined in this document in place of the indicated [School or College X] administrator in any case where either there is a clear conflict of interest involving the indicated administrator or the position of the indicated administrator is vacant. Any named member of the administration of [School or College X] may also designate any member of [School or College X] to fulfill his or her specified role listed in the policies below.1.1.2 Applicants: Applicants are individuals who have applied to any [School or College X] program. From the point at which [School or College X] receives an application for admission, [School or College X] and New York University reserve the right to deny admission, to deny permission to register, or to revoke matriculation of any applicant at any time for cause, including falsification of academic credentials or scholarship, character, or personal conduct.1.1.3. Students: An individual becomes a student on the first day of the first term in which they enroll in a [School or College X] sponsored program and are granted the rights in and are under the authority of [School or College X] Policies and Procedures on that date. Students remain under the authority of these rules until they graduate or officially separate from [School or College X].1.1.4. Programs [or Departments]: The word “programs” [or “departments”] in this document refers both to all established academic programs [or departments] in [School or College X] and to any other free standing academic units that oversee graduate curricula registered with the State of New York. All such academic units are expected to maintain a faculty director of and an academic program administrator at a minimum.1.1.5. Time to Respond: Should any response or action required of [School or College X] or any of its program administrators normally fall in a time period partially or entirely within a University designated break or closure, including summer, the time during the designated break or closure will not count towards the total stated time to respond.1.2. Student Conduct: All students in the [School or College X] community must abide by the University Student Conduct Policies. 1.3. Discrimination, Harassment, and Sexual Misconduct: All members of the [School or College X] community must abide by the University’s Non-Discrimination and Anti-Harassment Policy and Complaint Procedures for Students, the Non-Discrimination and Anti-Harassment Policy and Complaint Procedures for Employees, and its Sexual Misconduct, Relationship Violence, and Stalking Policy which outline the policies and procedures regarding all forms of prohibited discrimination, harassment, and sexual misconduct.1.4. Academic and Research Integrity: All students in the [School or College X] community must abide by the University’s policies on Academic Integrity for Students at NYU and its Principles and Procedures for Dealing with Allegations of Research Misconduct, as well as the policy on Retention of and Access to Research Data. In addition to University policies, all students must also abide by the [School or College X] Statement on Academic Integrity [this passage should link to the specific School’s or College’s academic integrity statement].1.5. Conflict of Interest, Intellectual Property and Research with Human Subjects: All members of the [School or College X] community must abide by the University’s policies governing Academic Conflict of Interest and Conflict of Commitment, its Statement of Policy on Intellectual Property, and the policies governing Research with Human Subjects.1.6. Environmental Health and Safety: All members of the [School or College X] community must follow the policies and procedures of the Office of Environmental Health and Safety.Affiliate Programs2.1. Definition: Affiliate Programs are those which the University Registrar has designated as being divisions of or administered through [School or College X], but which are overseen and taught by faculty other than those of [School or College X].2.2. List of Affiliates: The following programs are Affiliate Programs of [School or College X]: …2.3. Jurisdiction: For all Affiliate Programs housed in other schools and colleges, the faculty of each such School or College has jurisdiction over any and all academic and non-academic policies and procedures including disciplinary matters, grievance proceedings, and appeals, except those overseen by the University, involving students enrolled in those Affiliate Programs. For all Affiliate Programs that are free standing, [School or College X] policies and procedures will be applied in any discipline, grievance or other matter that rises on appeal above the program level for students of these Affiliate Programs (See Sections REF _Ref330378026 \r \h \* MERGEFORMAT 8, REF _Ref330378044 \r \h \* MERGEFORMAT 9, REF _Ref330378053 \r \h \* MERGEFORMAT 10).2.4. Administrative Support: [School or College X] will provide administrative support to Affiliate Programs as required by the University Registrar. For any type of support provided, Affiliate Programs are required to follow the appropriate [School or College X] policies and procedures outlined below.Curriculum [This section lays out “rules” and “administrative procedures” pertaining to curriculum, as developed and maintained by the school or college in question. Issues that might be addressed in this section are listed below.]Rules3.1. The Committee on Doctoral Curriculum and Financial Aid: [Addresses the composition and function of the committee that administers a school’s or college’s doctoral curricular and financial aid policies].3.2. Doctoral Courses: [Lays out guidelines pertaining to all doctoral courses sponsored by the School or College in question].3.3. Doctoral Programs: [Describes the doctoral programs and degrees offered by the School or College in question, lays out basic administrative procedures pertaining to those programs and degrees, and stipulates that all the unit’s academic programs are expected to adhere to the assessment requirements and guidelines provided by the NYU Office of Academic Program Review and Assessment].Administrative Procedures [This section details the procedures to be followed in the application of the rules laid out above.]3.4. …, etc.Admissions [This section lays out the admissions procedures obtaining within the school or college in question. Issues that might be addressed in this section are listed below.]4.1. Admission to Programs: [Specifies the entities responsible for deciding admission to the relevant doctoral program(s)—e.g., the School or College offering the degree and a duly constituted admissions committee].4.2. Notification of Admission: [Indicates the form in which all official notifications of admission will be made].4.3. Applying to Multiple Programs: [States the rules regarding simultaneous application to multiple programs, whether at NYU or at NYU and another institution].4.4. Reapplying for Admission: [Lays out the guidelines for reapplication by individuals who were not offered admission in a previous attempt, who were offered admission but did not enroll for the term in which they were admitted, and currently enrolled students who wish to apply for admission to a different program than the one in which they are currently enrolled].4.5. Visiting and Non-Degree Students: [Details application procedures for individuals seeking Visiting Student or Non-Degree Student status]. 4.6. Readmission: [Outlines procedures to be followed by a previously enrolled student who has not enrolled for two or more consecutive semesters (excluding summer terms) and so is considered to have withdrawn].Coursework and Assessment[This section lays out “rules” and “administrative procedures” pertaining to coursework and academic assessment, as developed and maintained by the school or college in question. To the extent necessitated by the registrar’s regulations, the material in this section will be made uniform across manuals for all schools and colleges in AY 2018-19. Issues that might be addressed in this section are listed below.]5.1. Academic Good Standing: XE "good standing" [Defines academic good standing for the School or College in question].5.2. Grades: [Lists and describes the meanings of the various grades that may be assigned for coursework].5.3. Cumulative GPA: [Describes the method for calculating cumulative grade point average]. 5.4. Completion Rate: [Describes the method for calculating a student’s course completion rate].5.5. Change of Grades: [Specifies the circumstances under which a grade submitted to the Registrar can be changed].5.6. Incomplete Grades: [Details circumstances under which a grade of “Incomplete” can be granted, the relevant procedures to be followed, and the consequences of a student’s not satisfactorily resolving incomplete coursework by the stipulated deadline].5.7. Pass/Fail Option: [Lays out circumstances under which a student may take on a “pass/fail” basis a course set up with standard letter grading, details the procedures for doing so, and specifies how such a course is credited and accounted for in the GPA].5.8. Auditing: [Details regulations governing the official auditing of a course in the School or College in question].5.9. Dropping and Withdrawal from a Course: [Summarizes the consequences of a student’s dropping a course either before or after the Registrar’s official deadline for doing so, and explains the grade of “W”].5.10. Final Cumulative GPA: [Specifies when a student’s cumulative GPA becomes final and cites potential exceptions to this rule when a student retakes a course as a remedy to circumstances beyond the student’s control during the first attempt, or when a student takes courses beyond the number required for the degree, by permission of the relevant faculty administrator in the program and the School or College in question]. 5.11. Undergraduate Courses: [Describes the circumstances under which doctoral students in the School or College in question may take undergraduate courses, and stipulates the rules regarding the awarding of graduate-degree credit for such courses].5.12. Skills Courses: [Stipulates that a student may sometimes take undergraduate courses that provide skills necessary to the student’s completion of the doctoral dissertation, and details the circumstances under which financial aid might cover the tuition for such courses].5.13. Transfer Credit: [Outlines the procedures for transferring credit earned elsewhere toward the NYU doctoral degree]. 5.14. Residency Requirement and Maximum Transfers Allowed: [Defines academic residency in the School or College in question, and stipulates how many of the credits required for the degree must be earned while residence, and how many may be transferred from another institution]. 5.15. Language Proficiency and Examination: [Declares that English proficiency is a requirement of the degree-granting NYU School or College, and that specific programs within the unit may require their degree candidates to demonstrate proficiency in languages other than English that are integral to research in the field. Briefly describes how language proficiency may be demonstrated]. 5.16. Financial Aid: [Stipulates that financial aid eligibility is contingent upon a student’s satisfactory academic progress, and that such progress will be regularly assessed by the student’s program]. Administrative Procedures[This section details the procedures to be followed in the application of the rules laid out above.]…, etc.Enrollment[This section lays out “rules” and “administrative procedures” pertaining to enrollment, as developed and maintained by the school or college in question. Issues that might be addressed in this section are listed below.]Rules6.1. Enrollment: [Stipulates that students must maintain continuous enrollment in their programs from the time of matriculation to graduation, and describes the ways of doing this].6.2. Conditions for Enrollment: [Specifies the conditions that students must meet—e.g., payment of tuition and other charges, adherence to housing regulations and library policies—in order to be eligible to enroll].6.3. Registration: [Indicates that all students must be properly enrolled each semester by the end of the official drop/add period specified by the Registrar. This item must link to the Drop/Add procedures published on the Registrar’s website].6.4. Maintenance of Matriculation: [Lays out the means by which students maintain continuous enrollment after they have completed the coursework phase of their programs].6.5. Waiver of the Maintenance of Matriculation Fee: [Details the circumstances under which the fee to maintain continuous post-coursework enrollment may be waived]. 6.6. Academic Leave of Absence: [Describes the procedure by which a student applies for a Leave of Absence from the School or College in question, and links to the Leave of Absence procedures detailed on the Registrar’s website. This section also lists the accepted reasons for an academic leave of absence and lays out the rules and regulations governing such leaves.]6.7. Parental Accommodation: [Provides for either 6 weeks or one semester of modified academic responsibilities (e.g., class attendance, exams, etc.) for full-time doctoral students in good standing who become primary caregiving parents to a newly born or adopted child, and lays out the rules and regulations governing the parental accommodation arrangement].6.8. Time to Candidacy: [Stipulates a limit on the number of years within which a student must complete all the requirements for the doctoral degree except for the dissertation].6.9. Extension of Time to Candidacy: [Outlines the circumstances under which the time-to-candidacy period specified in 6.8 might be extended and the rules and regulations governing such an extension].6.10. Time to Degree: [Indicates the length of the period during which students must complete all degree requirements].6.11. Extension of Time to Degree: [Outlines the circumstances under which the time-to-degree period specified in 6.10 might be extended and the rules and regulations governing such an extension].6.12. Course Work Validation: [Indicates the point at which the coursework a student has completed is old enough that its continued acceptability for the degree must be validated by the School or College, and the point at which such coursework is too old to be validated as acceptable for the degree]. 6.13. Full-Time: [Specifies the requirements for a student’s maintaining full-time status or its equivalent during the fall or spring semester or during the summer]. 6.14. Half-Time: [Specifies the requirements for a student’s maintaining half-time status or its equivalent during the fall or spring semester or during the summer]. 6.15. Maximum Time Allowed in Full-Time Status and Equivalence: [Specified the maximum number of years that a degree candidate may maintain full-time status or its equivalent].6.16. Consortia: [Lists any New York City–area doctoral consortia of which the School or College is a member, and outlines the policies governing students’ enrollment in courses through those consortia].6.17. Tuition Refunds: [Outlines the policies governing refunds to students for tuition, and links to the Refund Schedule published XE "refund schedule" by the Bursar].Administrative Procedures [This section details the procedures to be followed in the application of the rules laid out above.]6.18…, etc.Graduation[This section lays out “rules” and “administrative procedures” pertaining to graduation, as developed and maintained by the school or college in question. Issues that might be addressed in this section are listed below.]Rules7.1. Ph.D. Dissertation Committee: [Outlines the School’s or College’s rules regarding the composition of Ph.D. dissertation committees].7.2. Affiliate Programs: [Lays out the policy governing the composition of Ph.D. dissertation committees in any affiliate programs housed in a different School or College].7.3. Approval for Defense: Prior to the scheduling of a doctoral dissertation XE "dissertation" defense XE "doctoral dissertation defense" , the core committee members must approve the dissertation for defense. Approval for the defense does not constitute approval of the dissertation XE "dissertation" .7.4. Successful Defense: A successful defense requires that no more than one vote of disapproval from the dissertation committee XE "disertation committee" on the oral defense is cast.7.5. Graduation Date: The official NYU graduation dates occur in September, January and May each year. Students are responsible for knowing and following all graduation procedures and deadlines of [School or College X] as well as those of the University, which are laid out on the Graduation and Diplomas page of the Registrar’s website.7.6. Graduation after Defense: Doctoral students may graduate no later than the second graduation date subsequent the defense of the dissertation. Failure to do so will make the defense null and void.7.7. Incomplete Grades: A student may not graduate with an incomplete grade of “I” or “NR” on his or her transcript.Administrative Procedures [This section details the procedures to be followed in the application of the rules laid out above, and includes information on Graduation Tracking in SIS, instructions on applying for graduations, and procedures for submitting the dissertation.] 7.8…, etc.Academic Probation and Termination[This section lays out “rules” and “administrative procedures” pertaining to academic probation and termination, as developed and maintained by the school or college in question. Issues that might be addressed in this section are listed below.]Rules8.1. Academic Probation: [Specifies what constitutes academic-probationary status and lays out the procedures by which a program must notify a student that he or she is on academic probation]. 8.2. Financial Aid: [Notes that the academic probation letter will state the consequences of the probation on any financial aid awarded to the student].8.3. Termination Resulting from Failure to Satisfy Terms of Academic Probation XE "termination" : [Indicates that students on academic probation who do not satisfy the stated terms of probation may be formally terminated from their programs, and specifies the means by which they will be notified of such termination]. 8.4. Termination Resulting from Failure to Meet Program Requirements: [Indicates that students may be terminated XE "termination" at any time, either by the program or by the School or College, for failing to meet stated program requirements, and specifies the means by which they will be notified of such termination].8.5. Right to Appeal Academic Probation or Termination: XE "right of appeal" [Stipulates that students have the right to appeal to their programs an academic probation decision, the criteria set for the reversal of academic probation, or a termination issued by the program, and specifies the terms and procedures for such an appeal].8.6. Right to Appeal a Program’s Decision: [Outlines a student’s right to appeal to the School’s or College’s academic affairs office a determination reached at the program level, and specifies the terms and procedures for such an appeal].8.7. Right to Appeal to the Dean: [Outlines a student’s right to appeal to the Dean of the School or College a determination reached by the academic affairs office, and specifies the terms and procedures for such an appeal].8.8. Student Status during Appeal: [Stipulates that, throughout the appeals process, a student must be allowed to maintain student status and to continue enrollment in any courses registered for at the date of the enactment of the probation or termination. Further indicates that the student’s academic record will be frozen for the duration of the appeals process and that no grade changes will be accepted during the appeals period].Administrative Procedures [This section details the procedures to be followed in the application of the rules laid out above, stipulating that the student’s program must notify all relevant offices when a student is put on probation or terminated, and that the School or College will place a registration hold on a student’s record if the student is not in academic good standing or has been terminated.] 8.9…, etc.DisciplineRules9.1. Jurisdiction: The University Student Conduct Policies govern the behavior of all [School or College X] students. University Bylaw 80 provides that the faculty of each school has disciplinary authority over its students. The procedures described below apply to student academic and behavioral misconduct (See REF _Ref468097364 \r \h \* MERGEFORMAT 0 and REF _Ref337820589 \r \h \* MERGEFORMAT 0). Other violations of the University Student Conduct Policies may be addressed through the University Student Conduct Procedures. Cases of misconduct that fall within the University’s Non-Discrimination and Anti-Harassment Policy and Complaint Procedures for Students and the University’s Sexual Misconduct, Relationship Violence, and Stalking Policy will be reported to and the Office of Equal Opportunity, which will oversee any investigation or resulting discipline. 9.2. Suspension Pending Consideration: As provided in University Bylaw 80, the Dean of a school or the Dean’s representative may suspend a student pending consideration of a case. [School or College X] urges that such action should only be taken to protect the physical or emotional safety and well-being of the student, the physical or emotional safety and well-being of other students, faculty, and/or University staff, the security of University property, the maintenance of public order or the effective continuation of the educational process. When such action does occur, the student shall be afforded the opportunity to expedite disciplinary proceedings. Any period of interim suspension shall be deducted from any final sanction involving suspension.9.3. Academic Misconduct: All students in [School or College X] are expected to follow the University’s policies on Academic Integrity for Students at NYU and the Principles and Procedures for Dealing with Allegations of Research Misconduct. Academic integrity violations include, but are not limited to, offenses such as plagiarism, cheating, possession or use of any prohibited notes, reference resources, or data processing or other devices in any class or examination, and misrepresentation of academic credentials. Research integrity violations include, but are not limited to, fabrication, falsification, and plagiarism in proposing, performing, or reporting research results. [Subsequent articles in this item lay out the procedure by which a complaint of student misconduct is filed with the student’s program, and by which the program shall adjudicate the complaint.]9.3.1.…, etc.9.4. Behavioral Misconduct: Behavioral misconduct includes conduct that impedes, obstructs or threatens the maintenance of the public order, interferes with or disrupts the regular operations and activities of the University, or constitutes a denial of or an unreasonable interference with the complainant’s rights. When activities undertaken by registered student organizations constitute a violation of this provision or violation of University rules or of public laws and regulations, a complaint may also be brought against such organizations as well as against the individual students belonging to such organizations. [Subsequent articles in this item lay out the procedure by which a complaint of behavioral misconduct is filed with the student affairs office of the School or College by a student’s program or by any member of the School or College community who claims to have been injured or affected by the alleged misconduct, and by which the student affairs office shall adjudicate the complaint.]9.4.1.…, etc.9.5. Referral of the Complaint to the Student Discipline Committee of [School or College X]: [Stipulates that, when a student’s program is unable to resolve consensually a complaint of academic misconduct or the School’s or College’s student affairs office is unable to resolve consensually a case of behavioral misconduct, the complaint will be forwarded to the School’s or College’s student discipline committee. It also stipulates that, after the student has been informed of the failure of resolution but before the case has been forwarded to the student discipline committee (i.e., during the “Mediation Period”), the student will be given the opportunity to change his or her decision about a consensual resolution on the terms offered.]9.6. Second Offense: The penalty for a repeat offense to a specific complaint will be termination from the doctoral program.Administrative Procedures9.7. Penalty Guidelines: Because of the wide range of seriousness of offenses of any given general type, no specific penalties are suggested for first occurrences. Each case must be judged independently, taking into account the seriousness of the offense, aggravating and mitigating circumstances, and the general desirability of treating similarly situated students similarly. In all cases, it should be determined whether or not notice of the penalty should be placed on the student’s record. As a guide to assessing the penalty to be applied, some possible considerations are outlined below for various general offenses.9.7.1. Academic and research misconduct: If the offense had not been detected, would it have had significant impact on the student’s course grade and/or completion of degree requirements? Was there an attempt to subvert a primary degree requirement, such as a Ph.D. thesis? Was the offense spontaneous or premeditated and planned? Did the student act alone or were others knowingly involved? Was the offense an isolated incident or repeated?9.7.2. Deliberate destruction, theft, or unauthorized use of laboratory data, research materials, computer resources, or University property: Did the student expect to profit academically from the offense? Was there damage to the academic materials of another student or of a faculty member? Were the materials of significant value to their owner? Can and should the student replace the materials or was the damage irreparable?9.7.3. Disruption of an academic event: Was the action spontaneous and brief or extensive? Did the academic event continue after the disruption or was it postponed or canceled? Was more than one individual involved? Were there repeated incidents on separate occasions? Was the disruption of a threatening or violent nature?9.7.4. Actual or threatened violence or threats of violence: Was the action premeditated? Was the threat repeated on separate occasions? Was human life threatened? What was the extent of bodily injury, if any? Was more than one individual involved in the offense? Does the student have a history of violent behavior?9.7.5. Other forms of misconduct: Was the behavior willful? Was the behavior repeated on separate occasions? What was the extent of bodily injury caused by the behavior, if any? Was more than one individual involved in the offense? Does the student have a history of previous disciplinary actions or violent behavior?9.8. Definition of Penalties: The following penalties may be imposed for a first offense:9.8.1. Warning: Written reprimand, including notice that a one-semester suspension or a more severe penalty may result from a second disciplinary offense within the period of the censure specified in the letter of reprimand.9.8.2. Disciplinary Probation: Suspension of privileges or exclusion from participation in extracurricular University activities as set forth in the notice of disciplinary probation for a specified period of time.9.8.3. Suspension: Exclusion from classes as well as suspension of privileges and exclusion from other activities as set forth in the notice of suspension for a definite period of time. A student who has been suspended and against whom charges are dismissed or not sustained will be allowed full opportunity to make up whatever work was missed due to the suspension.9.8.4. Dismissal: Termination of student status for an indefinite period. The conditions for readmission, if any are permitted, shall be stated in the order of dismissal. Grievances[This section, the basis of which is to be drafted by Senior University Counsel Mark Righter in AY 2017-18, lays out the rules governing the filing and adjudication of student grievances. The policies it describes are uniform across all schools and colleges, though it is left to each school or college to develop its own means of administering those policies.] Links[This section lists all the links embedded in the document.] ................
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