2004-2005 Graduate Calendar

Academic Regulations and University Policies

Confidentiality and Release of Student Records

III. Residency Requirements

IV: Degree Completion Time Limits

V. Registration Policies

VI. Evaluation of Student Performance

VII. Research Policies and Procedures

VIII. Graduate Supervisor and Supervisory Committee

IX. Examination of Thesis Candidates

X.Evaluation of Major Essay or Project Candidates

XI. Preparation, Submission and Deposit of Thesis

XII. Academic Misconduct

XIII. Appeals

Academic Regulations and University Policies

Confidentiality and Release of Student Records

A.Student access

Students have the right to inspect all documents contained in their own record, with the exception of evaluations and letters of reference supplied to the University with the understanding that they be kept confidential.

Students have the right to request that erroneous information contained in their records be corrected and that recipients, of any information found to be in error, be advised of the correction.

Students wishing to inspect their record must make an appointment with the Assistant Director of the Office of Graduate Studies.

All official transcripts will be complete and unabridged. Partial transcripts cannot be issued.

Transcripts issued directly to students bear the notation "Issued to Student".

Documents pertaining to a student's achievement at another institution, which may have been received by the University, will not normally be released or redirected.

B.Employee and student organization access

Employees of the University are permitted access to information contained in student records, if they need to know the information in order to perform their official duties. As a general rule, only employees involved in some aspect of academic administration or student affairs are given access to the contents of student records. The Graduate Students' Association (GSA), as well as constituent organizations authorized by them, may obtain listings of students with names, addresses and telephone numbers for purposes of communicating with their membership. Listings will be provided by the Office of Graduate Studies upon written request signed by an authorized officer of the GSA with the understanding that the information will not be disclosed to third parties (and returned to the Office of Graduate Studies when requested).

C.Third party access

It is University policy to make a minimum of information freely available to all inquirers. This includes the student's active registration status, current field of studies and degree(s) that have been conferred by the University and the date(s) of conferral. Except as specified below other information contained in the record will be disclosed only with the student's written consent. This restriction applies to requests from parents, spouses, credit bureaus and police. Specified records or portions thereof may be provided to persons or agencies pursuant to a court order, summons or subpoena directing the University to release information; to Statistics Canada and the Ministry of Education in connection with enrolment audits; or in accordance with the requirements of duly constituted professional licensing and certification bodies.

In emergency situations involving the health and safety of an individual, or in compassionate situations, the Director of Graduate Studies or designate may, if it is considered to be in the best interest of the student, authorize the release of information needed to contact the student.

D.Notification of Disclosure of Personal Information to Statistics Canada

Statistics Canada is the national statistical agency. As such, Statistics Canada carries out hundreds of surveys each year on a wide range of matters, including education.

It is essential to be able to follow students across time and institutions to understand, for example, the factors affecting enrolment demand at post-secondary institutions. The increased emphasis on accountability for public investment means that it is also important to understand 'outcomes'. In order to carry out such studies, Statistics Canada asks all colleges and universities to provide data on students and graduates. Institutions collect and provide to Statistics Canada student identification information (student's name, student ID number, Social Insurance Number), student contact information (address and telephone number), student demographic characteristics, enrolment information, previous education, and labour force activity.

The Federal Statistics Act provides the legal authority for Statistics Canada to obtain access to personal information held by educational institutions. The information may be used only for statistical purposes, and the confidentiality provisions of the Statistics Act prevent the information from being released in any way that would identify a student.

Students who do not wish to have their information used are able to ask Statistics Canada to remove their identification and contact information from the national database.

Further information on the use of this information can be obtained from Statistics' Canada's website: http://www.statcan.ca or by writing to the Postsecondary Section, Centre for Education Statistics, 17th Floor, R.H. Coats Building, Tunney's Pasture, Ottawa, K1A 0T6.

E. Name Changes

As Brock is committed to the integrity of its student records, each student is required to provide, either on application for admission or in personal data required for registration, his/her legal name. Any requests to change a name, by means of alteration or deletion, substitution or addition, must be accompanied by appropriate supporting documentation. Upon making application for graduation a student may be asked to provide proof of his/her name.

F. Address Information

It is the responsibility of each student to ensure that the University has at all times, complete and accurate address information. Any change in mailing address and telephone number must be reported in writing to the Office of Graduate Studies.

Statements of Standing

As of January 2004 the Office of Graduate Studies only mails Statements of Standing at the end of each academic term to students whose records indicate special messages or concerns and to students who have applied to convocate. All other students can obtain, at any time, course grade and progress information by accessing their student academic record through the Student Information System found at: http://rattler.ccs.brocku.ca/liveasp/dbbrock/

Transcripts

Copies of student transcripts will be issued at the student's request, subject to reasonable notice. Requests should be submitted in person or by writing to the Office of the Registrar. In accordance with the University's Policy on Access to Student Records, the student's signature is required for the release of records. Transcripts issued directly to the student are stamped "Issued to Student". Partial transcripts cannot be issued. The Office of the Registrar cannot be responsible for transcripts lost or delayed in the mail.

Withholding of Degree or Grades

Only the Office of Graduate Studies may release final grades. No student owing the University fees or fines will receive a diploma, certificate, transcript or a statement of final grades or have any such statements communicated to parties outside the University, until such time as the debts have been cleared to the satisfaction of the University.

II: Student Status

Generally, most graduate programs offered at Brock may be taken on a full-time or part-time basis.

Normally, students choose either full-time or part-time status at the time of admission and this status can only be changed for appropriate reasons. Appropriate reasons are changes in family circumstances, work situation or geographic location.

1.	Full-time Graduate Students
	Full-time graduate students are defined as students whose main purpose is graduate study for the purpose of obtaining a graduate degree. Graduate study differs from undergraduate study in that it is, for most students, an activity that is highly concentrated, demanding and all-consuming. Full-time graduate students are defined according to regulations as follows:

a)	they must be pursuing their studies as a full-time occupation and identify themselves as full-time graduate students in all documentation;
b)	they must be considered by the University to be in full-time study;
c)	they must maintain regular contact with their graduate officer and supervisor;
d)	it is advisable for a full-time graduate student to notify their graduate officer and supervisor of any employment undertaken outside the University;
	they must limit University employment to an average of no more than ten hours a week of University paid work in a given term. This ten hour a week rule applies to paid employment on campus and includes Graduate Teaching Assistantships and Research Assistantships. Approval to work on campus for more than an average of ten hours per week requires the approval of the graduate supervisor, the Department Chair/Program Director, and the Dean of Graduate Studies.

2.	Part-time students
	Any graduate student who does not meet the requirements of a full-time graduate student as defined above is considered to be a part-time student. There is no restriction with respect to time spent on gainful employment. Part-time students may register for a maximum of two half-credit courses (or equivalent) in each academic term. The equivalent of two half-credit courses is the thesis or major essay course.
3.	Inactive students
	Students who have a valid reason for not registering for a term may be considered for inactive status. Permission of the Graduate Chair/Program Director or Graduate Officer must be obtained before the start of the academic term for which the student is seeking inactive status. During an inactive term, the student pays the inactive fee and retains library privileges. Inactive terms do not extend the final completion date by which degree requirements must be completed. Inactive status is not applicable once a student has registered for the thesis or major essay.
4.	Leave of Absence students
	A leave of absence from a graduate program will be granted only in exceptional circumstances which will include parental and maternity leave, medical leave, work leave which requires the student to leave the geographic area or on compassionate grounds. Cases will be considered on an individual basis and must have the approval of the Graduate Supervisor and the Department Chair/Program Director before they are submitted to the Office of Graduate Studies. A graduate student granted a leave of absence will not be registered and will not be required to pay fees for the duration of the leave. Students on leave will not be eligible to receive University fellowship support or other financial support from the University. In the case of funding by an external agency, the regulations of the granting agency will apply. The length of time for completion of the degree will be extended by the duration of the leave. While on leave students may not be entitled to use University facilities and resources or receive supervision. Leave of Absence Forms are available from the Office of Graduate Studies or the Graduate Studies website http://www.brocku.ca/gradstudies/forms.html

III. Residency Requirements

The residency requirements of a graduate degree program is the minimum number of terms in which the student must be registered on a full-time basis. For MA, MSc and PhD programs it is 3 terms (one year) of full-time registration. For part-time students 6 terms (two years) of study is required to fulfil the residency requirements. The requirements for MAcc and MBA students is 2 terms of full-time registration.

IV: Degree Completion Time Limits

There are maximum time limits for the completion of graduate programs. Candidates may also be subject to time constraints prescribed by their specific graduate program.

Master's Degrees

1.	Full-time students
	Full-time candidates must complete all degree requirements within three years from the date of first registration. The Master of Accountancy program is designed to be completed in two academic terms. In any case, candidates must complete all degree requirements within three years from the date of first registration. Full-time MSc programs will normally be completed in two years. All experimental work for the thesis shall normally stop by the end of the fifth term after initial registration and in any event, not later than the end of the second year (sixth term) after the commencement of study. Six months shall normally be allowed for analysis of data and thesis writing.
2.	Part-time student
	Part-time candidates must complete all degree requirements within five years from the date of first registration. Doctoral Degrees

1.	Full-time students
	Full time candidates must complete the thesis and course requirements within six years of registration as a full-time student.
2.	Part-time students
	Part-time candidates must complete all degree requirements within eight years from the date of first registration. Where a student is permitted to change status from full-time to part-time or vice versa, the fraction of time remaining under the previous status will apply to the new status. Permission to change status must be approved by the Chair of the graduate department and forwarded to the Office of Graduate Studies. Request to change status form available at: http://www.brocku.ca/gradstudies/forms.html Students who do not complete the program requirements within the time allotted, will be withdrawn from the program. Extension of time limits In exceptional circumstances, an extension of time permitting further registration may be granted. Extension requests, detailing the exceptional circumstances, must be received by the Office of Graduate Studies within the first month of the term in which the completion date expires and approved by the Dean of Graduate Studies. An extension will only be granted if approved by the graduate program concerned. A Time Limit Request Form can be found at: http://www.brocku.ca/gradstudies/forms.html

V. Registration Policies

All graduate students must maintain continuous registration in each successive term from the time of initial admission until degree requirements are complete. Students are responsible for ensuring that they register at the appropriate time for each term, as indicated in the academic calendar.

Students must remain continuously registered to the end of the term in which they complete the degree requirements.

Students who fail to register for any term, and who have not applied for inactive status or been granted a leave of absence, are considered to have withdrawn from their program of study. The student will be required to apply for reinstatement into the program. The request for reinstatement must be approved by the department and the reinstatement fee of $75.00 will be applied. If enrolment is allowed to lapse a second time, the student will not be readmitted. The department may also make recommendations regarding the retention of previous course credits.

Following initial registration in the major essay, thesis or project, graduate students (both full and part-time) must maintain continuous registration in each successive term, including the term during which the thesis defence is scheduled, until degree requirements are completed. Completion means that all corrections have been made to the thesis, project or essay and the final approved copy has been submitted to the department and the Graduate Record Form has been submitted to the Office of Graduate Studies. Should the Graduate Record Form not be received by the last day for late registration in a given term, the student will be required to register for that term. If registration is allowed to lapse, the student will be withdrawn from the program.

It is the responsibility of students to ensure that they are registered by the appropriate deadline date as designated in the registration materials. Students who fail to register by the due date will be charged a $50.00 late registration fee. Students will not be allowed to register after the official registration count dates of November 1, February 1 and June 30.

Registration Procedures

Newly admitted and continuing full-time graduate students (except for the MEd program) will register in person at the Office of Graduate Studies and will be advised of the registration deadline dates. All courses must be approved by the Chair, Graduate Officer or Program Director of the graduate program prior to registration through the Office of Graduate Studies.

Part-time students will receive registration materials by mail at their current mailing address. If a student has not received registration materials one week before the beginning of term, the Office of Graduate Studies should be notified.

Registration forms, including a cheque for tuition, must be returned to the Office of Graduate Studies by the due date indicated on the form.

A registration form will not be processed unless it is accompanied by the appropriate tuition fee or the appropriate form to defer payment through payroll deduction.

Credit will be given only for those courses for which the candidate is formally registered. A student will receive no credit for any work completed during a term in which the student was not properly registered.

Master of Accountancy

All students are required to register for both the Winter (January - April) and Fall (September - December) terms, unless they have received approval from the Accounting and Finance department for interruption of their program. Failure to register will be interpreted as withdrawal from the program.

Master of Business Administration

All students are required to register for both the Fall (September-December) and Winter (January-April) terms, unless they have received approval from the Faculty of Business for interruption of their program.

Master of Arts and Master of Science and Doctoral programs

All MA, MSc and PhD students must complete registration for each of the three academic terms of their program (Fall, Winter, Spring) unless they have received approval from the department for interruption of their program. Failure to register will be interpreted as withdrawal from the program.

Master of Education

MEd students are required to register in each of the academic terms, Summer(July-August), Fall (September-December) and Winter (January-April). Registration for all MEd students is via the World Wide Web. A MEd registration guide, which includes the current academic timetable and course schedules, is available at: http://www.brocku.ca/registrar/birtguides/masterofed/timetable/terms.html

Changes of Registration

MA, MSc, PhD, MBA, MAcc students

Students wishing to change their course registrations, must submit a Course Selection Add/Drop Form to the Office of Graduate Studies within the deadline date as published in the academic calendar. All changes to a student's registration requires the approval of the department/program.

MEd students

Students wishing to change their course registrations may do so through the Web system until BIRT closes for the session. After BIRT closes, students must submit the Course Selection Add/Drop Form form to the Office of Graduate Studies by the deadline date as published in the Master of Education Web Registration Guide and the Graduate Studies Calendar.

Audit Status

Students intending to audit a course rather than take it for credit, must declare this intention at the initial registration for the term. The consent of the instructor is required. Auditing permits attendance at classes only. No work will be evaluated.

Ontario Visiting Graduate Student Plan (OVGS)

The Ontario Visiting Graduate Student Plan allows graduate students of an Ontario university to take graduate courses at another Ontario university while remaining registered at their own university. The plan allows students to bypass the usual application for admission procedures. Admission is not complete until prior approval has been received from both the host and the home universities. A student who is classified as an Ontario Visiting Graduate Student will register and pay fees to the home university but will pay no fees to the host university. A description of the course must be attached to the form (course outline if available). No more than one credit (two half credit courses) will be allowed as OVGS credit.

Ontario Visiting Graduate Student forms are available from the Office of Graduate Studies or the Graduate Studies website http://www.brocku.ca/gradstudies/forms.html

Letters of Permission

A student may request a Letter of Permission from the Office of Graduate Studies in order to take a course or courses at another university (outside of Ontario) as a visiting student. The student must be in good standing, that is, having successfully completed a minimum of two graduate credits with a minimum overall B average. Brock credit will not be granted to students who Challenge for Credit, on Letter of Permission, at the host institution.

The student must indicate the specific course(s) he/she wishes to take and provide the Office of Graduate Studies with the course description(s) from the calendar of the host university. Course(s) requested should be relevant to a student's degree program and must be approved by both the student's academic department/program and the Dean of Graduate Studies. Approval shall be at the discretion of the department/program and Dean, who shall base the decision on the applicant's overall academic record, the appropriateness of the particular course to the applicant's program and on any other factors deemed relevant.

If a letter of permission is granted to a currently registered student, it will be provisional pending successful completion of the progression requirements for that session.

On return to the Office of Graduate Studies of the approved application, the Office of Graduate Studies will forward a Letter of Permission to the host university. Students should contact the host university to determine any course access limitations imposed on visiting students.

Students must formally request that the host university forward an official transcript to Brock. The transcript must be received within eight weeks of the course end date as specified on the application for the Letter of Permission. Failure to provide an official transcript will result in the automatic assignment of a failing (F) grade in each course attempted on the Letter of Permission.

Not more than one credit (two half credit courses) may be taken at other universities on a Letter of Permission to fulfil graduation requirements for any graduate program at Brock.

Courses taken on a Letter of Permission will not be included in the calculation of the graduate student's Brock University average.

Credit will be granted only when the course is completed successfully with a minimum grade of "B" or 70% at the host institution. Course credit will be granted equal in value to the course weight assigned by the host institution. Any course attempted under a letter of permission shall be recorded on the Brock University transcript as a Pass/Fail grade. The exact name and title of the course(s) taken, the name of the host institution, and the grade assigned by the host institution, will appear as a notation on the Brock University transcript.

If the selected course is dropped after the commencement of classes, notification in writing, and an official transcript or statement, must be submitted immediately by the student to the Office of Graduate Studies at Brock University.

Students granted permission to take the final course(s) of their program on a Letter of Permission must ensure that grades, in the form of an official transcript, are received by the Office of Graduates Studies by May 15 for those wanting to graduate at Spring Convocation and October 1 for those wanting to graduate at Fall Convocation.

Additional Courses

A full-time graduate student may, with the written permission of his/her supervisor and the Chair of the Department/Program Director, take up to two extra graduate or undergraduate half-credit courses above the requirements of the graduate program. No extra fee above that charged for the graduate program will be levied for these courses. For any other courses taken while the student is in a graduate program, regular fees will be levied.

These courses are subject to the same regulations regarding withdrawal, failure to complete the work, as are courses required for the degree.

Course Withdrawal

A student may withdraw in good standing from a course within the period established each term as published in the academic calendar. While it is a courtesy to inform the instructor of withdrawal from a course, this does not constitute official withdrawal from either a course or the University. Grades will be recorded on students' transcripts for all courses in which they have registered and from which they have not officially withdrawn.

MA, MSc, PhD, MAcc, MBA

Students wishing to withdraw from a course, must inform the Office of Graduate Studies by submitting a Course Selection Add/Drop Form by the deadline date indicated in the graduate calendar. Withdrawals are effective from the date that notification is received by the Office of Graduate Studies.

Master of Education

MEd students may withdraw from a course using the Web system while BIRT is available. After this date, students must submit a Course Selection Add/Drop Form to the Office of Graduate Studies. Withdrawals are effective from the date that notification is received by the Office of Graduate Studies.

Voluntary Program Withdrawal

Graduate students intending to voluntarily withdraw from a graduate program, must consult with the department concerned and submit the Voluntary Withdrawal Form to the Office of Graduate Studies. The form is available from the Graduate Studies website http://www.brocku.ca/gradstudies/forms.html. A student's financial account with respect to graduate funding and fees will be reviewed and any refunds/money owed will be determined. A withdrawal fee of $90.00 will be assessed.

VI. Evaluation of Student Performance

1.	Grades
	Standing in the graduate programs will be reported according to the following schedule of grades. A - 80, 82, 85, 88, 90, 92, 95, 98, 100 B - 70, 72, 75, 78 C - 60, 62, 65, 68 (no Graduate credit) F - 58 or lower (no credit) IN (Incomplete) Incomplete is a temporary grade granted to a student, in exceptional circumstances who has been unable to complete some part of the term work in a course. A grade must be submitted no later than 56 days from the last day of classes in each term. In the case of the thesis, major essay or project, An IN grade should only be granted when the thesis, major essay or project, an IN grade should only be granted essentially complete (only minor revision or thesis defence scheduling required). If the IN is not replaced by a letter grade within 56 days, the IN will be changed to the default grade. IP (In progress) A grade of IP may be awarded if a student fails to complete all course requirements within the prescribed time limit. A student who receives an IP grade for a course, must re-register for that course in the term following that for which an IP grade is received. With the exception of the thesis, major essay, project or proposal courses, no half credit graduate course shall be denoted IP for more than one term. NW (Not withdrawn) Pass/Fail A grade of P or F will be awarded for courses completed on Letter of Permission (LOP). The actual grade awarded and the institution that awarded it will be noted at the bottom of the official Brock transcript. Pass/Pass with distinction The grades Pass with distinction, Pass or Fail will be recorded for graduate thesis courses. For graduate courses, only the grades A, B, C, F, IN (Incomplete), IP (In Progress), NW (not withdrawn), Pass with distinction, Pass or Fail will be recorded on the transcript. Grades A, B and C are passing grades but graduate credit will only be given for grades A, B, Pass and Pass with distinction.
2.	Grading procedure
	Each instructor shall make available to the class at the beginning of the term, the method by which student performance shall be evaluated.
3.	Academic Performance Information
	Student academic performance information is available following the end of each term of study via Student Self Service, found at: http://rattler.ccs.brocku.ca/liveasp/dbbrock /. Only students with warning or important messages on their student file will receive a mailed Statement of Standing following the completion of a particular term of study. Final grades may only be released by the Office of Graduate Studies. Students with outstanding accounts will not receive their statement of grades until the account has been cleared.
4.	Minimum Academic Requirements for Continuation in a Graduate Program
	To continue as a graduate student, a candidate must achieve and maintain satisfactory academic performance with a standing of at least a B- in graduate courses. A candidate whose academic performance is considered to be unsatisfactory by the graduate program may be required to withdraw from graduate studies. If a failing grade is awarded for a major essay, project or thesis, the student will be withdrawn from the program.

VII. Research Policies and Procedures

1.	Research Involving Human Participants
	All research, funded or not, that involves living human subjects must be reviewed and approved by the Research Ethics Board (REB) before the research is started. The REB must also review research involving human remains, cadavers, tissues and biological fluids, embryos or fetuses. Researchers are aware of the importance of attending to ethical issues in the conduct of their research. However, not everyone may be fully aware of the broad scope of research that may require clearance. Some examples of research involving human subjects are when data are obtained through: . Intervention or interaction with a living individual(s), including interviews or when a questionnaire or survey is used; . Secondary and/or non-public sources, such as a database; . Identifiable, private information about an individual(s) such as that found in health records. Brock is responsible for the ethical conduct of research undertaken by its faculty, staff or students regardless of the location where the research is conducted. If you are conducting research at a facility outside of Brock (i.e. Niagara Health System, School Boards) REB review is required by any institution/agency having jurisdiction over the site of the research, where such exists. Please see: http://www.brocku.ca/researchservices/humanethics.htmlfor additional information and the procedures you must follow to obtain approval.
2.	Research Involving Animals
	All research that involves the use of animals must be reviewed and approved by the Brock University Animal Care and Use Committee prior to the initiation of such research or instruction. Please note that no work with animals can be ordered or obtained prior to approval of animal protocol by Brock Animal Care and Use Committee. See: http://www.brocku.ca/researchservices /animalethics.html for additional information and the procedures you must follow to obtain approval.
3.	Radiation and Biohazard Safety
	At Brock University, safety is everyone's responsibility. All members of the university community should be thoroughly familiar with their safety responsibilities, strive to follow safety practices at all times, act proactively to prevent accidents and injuries, communicate hazards to supervisors, and be prepared for emergencies that may occur in the workplace or on campus. The Brock University Safety Manual (created by the Faculty of Math and Science) and The Brock University Radiation Safety Policies and Procedures reaffirms the Universities commitment to safety and establishes a system and process to help individuals, and departments meet their health and safety responsibilities. See: http://www.brocku.ca/researchservices /ethicscertificationbiohazard.html for additional information.
4.	Field Safety
	Brock University is committed to ensuring that scholarship and research is carried out in s safe and responsible manner. In particular, Brock recognizes the importance of encouraging faculty members, staff and students to engage in research beyond the campus walls. However, while all research involves the assessment and management of risk, the level of risk can vary with scholarship. Risk in field research may include, but is not limited to, the risk to physical health emotional well-being and personal safety. The risks may arise because of the nature of the research itself, from the physical climate, or from the political, social, economic and cultural environment of the fieldwork location. It is the policy of the University to encourage such activities as may be appropriate to the scholarly needs of the research program of its faculty members, students, affiliated research personnel, and staff and to take every reasonable precaution to protect the personal health, safety and security of its participating members. In practice, responsibility for safety in field research rests primarily upon the persons who directly supervise and carry out the research on location. Such persons are expected at all times to exercise good judgement and must take all reasonable care in the circumstances to protect the personal health and safety of participating team members. See: http://www.brocku.ca/researchservices /ethicscertificationfieldsafety.htmlfor additional information.
5.	Integrity in Research and Scholarship
	Integrity is fundamental to the process of research and scholarship and misconduct damages the entire academic enterprise. While responsibility for maintaining standards of conduct in research and scholarship resides with all members of a research team, it is the responsibility of the university to provide an atmosphere which fosters the highest standards of integrity. Accordingly, Brock University acknowledges and accepts responsibility for maintaining ethical standards in research and scholarship, and agrees to investigate and resolve promptly and fairly all instances of alleged misconduct. It is the purpose of this policy to set down principles that promote integrity in research and scholarship, to define categories of misconduct in research and scholarship, and to establish procedures to investigate allegations of research misconduct. It is expected that all faculty, other employees, including those employed on grants and contracts, and students who engage in research at or under the auspices of Brock University will acquaint themselves with this Policy and all existing regulations and codes of conduct before commencing or continuing with any further research (Section III: 9.10 Research Ethics, Faculty Handbook; Article 10 Academic Freedom, Article 11 Rights and Responsibilities of Faculty Members, Article 13 Conflict of Interest, Article 26 Patents, and Article 27 Copyright of the BUFA/Brock Agreement on the Terms and Conditions of Employment for Faculty; Academic Regulations and other appropriate sections of the Undergraduate and Graduate Calendars; and all future policies and regulations or codes of conduct respecting research and scholarship that may be introduced at Brock University). See: http://www.brocku.ca/researchservices /eithicscertificationintegrity.html for additional information.
6.	Intellectual Property
	For work done by a student, research assistant or post doctoral fellow, Brock has the following guidelines related to the interpretation of copyright and other aspects of intellectual property rights. These guidelines distinguish, in general, between items done solely by the student and those undertaken as part of a joint research effort. In the former case, the intellectual property is primarily the student's, but the University reserves certain rights as detailed in the remainder of this section. In the latter case, the intellectual property rights involve the student, the research supervisor (and possibly other individuals as well), the University, and on occasion the financial sponsor of the research. (If the work is anticipated to have commercial possibilities, it is required that the parties involved agree in writing beforehand on the sharing of any financial returns.) While no policy can anticipate or cover all possible situations, the University Policy on Integrity in Research and Scholarship and these guidelines are intended to cover the rights of current and former Brock students, research assistants and postdoctoral fellows both while attending the University, and after they leave the University, whether with or without a degree. Similarly, while it is difficult to provide a definitive definition of intellectual property (IP), the Government of Canada (Consumer and Corporate Affairs Canada: "Intellectual Property: What It Means To You") indicates that there are at least six types of IP:

1.	Patents, for inventions and the creation of new kinds of technology;
2.	Copyrights, for literary, educational, artistic, dramatic and musical works;
3.	Trademarks, for words, symbols or pictures used to distinguish the goods or services of one person from those of another;
4.	Industrial Designs, for the shape, pattern or ornamentation of an industrially produced object;
5.	Integrated Circuit Topographics;
6.	Plant Breeders Rights.
	At Brock, given our mission and types of undergraduate and graduate programs, the most likely types of intellectual property to be created includes theses, dissertations, cognate essays, research papers, books, poems, plays, scripts, essays, articles, dictionaries, maps, lyrics, musical scores, sculptures, paintings, photographs, films, videos, tapes, computer software, databases, records, tapes, cassettes, educational materials, WEB based materials and inventions (new kinds of technology). To be protected by law, an item must satisfy three criteria: a) it must be an original creation; b) it must be a specific expression of an idea, not the idea itself; and c) the item must be fixed in a physical form. These creations may occur via term papers, theses or dissertations, research or cognate essays, course projects, cases, studio or laboratory assignments, etc Examinations, Reports and Papers Done as Part of Course Requirements When work that is eligible for copyright is submitted to meet a requirement of a course, the University acknowledges the student's ownership of the copyright, but places the following conditions on the submission of the work to meet course requirements.

a)	The original physical document becomes the property of the University. This applies particularly to examination answer scripts, and may also be applied to term papers and other course work.
b)	Except for examination answer scripts, the University receives a royalty free, non-exclusive licence to make copies of the work for internal use within the University, and to circulate the work as part of the University library collection.
	Theses and Master's Project Reports As with other papers, the University recognizes that the student holds copyright to the finished thesis. Copies of the thesis shall have on them in a prominent place on the title page the international copyright notice. The student is required to sign a licence to the University library and an additional licence to the National Library. These licences grant the two libraries permission to reproduce the thesis and to circulate it, but do not affect ownership of the copyright. However, the University also recognizes that the ideas in the thesis will often arise from interaction with others. In some cases, this interaction will have been solely with the thesis supervisor; in other cases, a larger research team will have been involved. For this reason, it is understood that the copyright refers only to the written document of the thesis. The ideas themselvesincluding any advances in theory, data, patentable ideas, or commercial exploitation of the workmay or may not be the exclusive property of the student. For the student who has worked closely with a supervisor, or as part of a research group, the rights to publish, patent or commercially exploit the results of the research are shared with the supervisor and/or the research group, and with the University. In those cases in which the work has been supported in part by research grants or contracts, there may be other conditions affecting any patent or commercial exploitation. (The student should be made aware that such conditions might apply before work begins and bears some responsibility to enquire as to details if they have any concerns.) Computer Programs Computer programs written as part of employment duties, as for example by a teaching assistant, are the property of the employer, as specified in the Copyright Act. Computer programs written as part of course work, a project or a thesis may also have value as a potentially marketable intellectual property. The University recognizes that such software may arise in two different ways, and accordingly has two policies. In setting forth these policies, it is understood that in those cases in which software development draws upon other software owned or licenced by the University, the terms and conditions of the licence or purchase must be followed.

a)	Where a student develops such software at the direct request of a supervisor, and under supervision, it is assumed that there is joint ownership of the intellectual property rights. In such cases, it is recommended that the individuals involved co-author a working paper documenting the software, rather than including it as an appendix to a thesis or report. Prior agreement between the student and supervisor that this is to be the case would be helpful.
b)	Where a student develops such software on his/her own, as for example for an independent project in a course, copyright remains with the student. As a condition of using University computing facilities, the student is required to grant the University a royalty-free licence to use the software. This includes the right of the University to distribute copies of the software to Brock faculty, staff and students for the University's administration, education and research activities. This licence does not include the right to use the software for commercial purposes.
	Research Data As with computer software, the University recognizes that research is conducted and data are acquired in two different fashions. When the data are acquired as part of a joint or collaborative effort, such as one relying on the equipment within a laboratory, they are not solely the property of the student, although some of the data may ultimately appear in tables or appendices in a completed thesis. As a general rule, such data are the joint property of the student and the research supervisor, either of whom has the right to make them available to other individuals as well. Both student and supervisor are responsible for insuring that proper acknowledgment of the contributions of the student, supervisor, and other members of the research team is made when the data is released in any form. When the data is acquired through the student's individual effort, and without the use of University laboratories or funding, then it is usually the property of the student making that effort. However, exceptions may occur when the student collects data using research instruments including interview schedules and questionnaires developed wholly or in part by the research supervisor or by some other person or agency. In such instances the right to ownership and/or use of the data may be shared among the parties involved. Given the range of possible alternatives it is not possible to set absolute guidelines in advance covering all such situations. Consequently, it is strongly recommended that students and supervisors make clear agreements in advance concerning the ownership and use of data collected in this fashion. Ownership of data may also be affected by the terms of a research contract that has supported the work. Equipment If University resources have been applied to the construction or design of equipment, it is not the property of the student, but of the University. Equipment constructed or designed as part of course or thesis work is the property of the student if the work, materials, and workroom space have been provided by the student or other non-University source. Ownership of newly constructed equipment may also be specified in a research contract that has supported the work. Intellectual Property Form All graduate students must read and familiarize themselves with the Intellectual Property guidelines and policies of the university and sign an Intellectual Property Form indicating their agreement with the guidelines/policy or indicating the specific arrangements they have made with their graduate supervisor that differ from these policies. See: http://www.brocku.ca/gradstudies/forms.html

VIII. Graduate Supervisor and Supervisory Committee

MA, MSc, PhD Programs

The department will appoint a Supervisory Committee for each graduate student consisting of the Chair of the Department/Program Director (or his/her delegate), the Graduate Supervisor and an additional faculty member (who need not be a member of the department).

In the absence of the Graduate Supervisor (e.g., on sabbatical), the Chair of the Department/Program Director in consultation with the Supervisory Committee, shall ensure that a resident faculty member is responsible for overseeing the student.

A full-time student's progress in the thesis option should be reviewed at least twice a year by the Supervisory Committee, a part-time student's progress at least once a year. Additional meetings may be called at the request of the student, other members of the committee or the Chair of the Department/Program Director. A full-time student's progress in the major essay option should be reviewed at least twice a year by the Chair/Program Director and/or Graduate Officer, a part-time student's progress at least once a year. Additional meetings may be called at the request of the student, other members of the committee or the Chair of the Department/Program Director.

The Supervisory Committee shall review:

. the student's course and ancillary requirements

. the thesis or major essay/project and progress of research

. the student's course performance

Recommendations should be made to the Chair of the Department/Program Director if the student is to be placed on probation or recommended for withdrawal from the program. The Chair/Program Director will pass the recommendation to the Dean of Graduate Studies.

Departments/Programs may wish to have the student present at an open "planning seminar" which outlines the thesis/major essay problem and proposed approach. It is recommended that, for thesis students, an open "progress seminar" be presented by the student several months before completion of the thesis.

If a candidate's graduate supervisor leaves Brock during the student's program, the following options are open to the student:

. Transfer by the student to the university to which the candidate's former supervisor has moved. In most cases, graduate credit will be given for work done at Brock:

. The candidate remains at Brock and changes supervisor and perhaps project.

. The student opts to complete the existing project. In this case, the University may seek advice from experts off campus or may arrange for the student to work off campus. It will be the responsibility of the Supervisory Committee (augmented, if necessary, by outside expertise), to advise the candidate on all matters regarding the thesis research and preparation. The department is not precluded from seeking advice from the former faculty member, but the former faculty member has no privileged position with respect to the project and thesis; the Supervisory Committee will take precedence in all cases. All special arrangements must be approved by the appropriate faculty Dean and the Dean of Graduate Studies.

IX. Examination of Thesis Candidates

The research thesis will be assessed, after a public oral examination, by an Examining Committee. This committee struck by the Dean of Graduate Studies in consultation with the Dean of the Faculty, will consist of at least the Chair of the Department/Program Director (or nominee), the Dean of the Faculty (or nominee), either of whom may chair the committee; an External Examiner (optional) and the Supervisor. The chair of the committee, in consultation with the committee, may choose an additional faculty member from another department and the Dean of Graduate Studies may, in special cases, nominate a member.

Prior to the thesis examination, a minimum of four copies must be submitted to the Chair of the Department/Program Director. In the experimental sciences, the candidate will additionally deposit, with the candidate's Supervisor, all field and laboratory notebooks, together with all other original data records, spectra, samples and specimens, etc. which will be retained as the property of the Supervisor or Department/Program as appropriate. Where research on human subjects has been involved, all original materials which contain subject identification shall be turned over to the supervisor for disposal or safekeeping as required by the appropriate guidelines. The student is expected to bring an additional copy of the thesis to the examination. All typing and other costs of preparing the thesis are the responsibility of the student.

The oral examination of Master's or Doctoral candidates will not involve a comprehensive examination distinct from the thesis presentation and defence, though a comprehensive examination may be part of the requirement of a course, such as a broad survey or methodology course. Questions related to, but not directly covered in the thesis, may be asked at the defence.

The External Examiner will be principally responsible for provision of an independent and objective evaluation of the academic quality of the thesis. The External Examiner will be appointed by the Dean of Graduate Studies on the advice of the faculty Dean and Chair of the Department/Program Director (after consultation with the Supervisory Committee) from a list of names supplied by the Supervisory Committee. The External Examiner is not to be regarded as an ad hoc member of the Supervisory Committee. The committee and the chair shall determine the nature and extent of contributions made to the thesis during its development by all potential external examiners. Casual knowledge of the thesis by a potential external examiner shall not necessarily constitute grounds for precluding such an individual from invitation to serve as an external examiner.

While external examiners need not be academics, professional competence in the field of the thesis is important and they may be from industry, government agencies, etc.

The thesis should be approved by at least the Supervisor and one member of the Supervisory Committee before being forwarded to the External Examiner. In case of disagreement between the Supervisor and the member, the Chair of the Department/Program Director shall decide the issue.

The Dean of Graduate Studies will define the role of the External Examiner and will request a written evaluation prior to the defence. If the evaluation is so unfavorable as to jeopardize the approval of the thesis, the defence should be postponed and the Chair of the Department/Program Director will set up an ad hoc committee to recommend a subsequent course of action.

A recommended format for the defence is as follows: The candidate will present a public seminar outlining the study (preferably limited to 30-40 minutes). This will be followed by a period of "open" questioning in which all present may participate. Immediately following, the Examining Committee may meet with the candidate in camera for a further period of "closed" questioning. The Examining Committee will then evaluate the thesis and defence. Approval of the thesis will require acceptance by two-thirds of the committee and must include approval by the External Examiner. If revisions are necessary, the committee will specify the areas for revision and the date by which the revised, typed thesis is to be returned (to the Chair of the Department/Program Director concerned). This date will normally be within three months of the examination or six months if additional research is required.

In the instance of a failed defence, the candidate may, at the discretion of the Examining Committee, be permitted a second and final thesis submission and defence. This will be scheduled for no later than one calendar year after the original presentation and defence. In the preparation of the thesis for resubmission, the candidate will be guided by the written criticisms of members of the Examining Committee. Under normal circumstances, the composition of the Examining Committee for the second thesis defence will be identical to that of the original Examining Committee.

A fee may be charged for re-examination.

Appeals relating to the procedures followed in a thesis examination or to the grade

X.Evaluation of Major Essay or Project Candidates

A typed or printed copy of the major essay or project for MA and MEd programs shall be assessed by the Supervisor and by (at least) one other member of the Supervisory Committee. Assessment shall involve an independent reading of the final copy of the major essay or project by (at least) two readers. The readers shall, following discussion, agree on the final grade. In the case of disagreement, the average of the two grades to the nearest appropriate number will be assigned. If, following a decision on the grade, revisions are required, the Supervisor will specify the areas for revision, and the date by which the revised copy is to be returned to the Chair of the Department/Program Director (normally within three months of the evaluation). Final assignment of the grade will be withheld until a satisfactory revised copy is returned to the Chair of the Department/Program Director.

The departmental copies of MEd projects will be housed in the Instructional Resource Centre. As a condition of engaging in graduate study in the University, the author of a MEd project grants certain licenses and waivers in respect of the circulation and copying of the project. The Instructional Resource Centre is permitted to circulate the departmental copy of the project and make single copies for another library or similar institution or for an individual for private study and research. Under certain circumstances, the Department of Graduate and Undergraduate Studies in Education may delay the circulation and copying of a project for a period of up to twelve months from the date of completion.

XI. Preparation, Submission and Deposit of Thesis

1. a) Submission of thesis: when the thesis is in its final form after the oral examination, the graduate program will submit, in unbound form, four copies of the thesis, to the Office of Graduate Studies. The thesis must be free from typographical and other errors and all copies must be identical in content, each containing all illustrations, charts, maps, figures, tables and appendices as approved by the Examining Committee. Each copy of the thesis must contain a copy of the Certificate Approval signed by each member of the Examining Committee. The thesis must be accompanied by the candidate's Graduate Record Form and copy of the National Library of Canada (NLC) Non-Exclusive License to Reproduce Theses.

b) Submission and Binding: the University Library will arrange for the submission of the thesis to the Theses Canada Program and for the binding of the thesis. A fee is levied at registration to cover the cost of the submission to the Theses Canada Program and binding. The Library can arrange binding of additional copies of a thesis at the candidate's expense.

c) Disposition of Copies: after binding, the copies will be dispersed as follows:

. Original copy: will be catalogued and placed in the University Library for consultation;

. Copy 1: will be bound and returned to the graduate program for its files;

. Copy 3: will be bound and returned to the candidate

. Copy 4: will be forwarded to ProQuest/UMI to be reproduced on microfiche and digitized in PDF format on behalf of Theses Canada.

4. d) Circulation and Copying: in normal circumstances, as a condition of engaging in graduate study in the University, the author of a thesis grants certain licenses and waivers in respect of the circulation and copying of the thesis:

. to the University Library - permitting the consultation of the thesis as part of the Library collection and the making of single copies for another library or similar institution or for an individual for private study and research

. to the Theses Canada Program permitting the reproduction, loan, distribution and sale of the thesis. To this end, National Library of Canada (NLC) Non-Exclusive License to Reproduce Theses must be completed and submitted with the thesis. Theses are reproduced on microfiche and digitized in PDF format by ProQuest/UMI on behalf of Theses Canada. An ISBN is assigned to each thesis using the NLC's prefix. Two copies of the theses on microfiche are sent to the NLC and one copy to the submitting university.

5. Under certain circumstances, the Dean of Graduate Studies may delay the circulation and copying of a thesis for a period of up to 12 months from the date of successful defence.

e) Copyright: in order to claim copyright, the author of the thesis must ensure that all copies of the thesis bear the International Copyright Notice at the bottom of the thesis title page. The notice consists of three elements printed on one line:

. the name of the copyright owner, the author

. the year of completion

XII. Academic Misconduct

1.	Definitions
	Academic misconduct may take many forms and is not limited to the following:

A.	Exams and Tests
	. impersonation of a candidate in an exam or test . copying from another student, or making information available to other students knowing that this is to be submitted as the borrower's own work . use of unauthorized material . submission of a take-home examination written by someone else
B.	Laboratories
	. copying a laboratory report, or allowing someone else to copy one's report . using another student's data unless specifically allowed by the instructor . allowing someone else to do the laboratory work . using direct quotations or large sections of paraphrased material in a lab report without acknowledgment . faking laboratory data
C.	Essays and Assignments

2.	Procedures
	Students shall not be penalized for suspected academic misconduct. It is the responsibility of the instructor to demonstrate the accuracy of the charge. If the instructor can document a case of academic misconduct, the instructor shall inform the Department Chair/Program Director and the Office of Graduate Studies; the latter will not process any application for withdrawal from the course pending the outcome of the investigation of the case. If a charge of academic misconduct is subsequently brought by the instructor, no withdrawal from a course shall be considered valid. The instructor and the Chair/Program Director together will interview the student, inform the student that he/she is being charged with academic misconduct and attempt to discover whether there are any extenuating circumstances. If upheld by the Chair/Director, the case will then be referred to the appropriate Dean along with any necessary observations and/or recommendations from the Department/Centre/Program. The student may, if wished, be accompanied to any interviews by one of the departmental student representatives or faculty, staff or student member of Brock such as, but not limited to, a representative from the Student Development Centre or the Ombuds Officer. If the Dean is satisfied that a case of academic misconduct has been proven, he/she should inform the Office of Graduate Studies who, in the case of first offenders, will insert a permanent note in the student's file. The Office of Graduate Studies will inform the student in writing, of the action taken and outline the possible penalties for future infractions. The Office of Graduate Studies will note the transgression on the student's transcript in the case of second offenders. The notation will be removed from the transcript when the student graduates or three years after the last registration.
3.	Penalities
	A Dean who is satisfied that academic misconduct has occurred may impose the following sanctions: . oral or written disciplinary warning or reprimand . lower grade or failure on the assignment or examination . failure in the course . suspension from the University for a definite period . notation on student's official transcript . withholding or rescinding a Brock degree or certificate

XIII. Appeals

All graduate students have the right to appeal academic decisions. An appeal is a request that an academic decision (e.g., a grade or standing in a program) be changed, based on the evidence supplied by the student or that a regulation be waived on compassionate grounds or because of extenuating circumstances.

1.	Types of Appeals

A.	Appeals of grades
	Students who have a question regarding an academic decision in a course should first discuss the matter with the instructor and for an academic decision on their thesis, project or major essay, with their supervisor. In the event of disagreement, the student should refer the matter to the Chair of the Department/Program Director. If not satisfied, the student must then refer the matter to the Dean of Graduate Studies. If the student is not satisfied with the decision of the Dean, the student may then appeal to the Special Subcommittee for Graduate Appeals in care of the Office of Graduate Studies. Appeals of final grades, including the assignment of a failing grade for non-attendance in a course, must be made within 180 days of the mailing of grades by the Office of Graduate Studies. Failure in itself is not a valid reason for appeal. If the absence of the instructor, or other factors make an appeal within 180 days impossible, the intention to appeal should be indicated to the Chair of the Department/Program Director within 180 days of mailing of grades by the Office of Graduate Studies.
B.	Appeals Related to Academic Requirements/Decision

2.	Appeals procedures

Method of Appeal to the Special Subcommittee for Graduate Appeals

All appeals directed to the Special Subcommittee for Graduate Appeals must be received in typewritten form. Submissions not received in this form will be returned to the student without a decision. Appeals should be submitted to the Secretary of the Special Subcommittee for Graduate Appeals in care of the Office of Graduate.
Appeals must clearly state the arguments and expectations of the student. The onus is on the student to demonstrate the validity of their appeal and to provide full and appropriate supporting documentation. Dissatisfaction with University policy and ignorance or neglect of published deadlines will not constitute sufficient grounds for appeal.
Appeals of academic decisions must be made within 180 days of the date of the letter informing the student of the academic decision or within 180 days of the mailing date of the Statement of Standing which informs the student of the academic decision and/or final grade.
Appeals based on emotional or medical problems must be supported by a certificate from a licensed medical practitioner or other professional indicating specifically the student's inability to fulfil the requirements being appealed.

Last updated: July 29, 2004 @ 02:09PM