GDR EDUCATION SOCIETY’S

RUNGTA COLLEGE OF ENGINEERING & TECHNOLOGY,

BHILAI

SERVICE RULES / RECRUITMENT PROCEDURE/

PROMOTION POLICY /

PAY PACKAGES/

INCENTIVES

RUNGTA COLLEGE OF ENGINEERING & TECHNOLOGY,

KOHKA-KURUD ROAD, BHILAI (CG).

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PRILIMINARY

1) These rules shall be called the “Rungta College of Engineering & Technology, Bhilai, Service and Conditions of Employment Rules.”.

2) These rules shall apply to all the teaching and non-teaching employees of the college.3) These rules shall come into force with effect from 01-07-2005.4) (A) A copy of these rules shall always be kept in the office of the college and in the college

library and shall be made available to any employee on request. However an employee will not be allowed to take it outside the office.(B) A copy of these rules shall be made available to any employee on demand, charging at cost price.

DEFINITIONS

(A)The “Rules” mean the, GDR Education Society’s Rungta College of Engineering & Technology, Bhilai service and conditions of employment Rules.

(B) The “Managing Committee” Means the Managing Committee of “GDR Education Society”, Durg.

(C) The “Governing Body” means the governing Body of the Rungta College of Engineering & Technology, Bhilai.

(D)The “Chairman” means the Chairman of the managing committee of GDR Education Society, Durg.

(E) The “Director” means the Director of Rungta College of Engineering & Technology, Bhilai.(F) The “Principal” means the Principal of Rungta College of Engineering & Technology,

Bhilai.(G)“Competent Authority” means the Managing Committee of the GDR Education Society,

Durg or the appointing authority whom the power is delegated by the Managing Committee.(H)“Contract” means an agreement entered in writing between the Principal/Director or the

competent authority and an employee.(I) “Employee” means a person appointed by the competent authority and employed in the

college.(J) “Department” means any department of the college and so declared by the Chairman or the

Governing Body as the case may be.(K)“Head of the Department” means any person for the time being appointed and so declared

by the Chairman or the Governing Body or the Competent authority.

CLASSIFICATION OF EMPLOYEES

The employees shall be classified as:-1) Permanent Employees2) Probationary Employees3) Officiating Employees4) Temporary Employees5) Casual Employees6) Apprentice Employees

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(I) “Permanent Employee” means an employee who is appointed by the competent authority and who is in the exclusive employment of the college and has been confirmed by an order in writing, or who has been engaged on permanent basis.

(II) “Probationary Employee” means an employee who is appointed in a clear vacancy by competent authority on probation for a period which is in general not more than two years. This probationary period may be extended by the competent authority by a further period of six months. During probationary period if the work of an employee is found to be non satisfactory, his services may be terminated with a notice of one month. The employee shall be deemed to be confirmed, if no decision is taken by the Governing Body or the Chairman within three months from the date of expiry of probation period of an employee.

If a permanent employee is employed as a probationer in a new post, he may at any time during the probationary period, be reverted to his substantive post.

(III) “Officiating Employee” means an employee officiating on a post where the employee performs duties of the post on which another employee has a lien or which is temporarily vacant.

(IV) “Temporary Employee” means an employee who has been engaged on temporary basis or engaged by contract in writing for specific period for specific work. The competent authority may appoint him on permanent basis after the expiry of specific period or contract.

(V) “Casual Employee” means an employee whose employment is purely of a temporary nature engaged on the basis of a Muster Roll and includes work-charged employees.

(VI) “Apprentice Employee” means an employee who is a leaner and who may or may not be paid stipend during the period of his training.

Every employee as defined above shall be employed by an order in writing by competent authority with the terms and conditions of services as may be stated therein, except in the case of casual or apprentice employees who may be appointed on Muster Roll or by mere letter in writing by the competent authority. If the competent authority fails to mention any terms or conditions of service in appointment order, then these rules shall be deemed to be service & conditions of employment.

RECRUITMENT & CATEGORISATION

No candidate shall be employed as an officer or servant of the college, if

(A) He has been dismissed for misconduct from his own service or from any other college or statutory body.

(B) He has been dismissed for misconduct from Government Service.(C) He has been convicted for an offence which in the opinion of the competent Authority

involves moral turpitude.

A Candidate selected for appointment shall furnish satisfactory evidence regarding

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(A) Age.(B) Good Character.(C) Backward or Schedule Cast Certificate(if applicable).(D) Prescribed qualification for the post applied. (E) Good Health.

(A) CLASIFICATION OF STAFF

(a) The staff of the college in general be classified in categories viz.:

(I) Teaching Staff : Director/Principal, Professors, Assistant Professors, Lecturers, Workshop Superintendent, Instructors, etc.

(II) Non-Teaching Staff : Registrar, Office Superintendents, Clerical Staff, Accountants, Cashier, Laboratory Attendants, Laboratory Assistants, Mistries, Electricians, Peons etc.

(III) Menial Staff : Hamals, Sweepers, other workmen, etc..

(b) The competent authority may employ staff on temporary basis in any of the above categories and also employ casual & apprentice employees or employees on contract.

(B) PROCEDURE OF APPOINTMENTSThe Director/Principal:The selection committee for appointment of the Principal shall be of:(i) Chairman of the foundation society or his nominee (Chairman).(ii) Secretary of the Foundation Society.(iii) Nominee of the Vice Chancellor.(iv) Nominee of the Government of Chhattisgarh/AICTE.(v) The experts as decided by the University.

The committee structure may change from time to time as decided by the AICTE/the University.

The qualifications and experience for the post shall be as laid down by the AICTE and/or the affiliating University from time to time.

The Director/Principal shall be the Executive and Academic head of the College.

The Director/Principal shall participate in the teaching work of the college.

Subject to the general control of the Governing Body, the Director/Principal shall be responsible for:

(I) Admissions of the students and disciplines of the college.(II) Management of the college Library, Laboratories, Workshop, Hostels, etc.(III) Correspondence of the college.(IV) Generally all the administration and supervision of the college as an institution

admitted to the privileges of the Pt. R. S. University, Raipur/ CSVTU, Bhilai/ Govt. of Chhattisgarh.

Disciplinary action taken by the Director/Principal against any student shall be final and shall not be liable to be revised by any Body or Authority.

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The other job responsibilities of the posts shall be as prescribed by AICTE / affiliating University from time to time.

(C) TEACHING STAFF- PROFESSORS, ASSTT. PROFESSORS, LECTURERS

The selection committee shall consists of: (I) Chairman of the foundation Society or his nominee (Chairman).(II) Director/Principal of the college(Secretary).(III) Nominee of the Government./ Nominee of the Vice Chancellor (IV) The University appointed subject experts. (V) Head of the Department of the subject concerned or the Senior most teacher of the

subject in the college (Co-opted).

The committee structure may change from time to time as decided by the AICTE/the affiliating University.

The qualifications and experience for the posts shall be as laid down by the A.I.C.T.E. or the affiliating University from time to time.

The job responsibilities of the posts shall be as prescribed by AICTE / affiliating University from time to time.

(D) ALL OTHER STAFF

The Selection Committee shall consist of:(I) Chairman of the Foundation Society or his Nominee (Chairman).(II) Director/Principal of the college.(III) Two members of the Governing Body to be appointed by the Governing Body.(IV) Head of the Department or Senior most member of the Department.

When an appointment is to be made, application shall be invited by notice to be published at the college office and in leading Newspapers.

The selection committee shall consider all the applications and interview such candidates as it may consider suitable for appointment and submit to the Governing Body a list of such members as may be fixed by the Governing Body, in the order of preference.

A candidate selected shall have to execute a bond on prescribed form, and prescribed period if so desired by the appointing authority.

WORKING HOURS

Working hours for a week shall be 40 hours excluding recess of half an hour each day, except Saturday, which shall be a half working day. The work load for teachers shall be as decided by AICTE / the affiliating University from time to time.

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The time of work will be fixed by the competent authority as per requirement of the College and looking into the general benefit of the students. The staff will have to observe the working time as notified by the Competent Authority.

ATTENDANCE & LATE COMING

Every employee shall sign attendance register before starting the work. He shall be at work at the time fixed and notified.

It a teaching staff member having lecture/practical at notified time comes late, the head of the Department /Principal/Director, at their discretion may ask him to take half day/ full day casual leave. This concession shall not be claimed by the staff member as a matter of right and will be considered as misconduct if there is a repetition of such late coming and will be liable for suitable punishment.

Any employee who does not attend the duty within 15 minutes of the notified time, but report before the expiry of one hour shall be liable to be marked late by the section officer / Head of the Department concerned at his discretion. If there is a repetition of such late coming, for every three days of late coming during a month, he shall be liable to forfeit one day casual leave, and in case no casual leave is at his credit, he shall be liable to leave without pay.

Late attendance up to one hour may however, be condoned by the section officer / Head of the Department concerned if an employee obtains prior permission for such late coming or sends a pre-intimation to that effect in writing.

If the employee attends office late after one hour but before the break for recess, he shall be deemed to have availed half day’s Casual leave. If he comes late even after the time fixed for recess it shall be the discretion of the section officer/Head of the Department concerned either to allow him to work on such conditions as he may deem fit or not to allow him to do work, and mark him absent.

Notwithstanding any thing hereinbefore contained, it shall be the discretion of the Head of the Department to stop a particular employee from work in case of late coming as said above and treat his absence as leave without pay.

Notwithstanding the duty hours fixed, no employee who has to give charge of his duty to other employee on expiry of such duty hours shall leave his place of the duty until such time the other employee arrives and takes charge from him.

OVER-TIME

Over time allowance will be not given to employees for working after the notified hours in emergency. The Head of the department/Section Officer may, at his discretion, consider this aspect for late coming on an occasion.

COMMENCEMENT OF SERVICE

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The service of an employee shall commence from the date on which he reports for service and he shall be entitled, to salary from that day if he reports on duty before 1-30 PM or from the next day if reports to duty after 1-30 PM.

SENIORITY

(I) Employee shall rank for seniority in the grade appointed according to the dates of their employment of service.

(II) When the post is filled by open competition, Seniority of the candidates selected at the same interview should be in the order in which they are ranked by the selection committee, provided they join within one month from the date of issue of the order.

(III) When a holder of any post in a grade is reduced to a lower grade, he shall be placed at the top of the later, unless the authority ordering such reduction directs that he shall rank in such lower grade next below any specified number thereof.

PROMOTIONS

All departmental promotions shall be made on the basis of seniority-cum-merit and performance.

All departmental candidates selected for higher post shall be deemed to be promoted to higher post and shall be treated as on probation for a period of one year to be extended to two years and shall be liable to be reverted during the period of probation to his original post.

The AICTE guidelines issued from time to time shall be used for promoting the teachers viz. the Career Advancement Scheme of AICTE.

FIXATION OF PAY

Persons selected shall ordinarily start on the minimum of time scale. Provided, however, it shall be the discretion of the appointing authorities to fix the starting pay of any deserving candidate at a subsequent stage in the time scale as specified by AICTE for teaching & Govt. of Chhattisgarh for non-teaching.

In appointment to a higher grade, the basic pay of an employee shall be fixed at the minimum of the scale or at the stage in the new scale which is next above his basic pay in the old scale whichever is more.

In case covered by the above clause, if the employee has previously held the same post or similar post, then the initial pay shall not be less than the pay which he had on the last such occasion.

INCREMENTS

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An increment shall be given as a matter of course unless it is withheld. An increment may be withheld by the appropriate authority, if the conduct of the employee has not been good or his work has not been satisfactory. In ordering the withholding of an increment, the withholding authority shall state the period for which it is withheld and whether the postponement shall have effect of postponing future increment.

When an efficiency Bar is prescribed in a time-scale, the increment next above the bar shall not be given to an employee without the specific sanction of the Governing Body.

All duty in a post on a time-scale counts for increment in that time-scale.

Leave, other than leave without pay, shall count for increment in the time-scale of the post in which the employee has been working.

Service rendered in a post carrying lower time-scale will not count for the increment in the higher post without specific sanction of the Governing Body or the managing Committee in each case. Should a college employee while holding one post be appointed to officiate in the higher post shall, if he is reappointed to the lower post count for increments in the time-scale applicable to such lower post.

Service rendered in a time-scale post during the period of probation shall count as service towards increment.

Service rendered in a temporary post shall count for increment, provided the post is on a prescribed time-scale.

LEAVE

1. Every employee in the college shall be governed by leave rules mentioned below. All the leaves accounts shall be maintained by the Director/Principal, in his office for each employee in terms of all leaves granted other than casual leaves.

2. Leave is earned by the duty only. Leave can not be claimed as a matter of right. When the college so requires, discretion to refuse or revoke leave of any type is reserved by the authority empowered to grant the leave.

3. No employee shall remain absent without previous permission and order in writing from the competent authority and if he does so, he may be liable for disciplinary action for misconduct. In case of emergency however, it is essential that an employee should intimate in writing about his absence to the office on the same day.

4. It shall be the duty of the employee to give his permanent postal address before proceeding on leave.

LEAVE RULES

1. Casual Leave:

(I) The amount of casual leave allowed to a College employee shall be 12 days in a calendar year subject to maximum of 7 days at a time. In exceptional circumstances leave more than 7 days at a time may be granted by the Competent authority.

(II) An employee may avail half day’s Casual leave under unforeseen or unavoidable circumstances. However it should not be a regular feature.

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(III) Sundays and/or Holidays may be prefixed and/or suffixed to casual leave or may be enjoyed between the casual leave.

(IV) Any new employee should be allowed to avail the casual leave in such proportion of 12 days commensurate with the period of duty rendered by him during the calendar year.

(V) Any casual leave not availed by an employee during the year shall be converted to EL at the end of the calendar year.

(VI) All applications for casual leave shall be as far as possible be submitted before the date on which casual leave is required.

(VII) (a) In case of Director/Principal, the grant of casual leave shall rest with the Chairman/Governing body.

(b) In case of HOD, the grant of casual leave shall rest with the Principal/Director.(c) In case of other teaching staff, the grant of casual leave shall rest with the H.O.D.(d) In the case of other staff, the grant of casual leave shall rest with the Section Head or

H.O.D. (e) Casual leave account of the employees shall be maintained by respective sections or

Departments.

NOTE : If there is a tendency to misuse casual leave, authorities may refuse casual leave if it is believed that it is without adequate ground and/or treatment of absence may be as leave without pay when an employee has remained absent without prior permission, except emergency.

2. Special Casual Leave for Vasectomy Operation:

College employees undergoing Vasectomy operations under family program shall be allowed to avail six days Special Casual Leave on producing necessary evidence.

3. Duty Leave:

A college employee may be granted duty leave not exceeding 15 days in a calendar year for performing such duties on behalf of the college Management as the authorities may direct.

4. Earned Leave:

(I) Except the members of teaching staff, Vacational Staff, and work charged establishment, every employee of the College shall be entitled to earned leave of 30 days for one completed year of service.

(II) In case a member of teaching staff or Vacational Staff is detained during vacation by the college authorities to work, he will be entitled to the earned leave as below :

For every two days extra work, one day E.L. shall be granted.(III) The maximum earned leave that can be credited by an employee is 240 days.(IV) Earned leave may be sanctioned to a college employee subject to the condition

that the application for the same is received well in advance i.e. at least seven days before the commencement of the E.L. Such restriction of giving notice is necessary to curb the tendency of employees in misusing the concession.

(V) Earned leave may be granted in combination with or in continuation of any other kind of leave, except the casual leave.

(VI) Earned leave may be taken either by prefixing or by suffixing vacation.9

(VII) Earned Leave encashmenti. Encashment will be allowed once in slab of one year as prescribed by the

authorities.ii. In sanctioning earned leave, the authorities will see that the regular working

of the college as well as the interest of the students in general does not suffer.

5. Medical Leave:

(I) The college employees can avail medical leave @ 8 days for each completed year of service.(II) The medical leave shall be sanctioned subject to production of medical certificate

from such a Medical Officer as the Managing Committee or the Governing Body may prescribe.

(III) The medical leave can also be encashed in the ratio 2:1.(IV) It can be combined with Earned Leave or other types of leave except casual leave.

6. Special Leave:

Special leave on full day pay not exceeding 10 days in a calendar year may be granted to a college employee in permanent service for participating in educational / cultural / sports activities of the National level, approved by the competent authorities.

7. Maternity Leave:

Women employees in the service of college shall be eligible for maternity leave on full pay for a period not exceeding 60 days provided that (I) She has put in at least one year continuous service (II) Such leave shall not be granted more than twice during the entire service.

INCENTIVES

Every employee of the college shall be entitled to allowances such as Dearness allowance, Hose Rent Allowance, etc. as per the rates of Govt. of Chhattisgarh. The other incentives shall be as under…

A. Medical Insurance: Every confirmed Employee shall be entitled to the medical insurance coverage (Mediclaim). The premium of the insurance shall be bourn by the college. This shall be for Rs. 1 Lac for self(employee), his spouse, and children.

B. Other Benefits: The management or the college for efficient working may provide some other incentives to selected employees such as entertainment allowance, Free Accommodation, Conveyance Allowance, Additional Duty Allowance etc, on specific conditions. These allowances may be withdrawn as soon as the employee is relieved of additional work for which he/she was given such allowances. Such allowances will not be claimed as a matter of right unless they are specified as service condition of employment.

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C. Contributory Provident Fund: Every employee shall contribute towards Provident Fund Account at the standard rates. The management shall contribute equal amount. The amount shall be credited to the PF account of an employee. The total amount along with interest will be handed over to the employee at the time of retirement/separation from the institute as per rules. The CPF deduction shall be @ 12%, subject to maximum Rs. 780/- per month.

D. Loan Facility:

The loan to an employee can be given with specific sanction of the Chairman.

E. L.T.C.:

Once in two years, maximum of Rs. 10,000/- for self and family members for confirmed employees.

F. Group LIC Scheme:

Optional and will be started upon receiving specific request from staff members.

G. Free Bus Facility:

Every employee shall have a free bus facility.

H. Attaining Higher Qualification:

The normal one/two increments after attaining the higher qualification viz. M. Tech./Ph. D. can be happily given as per the AICTE guidelines.

I. Sponsoring for M.Tech./Ph.D.

The deserving employees shall be sponsored for M. Tech./Ph.D.

J. Daily Tea/Snacks facility

All the faculty members are provided coupons worth Rs. 100/- per month.

K. Earned Leave encashment

The balance Earned leave can be encashed by an employee in July each year.

L. Loyalty premium

All the confirmed employees of the organization are entitled for Loyalty premium at the following rates per month for the entire duration of stay in the organization at the time of Diwali.

1. Lecturers : Rs. 500/- per month per year

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2. Readers : Rs. 750/- per month per year

3. Professors : Rs. 1000/- per month per year

M. Gratuity

For all the confirmed employees.

N. Mobile Phone facility

All HODs and the Senior faculty members are provided with a mobile phone facility, the bill of which is paid by the organization, every month.

O. Educational Concession to Sons & Daughters of Employee:

A concession maximum up to 50% may be provided to Sons/Daughters of the college employee taking education in the college of the management.

CONFIDENTIAL FILE

The confidential file of the Director/Principal shall be maintained by the Chairman.

The confidential file of remaining staff shall be maintained by the Director/Principal.

CONDUCT & DISCIPLINE

The whole time of an employee shall be at the disposal of the college and he/she shall serve, the college in its business in such a capacity and at such a place as he may be directed from time to time.

Every employee of the college shall conform to and abide by these rules and shall observe, comply with and obey all orders and directions, which may from time to time be given to him by any person or persons under whose jurisdiction, superintendence or control he may be for the time being be placed.

No employee shall take adverse part in any act or movement or in the judgment of the managing committee to bring the college into disrepute.

It shall be the duty of every employee to withstand the confidence proposed in him by the authorities and not to divulge directly or indirectly information obtained by him in the course of his duties which would harm the interest of the college.

No employee shall take an active part in politics or in any violent demonstration.

Any member of teaching staff & officers are not allowed to become member of any Union. However they may become member of the Association of the college Employees which will look after the general welfare of its members and mostly confine to social & cultural activities.

Permanent employees shall not be permitted to accept solicit or seek any outside employment or office without the previous sanction of the competent authority. If permitted & selected he shall have to give clear three months notice therefor.

An employee on probation may be permitted by the competent authority to apply for any outside employment or office on not more than two occasions during the period of probation.

A temporary employee or an employee on contract may apply for an outside post, provided that he shall have given clear one month’s notice in case of his selection therefor.

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An employee shall not ask for or accept any gift or any other consideration from any subordinate employee or from any other persons include students for a work to be done in connection with the business of the college.

No employee shall contribute to press any matter in connection with the college or the Management without obtaining the prior sanction of the competent authority.

SUSPENSION, REMOVAL, DISMISSAL, TERMINATION

The following acts or omissions shall constitute misconduct:- (A) Insubordination or disobedience whether alone or in combination with others of any

order of superior, or any circular, instructions or notice issued or given or as may be issued or given from time to time.

(B) Theft, fraud, misappropriation, or misuse of any property of business of the college.

(C) Damage to any property or article of the college.

(D) Taking or giving bribes or any illegal gratification in whatsoever form.

(E) Habitual absence without prior permission to grant of leave in writing from competent authority.

(F) Habitual late-coming.

(G) Riotous or disorderly behavior, threatening, intimidating in connection with or relating to any duties or working of the college.

(H) Neglect of work or negligence in discharging any duty or negligence in discharging duty in relation to any property.

(I) Violence or inciting violence.

(J) Stopping work either single or with other employees or inciting any one else not to work.

(K) Disclosing any secret or confidential information in regard to any matter relating to the working which will be detrimental to the interest of the college.

(L) Theft of property of another employee within the premises of the college.

(M) Gambling in any form during working hours of the college.

(N) Allowing any person or persons whose entry is prohibited.13

(O) Sleeping or loitering or whiling away time or disappearing from place of work during working hours.

(P) Refusal to accept any communication or charge-sheet.

(Q) Falsification or tempering any paper or record of the college.

(R) Sheltering or trying to shelter any offender or any one who commits any act of misconduct or any employee failing to report to the head of the department any illegal activity or act of misconduct which takes place in his presence.

(S) Making any false or exaggerated allegation against any officer, superior or co-employee.Not forwarding applications for the post outside the college through proper channel.

(T) Committing nuisance during the working hours by being found intoxicated or otherwise.

(U) Carrying on any other business without the previous specific permission of the Competent Authority.

(V) Committing any act involving moral turpitude.

(W) Making any false declaration, announcement or representation.

(X) Conviction by competent court for any criminal offence.

(Y) Any other act or omission which in the opinion of the Head of the Department/Competent authority constitutes an act of misconduct.

NOTE : An act of misconduct which is committed more than three occasions shall be treated as habitual.

PUNISHMENT FOR MISCONDUCT

Punishment to be given to an employee by the competent authority shall be as under:-

(1) Withholding of increments or promotions.(2) Reduction to a lower post or time scale or to a lower stage in a time-scale.(3) Recovery from pay of the whole or part of any loss caused to the college by negligence

or by breach of orders.(4) Suspension.(5) Removal from service.(6) Fine to be deducted from salary.

Full fledged and elaborate Departmental enquiry will not be necessary for inflicting punishments such as withholding of increments or character roll warnings. In these cases, the

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employee shall be given intimation of the act of mis-conduct committed by him and he will be given an opportunity to give explanation before the punishment is inflicted.

In other cases full fledge & elaborate Departmental Enquiry be conducted by the Officer or committee appointed for the purpose by the competent authority.

For the purpose of the Departmental enquiry the Enquiry Authority or the officer entrusted with the enquiry shall be the Principal or the Director or the Chairman or their nominee or nominees or the committee appointed by the Governing Body or Managing Committee.

PROCEDURE OF CONDUCTING DEPARTMENTAL ENQUIRY

Any employee against whom action is proposed to be taken shall be provided with the copy of charge or charge as well as the statement of allegation that have been made against him and over which disciplinary proceedings are being held by the competent authority or the officer entrusted with the enquiry. The employee shall then submit the explanation in writing & obtain acknowledgement thereof.

If the explanation contains information leading to inference of admission, an order of punishment may be passed forthwith, provided that authority passing an order records its finding on each item constituting the misconduct. Merely saying that employee admits allegation and charges will not be sufficient for the purpose of awarding punishment.

The officer so entrusted with the enquiry shall hold enquiry and give the concerned employee an adequate opportunity to defend himself by cross examining the witnesses and giving his own evidence in defense.

It shall not be open for an employee, to claim to examine any one as a witness except those who are in the employment of the college. However he may produce other witnesses at his own cost & risk at the place and time specified by the enquiry officer. The Enquiry Officer shall have the power to disallow any witness or witnesses whose evidence in his opinion is not material to the enquiry.

Procedure for the enquiry stated above need not be followed in the following circumstances: 1) When the person charged admits the charge in writing. 2) When the order of the punishment is to be based on facts which have

led to the conviction of person charged in criminal court.3) When the person charged has absented or when for other reasons it is

impracticable to communicate with him.

In awarding punishment the enquiry officer or competent authority concerned shall take into account gravity of misconduct, the previous record, if any, of the aggravating circumstances that may exist.

REVERSIONThe authority which orders demotion of a college employee as a penalty from higher to a

lower grade or post may allow him to draw any pay not exceeding the maximum of the lower grade or post.

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If an employee on account of misconduct or inefficiency is reduced to lower grade or post or to a lower stage in his time scale, the authority ordering such reduction shall state the period for which it shall be effective and also state the period for which his future increments are postponed.

The period for which reduction has been ordered will be exclusive of any interval spent on leave before that period has been completed.

SUSPENSION

If the competent authority finds that the nature of act of misconduct alleged is so serious as not to allow the employee to continue his work, an order of suspending him may be passed and the person shall be continued to remain under suspension till a decision of the departmental enquiry or till such period as the competent authority deems fit. During the period of suspension, the employee will be entitled to a subsistence allowance at an amount equal to leave salary on half pay & dearness allowance based on the rate of subsistence allowance.

If as a result of enquiry the employee is not found guilty of misconduct then the employee may be reinstated and he shall be entitled to his normal pay allowance for the period of suspension, subject to adjustment of the subsistence allowance paid to him during the period of suspension. If however the employee is found guilty fully or partially, but retained in service, the period of suspension and his pay and allowance may be decided by the competent authority in each and every case.

Leave shall not be granted to an employee under suspension.

TERMINATION

The employment of an employee may be terminated by the appointing authority by giving three months notice or on payment of three months wages including all allowances in lieu of notice.

Temporary employees and casual or apprentice employees who are engaged for specific period or specified work will cease to be in service on the expiry of the specified period.

In case of other temporary employees or probationer, the employment shall be terminated by one month notice or on payment of one month’s wages including allowance in lien of notice.

Reasons of termination of employment shall be recorded in writing and be communicated to the employee concerned. The reasons shall not be communicated, if they are detrimental to the interest of the college. Every permanent employee shall be entitled to a service certificate at the time of his termination or retirement from employment.

The employee shall be paid his dues only after he obtains a clearance certificate from the head of his Department or section officer that he has returned in good condition all books, furniture and other articles or things which were under his care or custody or charge for use in connection with his work or otherwise. If he occupies the college accommodation he will also have to vacate the premises (at the most within one month).

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The services of an employee shall be liable to be terminated, if he is found to be suffering from any contagious or venereal or loathsome or other serious disease or such a disability as may make him incapable of discharging his duties efficiently or faithfully. The opinion of the Medical Officer of the college shall be final & binding.

APPEALS

An appeal can be made to the Chairman, if the penalty or dismissal order is passed by the Principal/Director, within 15 days from the date of communication of the order.

If the order is passed by the authority subordinate to the Principal/Director, appeal in similar circumstances can be made within a week to the Principal/Director.

If the order is passed by the Chairman, the appeal can be made in similar circumstances to the Managing Committee.

Every appeal shall comply with the following requirements: (1) It shall be written in English or Hindi.(2) It shall be in polite & respectful language and shall be free from statement,

allegation or should be strictly relevant to the matter.(3) It shall contain all material, statements, explanations, and arguments and it shall

be complete in itself. (4) It shall specify the relief desired, (5) It shall be submitted through the proper channel. (6) It shall be accompanied by a copy of the order challenged.

Decision of the appeal will be communicated to the employee within fifteen days from the date of submission.

DESERTER

Any employee, if he absents from duty without permission for the period of more than 30 days, shall be deemed to be a deserter and his services shall stand terminated automatically on the expiry of the period of 30 days.

RETIREMENT

An employee, after confirmation, unless appointed on a contract for a period stated in the appointment order shall continue to serve up to the age of 60/62 years or as decided by AICTE/State Government/University rules and approved by the competent authority in the interest of the college.

RESIGNATION

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A permanent employee shall not leave or resign or discontinue his service in the college without first giving prior notice in writing to the Principal/Director or the Chairman (as the case may be) on his intention to leave or discontinue the service. The period of notice shall be three calendar months. While a temporary employee of a probationer will have to gives one calendar month notice.

The period of notice may be waived at the discretion of the appointing authority.

In case of breach by an employee of the provision, he shall be liable to pay to the college as penalty a sum equal to his wages including allowances for the period of notice required to be given by him. The amount may be deducted from the money due to him.

POWER TO CHANGE RULES

These rules may be modified, added to or amended, by the Governing Body of Managing Committee but such modifications additions or amendments shall not alter to the disadvantages of the employees already in service at the time of such modification, additions or amendments.

Nothing contained in these rules shall operate in derogation of any law for the time being in force or the provisions of the Pt. R. S. U. or CSVTU Act.

Service book1 Employee ID :                2 Name :          3 Designation :            4 Department :            5 Date of Birth :            6 Father's Name :                  7 Mother's Name :              8 Marital Status :                       Spouse Name (If Applicable) :                 No. of Dependents :                  9 Mobile No. :                  10 Qualification :                11 Salary (Scale / Consolidated) :                12 Other Allowances :                13 Other Emoluments :          

14 No. of Years of Service at the time of Joining

: Teaching - Poly Other

Ind.

-  

15 Date of Joining :                

16 Date of Confirmation :                

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17 Date of Relieving : : Relieving Formalities:      

LIST OF ATTACHED DOCUMENTS

Resume     Pan Card No.

           

Photo (6 Nos.)     I D Proof            

10th Mark sheet     Offer Letter

           

12th Mark sheet     Acceptance Letter

           

Diploma/Graduation Mark sheet     Appointment Letter

           

Post Graduation Mark sheet     Joining Letter

           

Ph.D/Other Degree                  

Experience Certificate :

 

Yearly Increments :Loyalty:

                       

LTC Applicable : Y / NPromotion Letter : Confirmation Letter : University Approvals :Appreciation / Certificate :Conference / Seminar Application :Conference / Seminar Certificate :Resignation Letter :Resignation Acceptance :No Dues :Relieving CertificateOther Application / Documents :   

DETAILS OF INCREMENT/PROMOTION/CONFIRMATION

Increments (6th Pay Scale from May’2010)

Name :

                   

Date of Confirmation :                

Month &

DateBasic

GP

Basic

Total

DA

Spl Allow.

Other Benefi

t

Total

Next Increment Due

on

PromotionRemar

ksMonth &

Date

Revised Designati

on

                                                                     

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RCET   EMPLOYEE   HANDBOOK             EMPLOYEE RECEIPT AND ACCEPTANCE I hereby acknowledge receipt of the RCETEmployee Handbook.  I understand that it is my continuing responsibility to read and know its contents.  I also understand and agree that the Employee Handbook is not an employment contract for any specific period of employment or for continuing or long‐term employment.  Therefore, I acknowledge and understand that unless I have a written employment agreement with RCETthat provides otherwise, I have the right to resign from my employment with RCETat any time with or without notice and with or without cause, and that RCEThas the right to terminate my employment at any time with or without notice and with or without cause.  I have read, understand and agree to all of the above.  I have also read and understand the RCETEmployee Handbook.  I agree to return the Employee Handbook upon termination of my employment. Signature _____________________________________________  Print Name ____________________________________________  Date ________________________ CONFIDENTIALITY POLICY AND PLEDGE Any information that an employee learns about RCET, or its members or donors, as a result of working for RCETthat is not otherwise publicly available constitutes confidential information.  Employees may not disclose confidential information 

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to anyone who is not employed by RCETor to other persons employed by RCETwho do not need to know such information to assist in rendering services.  The disclosure, distribution, electronic transmission or copying of RCETs confidential information is prohibited.  Any employee who discloses confidential RCETinformation will be subject to disciplinary action (including possible separation), even if he or she does not actually benefit from the disclosure of such information.   I understand the above policy and pledge not to disclose confidential information.  Signature:                 Print Name:                 Date:         Please sign and return to the Manager of Finance and Administration  RCET Employee Handbook

RCETEMPLOYEE HANDBOOK  TABLE OF CONTENTS     PAGE   I.    MISSION .....................................................................................................................................X II.  OVERVIEW.................................................................................................................................X III.    VOLUNTARY AT‐WILL EMPLOYMENT .............................................................................X IV.  EQUAL EMPLOYMENT OPPORTUNITY ............................................................................X V.    POLICY AGAINST WORKPLACE HARASSMENT ............................................................X VI.  SOLICITATION .........................................................................................................................X VII.  HOURS OF WORK, ATTENDANCE AND PUNCTUALITY .............................................X A.  Hours of Work ...................................................................................................................X B.  Attendance and Punctuality ............................................................................................X C.  Overtime ............................................................................................................................X VIII.  EMPLOYMENT POLICIES AND PRACTICES.....................................................................X A.  Definition of Terms ...........................................................................................................X IX.  POSITION DESCRIPTION AND SALARY ADMINISTRATION ......................................X X.  WORK REVIEW .........................................................................................................................X XI.   ECONOMIC BENEFITS AND INSURANCE .......................................................................X A.  Health/Life Insurance .......................................................................................................X B.  Social Security/Medicare/Medicaid ................................................................................X C.  Workersʹ Compensation and Unemployment Insurance ............................................X 

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D.  Retirement Plan .................................................................................................................X E.  Tax Deferred Annuity Plan..............................................................................................X XII.  LEAVE BENEFITS AND OTHER WORK POLICIES ...........................................................X A.  Holidays..............................................................................................................................X B.  Vacation ........................................................................................................................... XX C.  Sick Leave........................................................................................................................ XX D.  Personal Leave................................................................................................................ XX E.  Military Leave................................................................................................................. XX F.  Jury Duty ......................................................................................................................... XX G.  Parental Leave................................................................................................................. XX H.  Bereavement Leave ........................................................................................................ XX I.  Extended Personal Leave .............................................................................................. XX J.  Severe Weather Conditions .......................................................................................... XX K.  Meetings and Conferences...............................................................................................XX  RCET Employee Handbook XIII.  REIMBURSEMENT OF EXPENSES ..................................................................................... XX XIV.  SEPARATION ......................................................................................................................... XX XV.  RETURN OF PROPERTY ...................................................................................................... XX XVI.  REVIEW OF PERSONNEL AND WORK PRACTICES..................................................... XX XVII.   PERSONNEL RECORDS ...................................................................................................... XX XVIII.OUTSIDE EMPLOYMENT..................................................................................................... XX XIX.   NON‐DISCLOSURE OF CONFIDENTIAL INFORMATION ......................................... XX XX.   COMPUTER AND INFORMATION SECURITY.............................................................. XX XXI.   INTERNET ACCEPTABLE USE POLICY .......................................................................... XX   1 I.  MISSION  II.  OVERVIEW The RCETEmployee Handbook (the “Handbook”) has been developed to provide general guidelines about RCETpolicies and procedures for employees.  It is a guide to assist you in becoming familiar with some of the privileges and obligations of your employment, including RCETʹs policy of voluntary at‐will employment.  None of the policies or guidelines in the Handbook are intended to give rise to contractual rights or obligations, or to be construed as a guarantee of employment for any specific period of time, or any specific type of work.  Additionally, with the exception of the voluntary at‐will employment policy, these guidelines are subject to modification, amendment or revocation by RCETat any time, without advance notice.  

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  The personnel polices of RCETare established by the Board of Directors, which has delegated authority and responsibility for their administration to the Executive Director.  The Executive Director may, in turn, delegate authority for administering specific policies.  Employees are encouraged to consult the Executive Director for additional information regarding the policies, procedures, and privileges described in this Handbook.  Questions about personnel matters also may be reviewed with the Executive Director.    RCET will provide each individual a copy of this Handbook upon employment.  All employees are expected to abide by it. The highest standards of personal and professional ethics and behavior are expected of all RCETemployees.  Further, RCET expects each employee to display good judgment, diplomacy and courtesy in their professional relationships with members of {ORGANIZATION NAME}ʹs Board of Directors, committees, membership, staff, and the general public.   2  III.  VOLUNTARY AT‐WILL EMPLOYMENT Unless an employee has a written employment agreement with RCET, which provides differently, all employment at RCETis “at‐will.” 

 That means that employees may be terminated from employment with RCET with or without cause, and employees are free to leave the employment of RCETwith or without cause. Any representation by any RCETofficer or employee contrary to this policy is not binding upon RCETunless it is in writing and is signed by the Executive Director with the approval of the Board of Directors. IV.  EQUAL EMPLOYMENT OPPORTUNITY   RCETshall follow the spirit and intent of all federal, state and local employment law and is committed to equal employment opportunity.  To that end, the Board of Directors and Executive Director of RCETwill not discriminate against any employee or applicant in a manner that violates the law.  RCETis committed to providing equal opportunity for all employees and applicants without regard to race, color, religion, national origin, sex, age, marital status, sexual orientation, disability, political affiliation, personal appearance, family responsibilities, matriculation or any other characteristic protected under federal, state or local law.  Each person is evaluated on the basis of personal skill and merit.   RCET’s policy regarding equal employment opportunity applies to all aspects of employment, including recruitment, hiring, job assignments, promotions, working conditions, scheduling, benefits, wage and salary administration, disciplinary action, termination, and social, educational and recreational programs.  The Executive Director shall act as the responsible agent in the full implementation of the Equal Employment Opportunity policy.    RCETwill not tolerate any form of unlawful discrimination.  All employees are expected to cooperate fully in implementing this policy.  In particular, any employee who believes that any other employee of RCETmay have violated the Equal Employment Opportunity Policy should report the possible violation to the Executive Director.      If RCETdetermines that a violation of this policy has occurred, it will take appropriate disciplinary action against the offending party, which can include 

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counseling, warnings, suspensions, and termination.  Employees who report, in good faith, violations of this policy and employees who cooperate with investigations into alleged violations of this policy will not be subject to retaliation.  Upon completion of the investigation, RCETwill inform the employee who made the complaint of the results of the investigation.   3   RCETis also committed to complying fully with applicable disability discrimination laws, and ensuring that equal opportunity in employment exists at RCETfor qualified persons with disabilities.  All employment practices and activities are conducted on a non‐discriminatory basis.  Reasonable accommodations will be available to all qualified disabled employees, upon request, so long as the potential accommodation does not create an undue hardship on RCET.  Employees who believe that they may require an accommodation should discuss these needs with the Executive Director.    If you have any questions regarding this policy, please contact the Executive Director. V.  POLICY AGAINST WORKPLACE HARASSMENT   RCETis committed to providing a work environment for all employees that is free from sexual harassment and other types of discriminatory harassment.  Employees are expected to conduct themselves in a professional manner and to show respect for their co‐workers.      RCET’s commitment begins with the recognition and acknowledgment that sexual harassment and other types of discriminatory harassment are, of course, unlawful.  To reinforce this commitment, RCEThas developed a policy against harassment and a reporting procedure for employees who have been subjected to or witnessed harassment.  This policy applies to all work‐related settings and activities, whether inside or outside the workplace, and includes business trips and business‐related social events.  RCET’s property (e.g. telephones, copy machines, facsimile machines, computers, and computer applications such as e‐mail and Internet access) may not be used to engage in conduct that violates this policy.  RCET’s policy against harassment covers employees and other individuals who have a relationship with RCETwhich enables RCETto exercise some control over the individual’s conduct in places and activities that relate to RCET’s work (e.g. directors, officers, contractors, vendors, volunteers, etc.).        Prohibition of Sexual Harassment:  RCET’s policy against sexual harassment prohibits sexual advances or requests for sexual favors or other physical or verbal conduct of a sexual nature, when: (1) submission to such conduct is made an express or implicit condition of employment; (2) submission to or rejection of such conduct is used as a basis for employment decisions affecting the individual who submits to or rejects such conduct; or (3) such conduct has the purpose or effect of unreasonably interfering with an employee’s work performance or creating an intimidating, hostile, humiliating, or offensive working environment.      While it is not possible to list all of the circumstances which would constitute sexual harassment, the following are some examples:  (1) unwelcome sexual advances ‐‐ whether they involve physical touching or not; (2) requests for sexual favors in exchange for actual or 

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4 promised job benefits such as favorable reviews, salary increases, promotions, increased benefits, or continued employment; or (3) coerced sexual acts.        Depending on the circumstances, the following conduct may also constitute sexual harassment:  (1) use of sexual epithets, jokes, written or oral references to sexual conduct, gossip regarding one’s sex life; (2) sexually oriented comment on an individual’s body, comment about an individual’s sexual activity, deficiencies, or prowess; (3) displaying sexually suggestive objects, pictures, cartoons; (4) unwelcome leering, whistling, deliberate brushing against the body in a suggestive manner; (5) sexual gestures or sexually suggestive comments; (6) inquiries into one’s sexual experiences; or (7) discussion of one’s sexual activities.        While such behavior, depending on the circumstances, may not be severe or pervasive enough to create a sexually hostile work environment, it can nonetheless make co‐workers uncomfortable.  Accordingly, such behavior is inappropriate and may result in disciplinary action regardless of whether it is unlawful.      It is also unlawful and expressly against RCETpolicy to retaliate against an employee for filing a complaint of sexual harassment or for cooperating with an investigation of a complaint of sexual harassment.      Prohibition of Other Types of Discriminatory Harassment:  It is also against RCET’s policy to engage in verbal or physical conduct that denigrates or shows hostility or aversion toward an individual because of his or her race, color, gender, religion, sexual orientation, age, national origin, disability, or other protected category (or that of the individual’s relatives, friends, or associates) that:  (1) has the purpose or effect of creating an intimidating, hostile, humiliating, or offensive working environment; (2) has the purpose or effect of unreasonably interfering with an individual’s work performance; or (3) otherwise adversely affects an individual’s employment opportunities.        Depending on the circumstances, the following conduct may constitute discriminatory harassment:  (1) epithets, slurs, negative stereotyping, jokes, or threatening, intimidating, or hostile acts that relate to race, color, gender, religion, sexual orientation, age, national origin, or disability; and (2) written or graphic material that denigrates or shows hostility toward an individual or group because of race, color, gender, religion, sexual orientation, age, national origin, or disability and that is circulated in the workplace, or placed anywhere in RCET’s premises such as on an employee’s desk or workspace or on RCET’s equipment or bulletin boards.  Other conduct may also constitute discriminatory harassment if it falls within the definition of discriminatory harassment set forth above.      It is also against RCET’s policy to retaliate against an employee for filing a complaint of discriminatory harassment or for cooperating in an investigation of a complaint of discriminatory harassment.     5   Reporting of Harassment:  If you believe that you have experienced or witnessed sexual 

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harassment or other discriminatory harassment by any employee of {ORGANIZATION NAME}, you should report the incident immediately to your supervisor or to the Executive Director.  Possible harassment by others with whom RCEThas a business relationship, including customers and vendors, should also be reported as soon as possible so that appropriate action can be taken.      RCETwill promptly and thoroughly investigate all reports of harassment as discreetly and confidentially as practicable.  The investigation would generally include a private interview with the person making a report of harassment.  It would also generally be necessary to discuss allegations of harassment with the accused individual and others who may have information relevant to the investigation.  RCET’s goal is to conduct a thorough investigation, to determine whether harassment occurred, and to determine what action to take if it is determined that improper behavior occurred.        If RCETdetermines that a violation of this policy has occurred, it will take appropriate disciplinary action against the offending party, which can include counseling, warnings, suspensions, and termination.  Employees who report violations of this policy and employees who cooperate with investigations into alleged violations of this policy will not be subject to retaliation.  Upon completion of the investigation, {ORGANIZATION NAME} will inform the employee who made the complaint of the results of the investigation.      Compliance with this policy is a condition of each employee’s employment.  Employees are encouraged to raise any questions or concerns about this policy or about possible discriminatory harassment with the Executive Director.  In the case where the allegation of harassment is against the Executive Director, please notify the staff member designated as grievance officer.   VI.  SOLICITATION   Employees are prohibited from soliciting (personally or via electronic mail) for membership, pledges, subscriptions, the collection of money or for any other unauthorized purpose anywhere on RCETproperty during work time, especially those of a partisan or political nature.  “Work time” includes time spent in actual performance of job duties but does not include lunch periods or breaks.  Non‐working employees may not solicit or distribute to working employees.  Persons who are not employed by {ORGANIZATION NAME} may not solicit or distribute literature on RCET’s premises at any time for any reason.    Employees are prohibited from distributing, circulating or posting (on bulletin boards, refrigerators, walls, etc.) literature, petitions or other materials at any time for any purpose without the prior approval of the Executive Director or his/her designee.  6 VII.  HOURS OF WORK, ATTENDANCE AND PUNCTUALITY A.  Hours of Work The normal work week for RCETshall consist of five (5), seven (7) hour days.  Ordinarily, work hours are from 9:00 a.m. ‐ 5:00 p.m., Monday through Friday, including one hour (unpaid) for lunch.  Employees may request the opportunity to vary their work schedules (within employer‐defined limits) to better accommodate personal responsibilities.  Subject to RCETwork assignments and Executive Director approval, the employee’s supervisor shall determine the hours of employment that best suits the needs of the work to be done by the individual employee. 

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 B.  Attendance and Punctuality Attendance is a key factor in your job performance.  Punctuality and regular attendance are expected of all employees.  Excessive absences (whether excused or unexcused), tardiness or leaving early is unacceptable.  If you are absent for any reason or plan to arrive late or leave early, you must notify your supervisor and the office manager as far in advance as possible and no later than one hour before the start of your scheduled work day.  In the event of an emergency, you must notify your supervisor as soon as possible.      For all absences extending longer than one day, you must telephone your immediate supervisor prior to the start of each scheduled workday.  When reporting an absence, you should indicate the nature of the problem causing your absence and your expected return‐to‐work date.  A physician’s statement may be required as proof of the need for any illness‐related absence regardless of the length of the absence.    Except as provided in other policies, an employee who is absent from work for three consecutive days without notification to his or her supervisor or the Executive Director will be considered to have voluntarily terminated his or her employment.  The employee’s final paycheck will be mailed to the last mailing address on file with RCET.      Excessive absences, tardiness or leaving early will be grounds for discipline up to and including termination.  Depending on the circumstances, including the employee’s length of employment, RCETmay counsel employees prior to termination for excessive absences, tardiness or leaving early.  C.   Overtime    Overtime pay, which is applicable only to Non‐Exempt Employees, is for any time worked in excess of 40 hours in a work week.  Only the Executive Director or his or her designee, upon the request of an employeeʹs supervisor, may authorize overtime.  Overtime rate is one and one‐half time (1½) the employeeʹs straight time rate, except in instances   7 involving a Sunday or holidays when the rate is two times the regular rate.  Payment of overtime will be provided in the pay period following the period in which it is earned.    VIII.  EMPLOYMENT POLICIES AND PRACTICES A.  Definition of Terms 1.  Employer.  The RCETis the employer of all full‐time, part‐time and temporary employees.  An employee is hired, provided compensation and applicable benefits, and has his or her work directed and evaluated by RCET.  2.  Full‐Time Employee.  A Full Time Employee regularly works at least 35 hours per week  3.  Part‐Time Employee.  A Part Time Employee regularly works less than 35 hours per week but no less than 17 ½ hours per week.  4.  Exempt Employee.  An Exempt Employee is an employee who is paid on a salary basis and meets the qualifications for exemption from the overtime requirements 

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of the Fair Labor Standards Act (“FLSA”). 5.  Non‐Exempt Employee.  A Non‐Exempt Employee is an employee who is paid an hourly rate and does not meet the qualifications for exemption from the overtime requirements of the Fair Labor Standards Act (“FLSA”).  For Non‐Exempt Employees, an accurate record of hours worked must be maintained.  RCETwill compensate non‐exempt employees in accordance with applicable federal and state law and regulations.  6.  Temporary Employee.  An individual employed, either on a full‐time or part‐time basis, for a specific period of time less than six months.  Temporary employees are entitled only to those benefits required by statute or as otherwise stated in the RCETEmployee Handbook.  All employees are classified as Exempt or Non‐Exempt in accordance with federal and state law and regulations.  Each employee is notified at the time of hire of his or her specific compensation category and exempt or non‐exempt status.  IX.  POSITION DESCRIPTION AND SALARY ADMINISTRATION Each position shall have a written job description. In general, the description will include the:  purpose of the position, areas of responsibilities, immediate supervisor(s),  8 qualifications required, salary range, and working conditions affecting the job, e.g., working hours, use of car, etc.   The supervisor(s) or the Executive Director shall have discretion to modify the job description to meet the needs of RCET.      Paychecks are distributed on the 15th and the last day of each month, except when either of those days falls on a Saturday, Sunday or holiday, in which case paychecks will be distributed on the preceding workday.  Timesheets are due to the Executive Director within two days of each pay period. All salary deductions are itemized and presented to employees with the paycheck.  Approved salary deductions may include: federal and state income taxes; social security, Medicare, and state disability insurance; voluntary medical and group hospitalization insurance premiums (if in force and if paid by employee) and other benefits (e.g., life insurance, retirement).  X.  WORK REVIEW The work of each employee is reviewed on an ongoing basis with the supervisor to provide a systematic means of evaluating performance.    The annual performance review is a formal opportunity for the supervisor and employee to exchange ideas that will strengthen their working relationship, review the past year, and anticipate RCETʹs needs in the coming year.  The purpose of the review is to encourage the exchange of ideas in order to create positive change within RCET.  To that end, it is incumbent upon both parties to have an open, and honest discussion concerning the employee’s performance.  It is further incumbent upon the supervisor to clearly communicate the needs of RCETand what is expected of the employee in contributing to the success of RCETfor the coming year.    Both supervisor and employee should attempt to arrive at an understanding regarding 

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the objectives for the coming year.  This having been done, both parties should sign the performance review form, which will be kept as part of the employeeʹs personnel record and used as a guide during the course of the year to monitor employee progress relative to the agreed upon objectives.    The Executive Director reviews the work of all supervisors.  Work reviews for other staff are the responsibility of the appropriate supervisor, subject to confirmation by the Executive Director.  XI.  ECONOMIC BENEFITS AND INSURANCE RCETshall provide a competitive package of benefits to all eligible full‐time and part‐time employees.  The following outline of available benefits is provided with  9 the understanding that benefit plans may change from time to time, and the plan brochures (known as Summary Plan Descriptions) or contracts are to be considered the final word on the terms and conditions of the employee benefits provided by RCET.  For eligibility requirements, refer to the Plan document for each benefit program.  Continuation of any benefits after termination of employment will be solely at the employeeʹs expense and only if permitted by policies and statutes.  The Executive Director will determine levels of deductibility and co‐payments for all insurance related benefits annually.  A.  Health/Life Insurance RCETcurrently provides individual health and dental insurance benefits for eligible full‐time and part‐time employees except those who are insured through their spouse, retired military, or other plans, beginning after the first full month of employment.  Eligible employees may elect to participate in available health plan(s) offered by RCET.  RCETpresently pays the individual insurance premium for all eligible employees.  RCETmay require employees to pay a portion of insurance premium in the future.  Information about RCETʹs health plan(s) will be provided to the employee at the time of employment.  B.  Social Security/Medicare/Medicaid   RCETparticipates in the provisions of the Social Security, Medicare and Medicaid programs.  Employees’ contributions are deducted from each paycheck and RCETcontributes at the applicable wage base as established by federal law.  C.  Workersʹ Compensation and Unemployment Insurance   Employees are covered for benefits under the Workersʹ Compensation Law.  Absences for which worker compensation benefits are provided are not charged against the eligible employeeʹs sick leave.  To assure proper protection for employees and {ORGANIZATION NAME}, any accident that occurs on the job must be reported, even if there are no injuries apparent at the time.  Forms for this purpose are available from RCET.  RCETalso participates in the District of Columbia unemployment program.  D.  Retirement Plan 

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  RCETprovides a retirement program for eligible full‐time and part‐time employees who are 21 years of age or older.  RCETcontributes to the employee’s retirement plan when employee becomes vested after one year of employment.  Eligible employees may contribute to retirement plan at start of employment.  Employer percentage contributions to the retirement program is reviewed and determined  10 annually by the RCETBoard of Directors.  Information about RCETʹs retirement plan will be provided to the employee at the time of employment.  E.  Tax Deferred Annuity Plan   RCEToffers a tax deferred annuity plan through payroll deduction at the employeeʹs expense and which is subject to federal, state and local provisions.  RCETreserves the right to modify or terminate any employee benefits, at any time.   XII.  LEAVE BENEFITS AND OTHER WORK POLICIES A.  Holidays Full‐Time Employees are eligible for 11.5 holidays per year as follows:    New Yearʹs Day Martin Luther King, Jr.ʹs Birthday Presidentʹs Day Memorial Day Independence Day Labor Day    Columbus Day Veteranʹs Day Thanksgiving Day The Day After Thanksgiving Day Christmas Eve (1/2 Day) Christmas Day      Full‐time employees (employees who regularly work at least 35 hours per week) receive one (1) paid day off for each full day of holiday time.  Holiday benefits for Part‐Time employees will be pro‐rated in accordance with the hours regularly worked by the employee.  Employees wishing to take religious holidays may substitute a religious holiday for one of those listed above, with advance approval from their supervisor and the Executive Director.  Temporary employees are ineligible for holiday leave benefits.  In those years when Independence Day, Christmas Eve and Christmas Day, and New Yearʹs Day fall on Saturday or Sunday, the Executive Director will designate the work day that will replace the weekend holiday.  B.  Vacation  11   During the first 90 days of employment full‐ and part‐time employees will not earn Vacation benefits.  During the remaining nine months of first year employment, a full‐time 

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employee will earn two weeks (10 days) of paid Vacation.    Full‐time employees will continue to earn two weeks (10 days) of Vacation during the second year of employment.  In their third year of employment, full‐time employees will earn three weeks (15 days) of Vacation.  During the fourth year and thereafter, full‐time employees will earn four weeks (20 days) of Vacation per year.  Temporary employees are ineligible for Vacation benefits.     Vacation benefits are prorated accordingly for Part‐Time employees.  Use of Vacation is subject to approval by the supervisor and Executive Director and must be requested in hourly increments, using the appropriate leave request form..      Employees are expected to use Vacation benefits in the fiscal year in which Vacation is earned.  Employees may carry over unused Vacation from one year to the next only with the approval of the Executive Director.  Employees may not accrue more than the maximum leave they are allowed.  Once an employee reaches his or her annual ceiling, the employee ceases to accrue any additional Vacation benefits.  If an employee later uses enough Vacation benefits to fall below the ceiling, the employee starts to accrue leave again from that date forward until he or she reaches his or her Vacation ceiling.  Accordingly, employees are encouraged to use all Vacation benefits in the fiscal year in which they are earned in order to avoid reaching the ceiling limit.  C.  Sick Leave   Sick leave benefits are earned on a prorated basis of one day (7 hours) per month for full‐time employees beginning at first day of employment.  Part‐time employees receive prorated sick leave benefits, (i.e., 3.5 hours per month if the Employee works 17.5 hours per week). Temporary employees are not eligible for paid sick leave benefits.  Use of sick leave is subject to approval by the supervisor and the Executive Director and must be requested in hourly increments.      Unused sick leave can accumulate from year to year up to a maximum of 30 days (210 hours) for full‐time employees.  This limitation on accrual of sick leave benefits is prorated accordingly for part‐time employees.  No sick leave benefits are paid upon separation of employment from RCETfor any reason.  If an employeeʹs illness or injury requires a consecutive absence of five (5) days or more, physician documentation will be required.  RCETalso may recommend that the employee apply for state disability insurance (SDI).  If the employee receives SDI and the compensation does not equal the employeeʹs sick leave accruals, RCETwill make up the difference until all sick leave benefits are used.    12 D.  Personal Leave   RCETprovides three (3) days of personal leave per calendar year to all Full‐Time and Part‐Time employees who have completed six months of employment.  Personal leave benefits are prorated accordingly for part‐time employees.  Temporary employees are not eligible for paid personal leave benefits.   Personal leave is accrued at the beginning of each year and cannot be carried into the next year.  Personal leave may not be taken in the first six (6) months of employment.  All personal leave is subject to prior approval by the supervisor and Executive Director and must be requested in hourly increments.  No 

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personal leave benefits are paid upon separation from employment with {ORGANIZATION NAME} for any reason.  E.  Military Leave   Employees who are inducted into or enlist in the Armed Forces of the United States or are called to duty as a member of a reserve unit may take an unpaid leave in accordance with applicable law.  The employee must provide advance notice of his or her need for a military leave and RCETwill request a copy of the employee’s orders, which will be kept on record by RCET.    The time an employee spends on military leave will be counted as continuous service for the purpose of determining eligibility and accrual for various benefit plans and policies.     For military leaves extending 30 days or less, RCETwill continue to pay the portion of the premium on health insurance, if any, that it was paying before military leave began.  In order to continue such health insurance, the employee must continue to pay his or her portion of premiums during this period.  For military leaves extending beyond 30 days, the employee will have the option to continue his or her insurance coverage at the employee’s cost.      Upon return from military leave, employees will be reinstated as required by law and benefits will be reinstated with no waiting periods.ʺ  F. Civic Responsibility    RCETbelieves in the civic responsibility of its employees and encourages this by allowing employees time off to serve jury duty when required and to serve as nonpartisan Election Day poll workers when appropriate and approved.  1. Jury Duty. For time served on jury duty, RCETwill pay employees the difference between his or her salary and any amount paid by the government, unless prohibited by law, up to a maximum of ten days.  If an employee is required to serve more than ten days of jury duty, RCETwill provide the employee with unpaid leave. Employees must provide RCETa copy of proof of  13 service received by court in which they serve.   2. Election Day Poll Workers. RCETwill pay employees the difference between his or her salary and any amount paid by the government or any other source, unless prohibited by law for serving as an Election Day worker at the polls on official election days (not to exceed two elections in one given calendar year). While performing their official nonpartisan duties at the polls, Election Day workers may not engage in political activity or campaign for or against any candidate or ballot measure. RCETrequires that employees provide proof of service for their time at the polls. Employees interested in using this benefit, must have written approval from the Executive Director 30 days before the election. The Executive Director will assure that the employee’s absence will not seriously interfere with the organization’s operations.   

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F.  Parental Leave   The DC Parental Leave Act entitles employees to certain unpaid parental leave.  For purposes of this section only, the following definitions apply:  (1) “parent” means the natural mother or father of a child; a person who has legal custody of a child or who acts as a guardian of a child regardless of whether he or she has been appointed legally as such; an aunt, uncle or grandparent of a child; or a spouse to the above individuals; (2) “school‐related event” means an activity sponsored by either a school or an associated organization such as a parent‐teacher association which involves the parent’s child as a participant or subject, but not as a spectator, including a student performance, such as a concert, play or rehearsal, the sporting game of a school team or practice, a meeting with a teacher or counselor, or any similar type of activity.      A parent is entitled to a total of 24 hours of unpaid leave during any 12‐month period to attend or participate in school‐related events for his or her child.  RCETreserves the right, however, to deny such leave if such a leave would disrupt RCET’s operations.  While parental leave is unpaid, employees may elect to use accrued vacation or personal leave.     If the need for parental leave is foreseeable, the employee must provide a written notice and request for parental leave at least 10 days prior to the event.  If the employee’s need for parental leave is not foreseeable 10 days prior to the event, the employee must provide a written notice and request for parental leave as soon as he or she learns of the need for such leave.   G.  Bereavement Leave   Employees shall be entitled to bereavement leave with pay of five (5) days in the event   of a death in the employee’s immediate family (spouse/life partner, child or parent) and three (3) days for grandparent, sister or brother, father‐in‐law, mother‐in‐law, or grandchildren.   If  14 an employee wishes to take time off due to the death of an immediate family member, the employee should notify the Executive Director immediately.  Approval of bereavement leave will occur in the absence of unusual operating requirements.  An employee may use, with the Executive Directorʹs approval, available paid leave for additional time off as necessary and in accordance with operating needs.  H.   Extended Personal Leave   Employees who have been employed by RCETfor at least one year may apply for personal leaves of absence for up to eight weeks.  Personal leaves are unpaid and are discretionary with the management of RCET.  When considering a request for a personal leave, RCETwill consider factors such as the employee’s position, the employee’s length of service, the employee’s performance record including attendance, the purpose of the leave, the needs of the department in which the employee works, the effect of the leave on other employees, and RCET’s general business needs.    Personal leaves generally are unpaid.  However, accrued vacation or personal time may be used to continue an employee’s salary during the leave.  Vacation and sick time will not continue to accrue during the leave of absence.  Medical and life insurance benefits will continue on the same basis as if the employee were actively working.  

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  RCETcannot guarantee reinstatement upon return from a personal leave.  RCETwill, however, make a reasonable effort to place the employee in an available position for which he or she is qualified.  If such a position is not available, then the employee’s employment will terminate.  Even in that event, the employee may later apply for reemployment.    Employees who fail to report to work after an approved leave of absence are deemed to have voluntarily resigned. When an approved leave has been exhausted, the employee may request additional leave.  The Executive Director must approve all unpaid leave.  I.  Severe Weather Conditions   RCETcloses when federal government offices in the Washington metropolitan area are closed due to severe weather conditions.  RCETalso will follow a liberal leave policy when the federal government announces that liberal leave is applicable.  Under RCETʹs liberal leave policy, annual and/or personal leave may be taken without prior scheduling and approval if the employee is unable to reach the office due to severe weather conditions.  J.  Meetings and Conferences  15   Staff may be given limited time off by the Executive Director with pay to participate in educational opportunities related to the staff memberʹs current or anticipated work with RCET.  An employee serving as an official representative of RCETat a conference or meeting is considered on official business and not on leave. XIII.  REIMBURSEMENT OF EXPENSES Reimbursement is authorized for reasonable and necessary expenses incurred in carrying out job responsibilities.  Mileage or transportation, parking fees, business telephone calls, and meal costs when required to attend a luncheon or banquet, are all illustrative of reasonable and necessary expenses.    Employees serving in an official capacity for RCETat conferences and meetings are reimbursed for actual and necessary expenses incurred, such as travel expenses, meal costs, lodging, tips and registration fees.  When attending meetings that have been approved by the Executive Director, employees are reimbursed for travel expenses, course fees, and costs of meals and lodging at the current rates.  Employees may also request a travel advance to cover anticipated expenses approved travel.   Employees also may be granted leave to attend a conference or professional meeting related to their professional development, and/or RCETʹs current and anticipated work.  Expenses for these purposes can be paid by RCET, if funds are available, and the employee obtains prior written approval of such expenses.  Employees are responsible for transportation costs between the office and home during normal work hours.  Transportation costs are paid by RCETfor work outside normal work hours if the employee is on official business for {ORGANIZATION NAME}.  Employees authorized to use their personal cars for RCETbusiness are reimbursed at the U.S. Internal Revenue Service approved rate.  

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  Forms are provided to request reimbursement for actual expenses and advance payment for travel.  Receipts must be provided for all expenditures made in order to claim reimbursement. XIV.  SEPARATION Either RCET or the employee may initiate separation.  RCET encourages employees to provide at least two weeks (10 days) written notice prior to intended separation. After receiving such notice, an exit interview will be scheduled by the Executive Director or his or her designee.  The Executive Director has authority to employ or separate all other employees.    Circumstances under which separation may occur include:   16   1.  Resignation.  Employees are encouraged to give at least 10 business days of written notice.  Since a longer period is desired, the intention to resign should be made known as far in advance as possible.  Employees who resign are entitled to receive accrued, unused Vacation benefits.    2.  Termination or Lay‐off.  Under certain circumstances, the termination or lay‐off of an employee may be necessary.  Employees who are terminated or laid off are entitled to receive accrued, unused Vacation benefits.  The Executive Director has authority to discharge an employee from the employ of RCET.  As stated above, all employment at RCETis “at‐will.”  That means that employees may be terminated from employment with RCETwith or without cause, and employees are free to leave the employment of RCETwith or without cause.  Reasons for discharge may include, but are not limited to:  •  Falsifying or withholding information on your employment application that did or would have affected RCET’s decision to hire you (this conduct will result in your immediate termination);  •  Falsifying or withholding information in other personnel records including personnel questionnaires, performance evaluations or any other records;  •  Performance at work below a level acceptable to RCETor the failure to perform assigned duties;  •  Failure to complete required time records or falsification of such time records;  •  Insubordination;  •   Refusing to work reasonable overtime;  •  Negligence in the performance of duties likely to cause or actually causing personal injury or property damage;  •  Fighting, arguing or attempting to injure another; 

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 •  Destroying or willfully damaging the personal property of another, including RCET’s property;   •   Breach of confidentiality;   17 •  Using or appearing to use for personal gain any information obtained on the job, which is not readily available to the general public or disclosing such information that damages the interests of RCETor its customers or vendors;  •  Placing oneself in a position in which personal interests and those of RCETare or appear to be in conflict or might interfere with the ability of the employee to perform the job as well as possible;  •  Using RCETproperty or services for personal gain or taking, removing or disposing of RCETmaterial, supplies or equipment without proper authority;  •   Gambling in any form on RCETproperty;  •   Dishonesty;  •   Theft;  •  The possession, use, sale or being under the influence of drugs or other controlled substances or alcoholic beverages during working hours or on the RCETpremises at any time in violation of RCET’s policies.  •  Carrying or possessing firearms or weapons on RCETproperty;  •  Excessive tardiness or absenteeism whether excused or unexcused;  •  Unauthorized absence from work without proper notice; and  •  Engaging in discriminatory or abusive behavior, including sexual harassment.    At the sole discretion of the Executive Director, the employee may be asked to leave immediately or be given a period of notice. XV.  RETURN OF PROPERTY Employees are responsible for RCETequipment, property and work products that may be issued to them and/or are in their possession or control, including but not limited to:   18

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• Telephone cards, • Credit cards, • Identification badges, • Office/building keys, • Office/building security passes, • Computers, computerized diskettes, electronic/voice mail codes, and • Intellectual property (e.g., written materials, work products).  In the event of separation from employment, or immediately upon request by the Executive Director or his or her designee, Employees must return all RCETproperty that is in their possession or control.  Where permitted by applicable law(s), {ORGANIZATION NAME} may withhold from the employeeʹs final paycheck the cost of any property, including intellectual property, which is not returned when required.  RCETalso may take any action deemed appropriate to recover or protect its property. XVI.  REVIEW OF PERSONNEL ACTION Employees may request a review of a personnel action or an unsatisfactory performance review.  Employees are expected first to discuss their concern with their immediate supervisor.  If further discussion is desired, the employee may then discuss the situation with the Executive Director.  The decision of the Executive Director is final.    XVII.  PERSONNEL RECORDS Personnel records are the property of RCET, and access to the information they contain is restricted and confidential.  A personnel file shall be kept for each employee and should include the employee’s job application, copy of the letter of employment and position description, performance reviews, disciplinary records, records of salary increases and any other relevant personnel information.  It is the responsibility of each employee to promptly notify his/ or her supervisor in writing of any changes in personnel data, including personal mailing addresses, telephone numbers, names of dependents, and individuals to be contacted in the event of an emergency.     All employees must complete, within two days of the end of each pay period, their time and attendance record for review and approval by the Executive Director.  Accurately recording time worked is the responsibility of every employee.  Tampering, altering, or falsifying time records, or recording time on another employeeʹs time record may result in disciplinary action, including separation from employment with RCET.  XVIII.     OUTSIDE EMPLOYMENT Individuals employed by RCETmay hold outside jobs as long as they meet the performance standards of their job with RCET.  Employees  19 should consider the impact that outside employment may have on their ability to perform their duties at RCET.  All employees will be evaluated by the same performance standards and will be subject to RCETscheduling demands, regardless of any outside work requirements.    If RCETdetermines that an employeeʹs outside work interferes with their job performance or their ability to meet the requirements of {ORGANIZATION NAME}, as they are modified from time to time, the employee may be asked to terminate the 

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outside employment if he or she wishes to remain employed with RCET.    Outside employment that constitutes a conflict of interest is prohibited.  Employees may not receive any income or material gain from individuals or organizations for materials produced or services rendered while performing their jobs with RCET.  XIX.  NON‐DISCLOSURE OF CONFIDENTIAL INFORMATION Any information that an employee learns about RCET, or its members or donors, as a result of working for RCETthat is not otherwise publicly available constitutes confidential information.  Employees may not disclose confidential information to anyone who is not employed by RCETor to other persons employed by RCETwho do not need to know such information to assist in rendering services.    The protection of privileged and confidential information, including trade secrets, is vital to the interests and the success of RCET.  The disclosure, distribution, electronic transmission or copying of RCET’s confidential information is prohibited.  Such information includes, but is not limited to the following examples:  • Compensation data. • Program and financial information, including information related to donors, and pending projects and proposals.  Employees are required to sign a non‐disclosure agreement as a condition of employment. Any employee who discloses confidential RCETinformation will be subject to disciplinary action (including possible separation), even if he or she does not actually benefit from the disclosure of such information.       Discussions involving sensitive information should always be held in confidential settings to safeguard the confidentiality of the information.  Conversations regarding confidential information generally should not be conducted on cellular phones, or in elevators, restrooms, restaurants, or other places where conversations might be overheard.    20 XX.  COMPUTER AND INFORMATION SECURITY   This section sets forth some important rules relating to the use of {ORGANIZATION NAME}’s computer and communications systems.  These systems include individual PCs provided to employees, centralized computer equipment, all associated software, and RCET’s telephone, voice mail and electronic mail systems.      RCEThas provided these systems to support its mission.  Although limited personal use of RCET’s systems is allowed, subject to the restrictions outlined below, no use of these systems should ever conflict with the primary purpose for which they have been provided, RCET’s ethical responsibilities or with applicable laws and regulations.  Each user is personally responsible to ensure that these guidelines are followed.      All data in RCET’s computer and communication systems (including documents, other electronic files, e‐mail and recorded voice mail messages) are the 

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property of RCET.  RCETmay inspect and monitor such data at any time.  No individual should have any expectation of privacy for messages or other data recorded in RCET’s systems.  This includes documents or messages marked “private,” which may be inaccessible to most users but remain available to RCET.  Likewise, the deletion of a document or message may not prevent access to the item or completely eliminate the item from the system.      RCET’s systems must not be used to create or transmit material that is derogatory, defamatory, obscene or offensive, such as slurs, epithets or anything that might be construed as harassment or disparagement based on race, color, national origin, sex, sexual orientation, age, physical or mental disability, medical condition, marital status, or religious or political beliefs.  Similarly, RCET’s systems must not be used to solicit or proselytize others for commercial purposes, causes, outside organizations, chain messages or other non‐job‐related purposes.      Security procedures in the form of unique user sign‐on identification and passwords have been provided to control access to RCET’s host computer system, networks and voice mail system.  In addition, security facilities have been provided to restrict access to certain documents and files for the purpose of safeguarding information.  The following activities, which present security risks, should be avoided.    •  Attempts should not be made to bypass, or render ineffective, security facilities   provided by the company.      •  Passwords should not be shared between users.  If written down, password     should be kept in locked drawers or other places not easily accessible.     21   •  Document libraries of other users should not be browsed unless there is a       legitimate business reason to do so.      •  Individual users should never make changes or modifications to the hardware configuration of computer equipment.  Requests for such changes should be      directed to computer support or the Executive Director.    •  Additions to or modifications of the standard software configuration provided on   RCET’s PCs should never be attempted by individual users (e.g., autoexec.bat     and config.sys files).  Requests for such changes should be directed to computer  support or the Executive Director.    •  Individual users should never load personal software (including outside email services) to company computers.  This practice risks the introduction of a computer virus into the system.  Requests for loading such software should be directed to computer support or the Executive Director.    •  Programs should never be downloaded from bulletin board systems or copied   from other computers outside the company onto company computers.    Downloading or copying such programs also risks the introduction of a computer   virus.  If there is a need for such programs, a request for assistance should 

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be   directed to computer support or management.  Downloading or copying   documents from outside the company may be performed not to present a security   risk.    •  Users should not attempt to boot PCs from floppy diskettes.  This practice also   risks the introduction of a computer virus.    •  RCET’s computer facilities should not be used to attempt unauthorized access to   or use of other organizations’ computer systems and data.    •  Computer games should not be loaded on RCET’s PCs.    •  Unlicensed software should not be loaded or executed on {ORGANIZATION NAME}’s PCs.    •  Company software (whether developed internally or licensed) should not be   copied onto floppy diskettes or other media other than for the purpose of backing   up your hard drive.  Software documentation for programs developed and/or  licensed by the company should not be removed from the company’s offices.     22 •  Individual users should not change the location or installation of computer equipment in offices and work areas.  Requests for such changes should be   directed to computer support or management.      There are a number of practices that individual users should adopt that will foster a higher level of security.  Among them are the following:    •  Turn off your personal computer when you are leaving your work area or office   for an  extended period of time.    •  Exercise judgment in assigning an appropriate level of security to documents   stored on the company’s networks, based on a realistic appraisal of the need for   confidentiality or privacy.    •  Remove previously written information from floppy diskettes before copying   documents on such diskettes for delivery outside RCET.   •  Back up any information stored locally on your personal computer (other than   network based software and documents) on a frequent and regular basis.      Should you have any questions about any of the above policy guidelines, please contact the Executive Director. XXI.  INTERNET ACCEPTABLE USE POLICY   At this time, desktop access to the Internet is provided to employees when there is a necessity and the access has been specifically approved.  RCEThas provided access to the Internet for authorized users to support its mission.  No use of the Internet should conflict with the primary purpose of RCET, its ethical responsibilities or with applicable laws and regulations. Each user is personally responsible to 

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ensure that these guidelines are followed.  Serious repercussions, including termination, may result if the guidelines are not followed.      RCETmay monitor usage of the Internet by employees, including reviewing a list of sites accessed by an individual.  No individual should have any expectation of privacy in terms of his or her usage of the Internet.  In addition, RCETmay restrict access to certain sites that it deems are not necessary for business purposes.      RCET’s connection to the Internet may not be used for any of the following activities:      •  The Internet must not be used to access, create, transmit, print or download material that is derogatory, defamatory, obscene, or offensive, such as slurs,  23 epithets, or anything that may be construed as harassment or disparagement based on race, color, national origin, sex, sexual orientation, age, disability, medical condition, marital status, or religious or political beliefs.    •  The Internet must not be used to access, send, receive or solicit sexually‐oriented   messages or images.    •  Downloading or disseminating of copyrighted material that is available on the Internet is an infringement of copyright law.  Permission to copy the material must be obtained from the publisher.  For assistance with copyrighted material, contact computer support or the Executive Director.    •  Without prior approval of the Executive Director, software should not be downloaded from the Internet as the download could introduce a computer virus onto RCET’s computer equipment.  In addition, copyright laws may cover the software so the downloading could be an infringement of copyright law.    •  Employees should safeguard against using the Internet to transmit personal comments or statements through e‐mail or to post information to news groups that may be mistaken as the position of RCET.    •  Employees should guard against the disclosure of confidential information through the use of Internet e‐mail or news groups.  • Employees should not download personal e‐mail or Instant Messaging software to RCETcomputers.      •  The Internet should not be used to send or participate in chain letters, pyramid schemes or other illegal schemes.    •  The Internet should not be used to solicit or proselytize others for commercial purposes, causes, outside organizations, chain messages or other non‐job related purposes.  

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• The Internet should not be used to endorse political candidates or campaigns     The Internet provides access to many sites that charge a subscription or usage fee to access and use the information on the site.  Requests for approval must be submitted to your supervisor.     24   If you have any questions regarding any of the policy guidelines listed above, please contact your supervisor, or the Executive Director.      Revised {Date} Approved by the Executive Committee of the RCETBoard of Directors 

ACADEMIC REGULATIONS

ACADEMICREGULATIONS2013-2014Academic Regulations is an annual publication of the Office of RCET.All undergraduate students are responsible for complying with the rules, regulations,policies, and procedures contained in this publication as well as those in otherofficial University publications and announcements which may be issued from time totime.Students are also expected to familiarize themselves with other importantdocumentation including, but not limited to, the Guide to Undergraduate Programs.The University reserves the right to change policies and regulation whenever suchaction is deemed appropriate or necessary.This publication is compiled by the Office of the Registrar and published on theRegistrar’s website at www.umass.edu/registrar. It is issued annually at or near thebeginning of the fall semester.Page 3

Contents_________________________________________________________________________________Academic Regulations 5Academic Honesty 6Enrollment Categories 6Academic Status 8Graduation Requirements 12

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Registration in Courses and Withdrawal 17Grading System and Credit Guidelines 22Pass/Fail Option 27Attendance 28Absences Due to Religious Observance 28Examinations 29Majors, Minors, and Related Programs 30Honors 33Enrollment Regulations for Continuing & Professional Education 34Enrollment in Courses by Non-Matriculated Students 34Enrollment in Courses offered by Continuing & Professional Education 35Enrollment in Regular University Course Offerings ThroughContinuing & Professional Education 36Evaluation of the Pre-Matriculation Record 37Academic Grievance Procedure 38Introduction 38Definitions and Formal Procedure 38Course Management Guidelines for Instructors 44Student Absence Guidelines for Instructors 46Administrative Policies and Procedures 48Administrative Withdrawal 48Excuses of Absence for Health Reasons 49Health Withdrawal 50Tuition Classification 52Definitions 52Classification 52Determination of Residency 53Appeals 54Penalties 55Miscellaneous Regulations 56Grooming 56Housing 56Board 56Sales and Solicitations 57Sexual Harassment Policy and Procedures 57Family Educational Rights & Privacy Act 58Guidelines for the Release and Disclosure of Information fromStudent Records 58Directory Information 59Types of Records 60Other Rights and Requirements of this Legislation 60Dispute Resolution 62Ombuds Office 62Page 4Academic Referrals 63Students Who Have Not Yet Declared a Major 63Students Majoring in the Following Schools & Colleges 63Other Key Contacts 64Page 5

ACADEMIC REGULATIONSPREFACEJust as any society needs laws to govern the relationships among its citizens, auniversity, too, needs regulations to define the relationships among its citizens, inthis case students and faculty. Accordingly, academic regulations should bothstipulate the faculty's requirements for a degree and provide students withguidelines for achieving their personal academic goals; they should provide a meansfor students to evaluate their own progress and for faculty to evaluate the relative

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performance of various students; and should identify as soon as possible studentswhose performance suggests either that the probability of their achieving a degree isslight or that they are eligible for special privileges and honors.Moreover, a university faces a responsibility not only to its own citizens but to thelarger society as well, and thus its academic regulations must satisfy both internaland external needs. Thus, academic regulations should provide assurances both forstudents currently enrolled and those who seek admission that as many spaces aspossible will be available within the University and within individual courses; andshould not only clarify procedures and guarantee rights for students, but should alsoprovide assurances to accrediting agencies, professional bodies, and society ingeneral that standards are being maintained.The following academic regulations represent the official position of the Universityof Massachusetts Amherst and apply to all undergraduates. It is incumbent uponstudents and faculty to familiarize themselves with these regulations and adhere tothem, keeping in mind that students are held responsible for satisfying theregulations established by their major department and by their college as well as bythe University.Students have a right to pursue clarifications, interpretations, and appeals to theseregulations, especially when they feel that extenuating circumstances warrant anexception to any of the rules that follow. The procedure for exercising this rightbegins with the student's Undergraduate Dean, who is the administrator in the dean'soffice in each school or college who holds the authority delegated from the facultyfor either making or recommending exceptions to these academic regulations. Requestsfor exceptions to the administrative policies concerning enrollment categories andcourse registration are made to the University Administrative Board on CourseRegistration. Students should also consult the Undergraduate Academic GrievanceProcedure (available from the Ombuds Office, the office of the Student GovernmentAssociation, or the Student Center for Educational Research and Advocacy).A note on the University transcript: A student's transcript represents the officialrecord of his or her course registration and completion and academic status withinthe policies outlined below. Any request by a student to alter his or her officialrecord in any way (except as provided for by approved policies) must be presented tothe student's undergraduate dean. The undergraduate dean will either act under theauthority of the Faculty Senate Committee on Admissions and Records, or forward therequest to said Committee. If a dean acting under authority of the Committee onAdmissions and Records denies the request, the dean's decision may be appealed to theCommittee on Admissions and Records, which represents the final course of appeal onsuch matters. All appeals should be made in a timely manner by the student, andshould be commenced prior to graduation. After the start of the semester following astudent's graduation, the student's academic record cannot be altered, except forinstances of documented institutional error.Page 6

I. ACADEMIC HONESTYAll members of the University community must participate in the development of aclimate conducive to academic honesty. While the faculty, because of their uniquerole in the educational process, have the responsibility for defining, encouraging,fostering, and upholding the ethic of academic honesty, students have theresponsibility of conforming in all respects to that ethic.Intellectual honesty requires that students demonstrate their own learning duringexaminations and other academic exercises, and that other sources of information orknowledge be appropriately credited. Scholarship depends upon the reliability ofinformation and reference in the work of others. Student work at the University maybe analyzed for originality of content. Such analysis may be done electronically orby other means. Student work may also be included in a database for the purpose ofchecking for possible plagiarized content in future student submissions. No form ofcheating, plagiarism, fabrication, or facilitating of dishonesty will be condoned inthe University community.

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Academic dishonesty includes but is not limited to:Cheating - intentional use, and/or attempted use of trickery, artifice,deception, breach of confidence, fraud and/or misrepresentation of one'sacademic work.Fabrication - intentional and unauthorized falsification and/or invention ofany information or citation in any academic exercise.Plagiarism - knowingly representing the words or ideas of another as one's ownwork in any academic exercise. This includes submitting without citation, inwhole or in part, prewritten term papers of another or the research of another,including but not limited to commercial vendors who sell or distribute suchmaterials.Facilitating dishonesty - knowingly helping or attempting to help anothercommit an act of academic dishonesty, including substituting for another in anexamination, or allowing others to represent as their own one's papers,reports, or academic works.Sanctions may be imposed on any student who has committed an act of academicdishonesty. Any person who has reason to believe that a student has committedacademic dishonesty should bring such information to the attention of the appropriatecourse instructor as soon as possible.Formal definitions of academic dishonesty, examples of various forms of dishonesty,and the procedures which faculty must follow to penalize dishonesty are contained inAcademic Honesty Policy which can be found in The Code of Student Conduct, availableon the Dean of Students web site. Appeals must be filed within ten days ofnotification by the Academic Honesty Office that a formal charge has been filed by aninstructor that s/he suspects dishonesty. Information on the appeals process is alsocontained in the Academic Honesty Policy, c/o the Ombuds Office, where appeals arefiled.

II. ENROLLMENT CATEGORIESEnrollment is an official relationship between students and the University. In orderto be considered officially enrolled, students must pay all financial obligations tothe University and register for courses. Failure to meet either of these conditionsmeans the student is not enrolled for the current semester.Page 7A. Full-Time Students.Full-time students are required to carry the minimum load of 12 credits (alsoknown as “units”) each semester.There are cases in which critical health or personal problems cause a studentto find, after the Add/Drop period, that he or she must carry fewer than 12credits. In these cases, the student cannot be certified as full-time, but allUniversity benefits, fees, and obligations applying to full-time students stillapply, as do the requirements for academic good standing. The semester willcount as one of the ten allowed for graduation. Students with these extenuatingcircumstances, who find that their lack of full-time status is denying them animportant student benefit may, if supported by their academic deans, ask theRegistrar to produce a letter citing the extenuating circumstances that haveled to the drop from full-time status. Such letters may or may not beinstrumental in convincing an off-campus entity to grant the student thebenefits of a full-time student.Students in approved cooperative education programs, administered through theUniversity's Field Experience Office, in which the amount of work performed isequivalent to the academic workload of a full-time student, will also beconsidered full-time students. In these cases, however, the usual Universitybenefits, fees, and obligations applying to full-time students do not stillapply.B. Part-Time Degree-Seeking Students.Part-time is an original admissions category for students who are admitted ascandidates for a degree, but who cannot devote their full time to the pursuit

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of a degree. In addition, full-time students may become part-time. A change instatus may be requested during the registration or Add/Drop periods for thesemester in which the change of status is sought. Full-time students in goodacademic standing may elect part-time status without Dean's approval. In allinstances, the Registrar's Office must be notified on the appropriate formsavailable from that office. Part-time students are subject to all academicregulations and standards. (See Section III Academic Status)C. Special Students (Non-Degree-Seeking Students).Special student status is a limited non-degree admission category for those whowish to enroll in regular University courses and who are not presently pursuinga degree.1. If a Special Student is later admitted to a University degree program,the pre-matriculation record will be evaluated in accordance withprovisions stated in Enrollment Regulations for Continuing & ProfessionalEducation (see Enrollment Regulations for Continuing & ProfessionalEducation).2. Students who withdraw in good standing from an undergraduate degreeprogram and who wish to enroll on a non-degree basis must notify theRegistrar of their desire to change their status (see EnrollmentRegulations for Continuing & Professional Education).3. Students who have been suspended or dismissed from an undergraduatedegree program may not be admitted to Special Student status.D. Continuing & Professional Education Students.Anyone with a high school degree or its equivalent may register forundergraduate courses in Continuing & Professional Education, except asrestricted by academic status (see Section III Academic Status). Students mayapply to a degree program within Continuing & Professional Education, or enrollin courses offered by Continuing & Professional Education as non-degreestudents. The satisfaction of undergraduate degree program requirements withPage 8courses offered by Continuing & Professional Education is restricted by otherpolicies (see Enrollment Regulations for Continuing & Professional Education).1. Degree Seeking Students. Students admitted to degree programs inContinuing & Professional Education are normally those who need to do theircoursework via evening study or via on-line learning. Most are part-timestudents. These students must meet general University admission standards inorder to matriculate. Students may select the Bachelor of General Studies(BGS) program available only through Continuing & Professional Education,which requires an individual concentration in lieu of a traditional major,or an academic program sponsored by a School or College within theUniversity and approved for such enrollment by the Provost's Office.Students may also select the BGS as a second bachelor's degree.2. Concurrent Enrollments. Students who have been admitted to a degreeprogram in the University are normally expected to complete their degreerequirements after matriculation by enrollment in regular Universitycourses. However, in some circumstances, detailed in Enrollment Regulationsfor Continuing & Professional Education, students may enroll in coursesoffered by Continuing & Professional Education, and in regular Universitycourses. In this case, the two enrollments will be merged on the students'official records and transcripts for that semester. Continuing &Professional Education course registration fees must be paid in addition toregular University tuition and fees.3. Non-Degree-Seeking Students. Those students registering for coursesoffered by Continuing & Professional Education who are not classified innumbers 1 and 2 above are considered non-degree students. If a non-degreestudent is accepted to a regular University degree program, the applicationto that degree program of the courses completed while a non-degreeContinuing & Professional Education student is governed by regulations

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detailed in Enrollment Regulations for Continuing & Professional Education.Once a student has been enrolled in an undergraduate degree program at theUniversity, a student may not be classified as a Continuing & ProfessionalEducation non-degree student, except a student who has been suspended ordismissed and has permission from his or her undergraduate dean to enroll incourses offered by the Division will be classified as a non-degreeContinuing & Professional Education student.

III. ACADEMIC STATUSStudents' academic status is determined by their cumulative grade point averages.Effective with the Fall 1993 semester the number of units (credits) completed towardthe degree for students enrolled after 1993 will not be a criterion for academic goodstanding. However, see paragraph A. Good Standing, below, for restrictions. AcademicSuspension, Academic Dismissal, and Immediate Reinstatement will be permanentlyrecorded on students' official transcripts. An Academic Warning will not appear onthe official transcript. However, all Academic Warnings, Academic Probations andProbations Continued, as well as all Academic Suspensions, Academic Dismissals andImmediate Reinstatements will be permanently recorded on internal academic records.A. Good Standing.Students are in good academic standing when their cumulative grade pointaverage is 2.000 or above. This requirement applies to full-time and part-timestudents, and applies equally to those who were admitted as first year and astransfer students.The average number of units earned per semester is not used in thedetermination of good academic standing. However, the Registrar's Office willissue a credit alert service indicator to all students who have earned lessPage 9than an average of 12 graduation credits per semester (e.g., a student who hascompleted fewer than 48 credits after four semesters, fewer than 60 creditsafter five semesters). The Registrar's Office will continue to issue thisservice indicator every semester in which a student continue to fall below the12-credit per semester minimum average.In addition, if a student does not complete at least 48 degree credits by theend of four semesters, the student will be required to obtain approval of anacademic plan for graduation by the departmental chief undergraduate adviser orcollege/school academic dean. The student will not be allowed to enroll incourses at the University until an academic plan is approved. Students who failto fulfill the conditions of their academic plan in subsequent semesters may beprevented from registering for courses by their academic deans.B. Academic Warning.Students whose cumulative average is 2.000 or above, but whose semester averageis less than 2.000, will be sent a warning indicating that they should consultwith their academic dean.C. Academic Probation.Students whose cumulative average falls below 2.000 will be placed on AcademicProbation. Students who have been placed on Academic Probation or who havereceived a second consecutive Academic Warning should contact their academicdean.D. Academic Suspension.Students on Probation who fail to achieve or maintain good standing in anysubsequent semester will be placed on Academic Suspension unless an appeal isgranted. Suspended students may not enroll in the succeeding Fall or Springsemester (see paragraph G. Appeals Process). Suspension is a one semesterseparation from the University including Continuing & Professional Education.Following one semester on Academic Suspension, students who file an Applicationfor Readmission with the Registrar’s Office (by April 1 for the Fall semesteror October 15 for the Spring semester) are entitled to re-enroll.Upon readmission, students returning from suspension shall confer with their

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academic deans prior to re-enrollment.1. Probation Continued. Students who are subject to Academic Suspension, yetwhose semester's work shows substantial improvement, may be placed onProbation Continued at the discretion of their Academic Dean.2. Immediate Reinstatement. Students who are suspended may be granted anImmediate Reinstatement by an academic dean or the Committee on Admissionand Records. Immediate reinstatement status grants the student anadditional semester to achieve good standing. Students on ImmediateReinstatement status who fail to achieve good standing will be dismissed.E. Academic Dismissal.Academic Dismissal is a permanent separation from the University. Students whoare readmitted after any Academic Suspension and fail to achieve or maintaingood standing in any subsequent semester will be placed on Academic Dismissalunless an appeal is granted (see paragraph G. Appeals Process).F. Academic Status and Grade Changes.The academic status earned by a student shall remain in effect even if he/shereceives a retroactive grade change that positively affects the cumulative andterm GPA.1. The following are exceptions to this policy:(a) the original grade was a mistake and is corrected by the professor, orPage 10(b) the original grade was an INC which is converted to a grade within 4weeks of the start of the subsequent semester.2. Suspended or Dismissed students are not eligible to enroll in Continuing& Professional Education.Although academic standing is determined on the basis of prior coursework, dueto the timing of registration and academic discipline matters, students maycomplete a course for which they registered before suspension or dismissaloccurred that is offered during the immediately subsequent Continuing &Professional Education session (Winter or Summer Session I only).However, such a course would not be considered as supporting evidence in anappeal of a suspension or dismissal unless both of the following are true:first, a passing grade in the course would allow a student to reach acumulative grade point average of 2.000 or higher (Good Standing); and second,the course has been identified by the academic dean as an appropriate choicetoward achieving academic progress (e.g. coursework that satisfies generaleducation or major requirements).G. Appeals Process.Students have the right to appeal their academic status. Authority fordetermining students' academic status resides with the Committee on Admissionsand Records. Students must consult with their dean about petitions and appealsprocedures.1. All such appeals must be initiated in writing through the academic deanin the school or college in which the student is enrolled. Decisions madeby the deans may be appealed to the Committee on Admissions and Records.2. Appeals of Suspension or Dismissal may be made on the following grounds:(a) Substantial academic progress.(b) Course work completed after the initial decision.(c) Financial difficulties.(d) Health problems.(e) Extenuating personal circumstances.(f) Other academic reasons.All cases will be reviewed individually. Ordinarily documentation will berequired.H. Academic Status and Financial Aid Eligibility.Federal and state regulations require that recipients of financial aid maintainsatisfactory academic progress (SAP) toward a degree or eligible certificateprogram of study. There are "qualitative" and "quantitative" standards that

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must be met to maintain eligibility for federal and state financial aidprograms. These standards include maintaining a minimum grade point average(GPA) of 2.000 after four terms and the completion of the undergraduate degreewithin 10 semesters. (see paragraph J. Semester Count (Total Terms)), below, onhow total terms, including transferred credits, are calculated.) This secondcriterion is measured continuously and students are expected to earn a minimumnumber of cumulative credits as follows: Students who fail to satisfy SAPrequirements will be notified that their state and federal aid eligibility maybe revoked and advised of a financial aid conditional probation or an appealsprocess. This policy is reviewed and revised periodically to ensure compliancewith federal regulations. Additional information is available at the financialaid office or through the web at www.umass.edu/umfa.I. Academic Status and Student Athletes.NCAA legislation requires satisfactory academic progress in order for anathlete to remain eligible. For guidelines contact the Athletic Department.Page 11J. Semester Count (Total Terms).For the purpose of determining the ten semester statute of limitations for thecompletion of degree requirements, a semester count is determined as follows:1. Each semester of enrollment as a full-time student at the University (seeSection II Enrollment Categories, paragraph A. Full-Time Students) iscounted as one semester, independent of the number of credits (units) takenor passed. However, students who enroll in fewer than 12 credits in asemester will not be certified by the University as full-time during thatsemester for financial aid or any other purpose.2. For students engaged in part-time study (see Section II EnrollmentCategories, paragraph B. Part-Time Degree-Seeking Students), twelve (12)credits will be considered the equivalent of one semester. Studentsinvolved in part-time study must complete their last sixty (60) creditswithin five years.3. Any credits earned prior to matriculation as an undergraduate student onthe Amherst campus of the University and accepted as credits for transfer tothe University transcript are converted to semester hours, totaled, anddivided by 15 to determine an initial semester count. Zero to 14 creditswill not count, but will be added to any credits transferred aftermatriculation for calculation according to number 4 of this section, below.If the number of credits beyond an integer multiple of 15 is 9 or more, theyconstitute another semester. (Fifteen through 23 transferred creditsconstitute one semester; 24 through 38 constitute two semesters; 39 through53 constitute three semesters; 54 through 68 constitute four semesters; 69through 83 constitute five semesters.)4. Any other credits transferred to the University transcript aftermatriculation are converted, totaled, and divided by twelve to determineadditional equivalent semesters. (For example, 24 through 35 creditsconstitute two semesters; 36 through 47 constitute three semesters). In thiscalculation credits remaining beyond an integer multiple of twelve do notcount as an additional semester. However, they will be added to subsequenttransfer or part-time credits to determine semester count.5. The sum of the semesters calculated in each of the categories above isthe semester count, generally referred to in these regulations as semestersof enrollment or as Total Terms.6. In determining semesters at the University, enrollment in courses aftermatriculation during summer sessions or January intersession on this campusdoes not affect the calculation of total terms.K. Special Provisions for Reinstatement after Extended Absence from theUniversity. (Fresh Start).Students who return to the University after an absence of at least three yearsmay have their prior work not included in their cumulative grade point average

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subject to the following conditions:1. Readmission to the University must follow normal procedures (e.g., astudent who left the University on academic dismissal must petition theCommittee on Admissions and Records and justify readmission on the usualgrounds).2. A minimum of 45 credits must be taken in residence on the UMass Amherstcampus after readmission and before graduation.3. Courses taken and grades achieved in the first admission will appear onthe transcript along with a notation that they are not included in thecumulative average.Page 124. General Education and free elective credits passed with a grade of C- orbetter in the first admission will be counted toward graduation credit uponreadmission but will not be included in the cumulative average.5. Major program courses taken in the first admission must be approved aspart of the major program for graduation by the major department. Coursesaccepted to the major will not be included in the calculation of the majorgrade point average.6. Those who had left the University in Good Standing or on Probation willhave Academic Standing calculations begin at the start of the progressionupon their return. Students who, upon departure, had a suspension ordismissal in that final term will continue through the usual academicStanding progression after their return.7. Students who qualify for and wish to choose this option must notify theRegistrar as part of the Readmission application. Students may not changethe option after they have been readmitted. If students choose this option,it will apply to all prior work at the University.8. For the purpose of this policy, an "absence of at least three years" isdefined as not having been enrolled in any courses on the Amherst campus forsix successive fall and spring semesters or any of the interveningintercessions or summer sessions. Students may not have been enrolled in anyregular University courses or any courses offered by Continuing &Professional Education during this period.

IV. GRADUATION REQUIREMENTSStudents must assume responsibility for monitoring their progress toward graduationand the fulfillment of requirements. In order to be graduated, students must becleared by: (1) their Department, (2) their School or College, and (3) theUniversity. In addition, students must provide the Registrar's Office with accurateinformation regarding their projected graduation date and degree. If a graduatingsenior is administratively withdrawn his/her graduation date will be determined bythe date of resolution which clears the outstanding obligation.Students are subject to University graduation requirements published in the Guide toUndergraduate Programs (formerly, the Undergraduate Catalog) in effect when theyenter the University, and are subject to the major requirements published in theGuide to Undergraduate Programs in effect when they enter the major. Students whowithdraw from and later re-enter the University may be subject to graduationrequirements defined in the Guide to Undergraduate Programs in effect at the timethey re-enter.The University's graduation requirements are as follows:A. Credit Requirements.Students must complete a minimum of 120 credits, at least 45 of which must becompleted in residence (see paragraph F. Residence Requirements, below). Forexclusions and restrictions, see Section VI Grading System and CreditGuidelines, below. Individual colleges, schools, and departments may requiremore than 120 credits.B. Grade Point Averages.All students must achieve an overall average of at least C (2.000). All

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students must also achieve a cumulative average of at least C (2.000) in theirmajor.Page 13C. General Education Requirements for Students Entering the University inSpring 2010 or Before.Students must complete a set of course requirements in several different areas.Courses offered by the University that satisfy these requirements areidentified by letter designations (except for the Junior Year Writingrequirement). These areas and requirements are as follows.1. The University Writing Requirement consists of two courses. The FreshmanWriting requirement is satisfied by ENGLWRIT 112 or ENGLWRIT 113, CollegeWriting (CW), taken during the freshman year, or by exemption from therequirement through the Placement Exam, SAT/Achievement Test scores, orAdvanced Placement test score. The Junior Year Writing requirement (whichdoes not carry a letter designation) is part of the requirements for eachstudent's major.2. Social World courses:(a) Six courses distributed as follows: one course in Literature (AL);one course in the Arts (AT) or a second course in Literature; onecourse in Historical Studies (HS); two courses in the Social andBehavioral Sciences (SB); and one additional course in any of theareas within the Social World (AL, AT, HS, or SB).(b) Two courses designated as having a Social and Cultural Diversitycomponent. One of these courses must focus on Diversity in the UnitedStates (U), and the other must focus on Diversity in GlobalPerspective (G). These may be courses that also fulfill other GeneralEducation designations and so bear both letter designations (ALU,ATU, HSU, SBU, IU, ALG, ATG, HSG, SBG, or IG), or one or bothDiversity courses may have only a Diversity designation (U or G).3. Three courses in the Biological and Physical World, with at least onecourse in a Biological Science (BS) and at least one course in a PhysicalScience (PS). The third course may be either BS or PS or SI.4. One Basic Math Skills course and one Analytic Reasoning course. A studentmay be exempted from the Basic Math Skills requirement by achieving asufficiently high score on the Basic Math Skills exemption exams (offeredtwice each semester). Students not exempted by examination score must takeone Basic Math Skills (R1) course. This requirement can also be satisfiedwith some higher level courses that presuppose knowledge of basic mathskills. A student who takes an R2 course listed on the Gen Ed List(available at www.umass.edu/registrar/registration/r1_r2_requirements.htm)can satisfy both the R1 and R2 requirements with the same course. Allstudents must take one course in Analytic Reasoning (R2).5. Interdisciplinary courses: While no student is required to take anInterdisciplinary course, a student may elect to substitute up to threeInterdisciplinary courses, and/or Science Interdisciplinary designated (I)or (SI) for some General Education requirements. No substitutions may bemade for College Writing (CW), Basic Math Skills (R1), or Analytic Reasoning(R2). Students may substitute up to three Interdisciplinary courses in theother areas subject to the following restriction:(a) All students must take at least one course in each of the followingareas: Literature (AL), Historical Studies (HS), Social andBehavioral Sciences (SB), Biological Sciences (BS), and PhysicalSciences (PS).(b) An Interdisciplinary course will fulfill a Social and CulturalDiversity requirement only if it carries both the Interdisciplinaryand Diversity designations (IU or IG).(c) Only courses that carry an SI designation can be used to fulfill aBiological Sciences (BS) or a Physical Sciences (PS) requirement.

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Students can use either an SI or an I course to satisfy any of thefollowing requirements: the second Arts course (AL/AT/I/SI), thePage 14second Social & Behavioral Sciences course (SB/I/SI), or the sixthSocial World Course (AL/AT/HS/SB/I/SI).As of Fall 2005 freshmen and transfers who enter the University must satisfytheir third Science requirement with a course designated BS, PS or SI.These students cannot use an I course to satisfy this requirement. Studentswho entered the University prior to Fall 2005 may satisfy this requirementwith a course designated BS, PS, SI or I.No General Education requirement will be fulfilled by a course which istaken on a Pass/Fall basis, regardless of whether a P (Pass) or a grade islisted on the transcript. Students should not elect the Pass/Fail option forcourses they wish to count toward their General Education requirements.Students will not be allowed to use a single course to satisfy more than oneGeneral Education requirement, with the following exceptions: 1) a coursewhich carries a Social and Cultural Diversity designation and is alsodesignated as a Social World or Interdisciplinary course may be applied toanother General Education requirement (as appropriate) in addition to one ofthe Social and Cultural Diversity requirements; 2) an R2 course from theR1/R2 list (see www.umass.edu/registrar/registration/r1_r2_requirements.htmmay satisfy both the Basic Math and Analytical Reasoning Requirements.)Only one course in a student's major department may be counted towardsatisfaction of General Education requirements, with the followingexception: If a student uses one course from the major department designatedAL, AT, HS, SB, BS, PS, R2, SI, or I, the student may use a second coursefrom the major department that has a Diversity designation (U or G, alone oradded to AL, AT, HS, SB, or I) to satisfy one of the Diversity requirements.(Only a Diversity requirement will be fulfilled by the second course.)Students seeking exception to any of the requirements or restrictions ofGeneral Education should consult their undergraduate deans. GeneralEducation requirements are very strictly enforced, but students withsufficient grounds (e.g., documented misadvising) may submit a writtenpetition with appropriate documentation through their undergraduate academicdean to the General Education Variance Committee, a Subcommittee of theGeneral Education Council.D. General Education Requirements for Students Entering the University in Fall2010 or Later.Students must complete a set of course requirements in several different areas.Courses offered by the University that satisfy these requirements areidentified by letter designations (except for the Junior Year Writing andIntegrative Experience requirements). These areas and requirements are asfollows.1. The University Writing Requirement consists of two courses. The FreshmanWriting requirement is satisfied by ENGLWRIT 112 or ENGLWRIT 113, CollegeWriting (CW), taken during the freshman year, or by exemption from therequirement through the Placement Exam, SAT/Achievement Test scores, orAdvanced Placement test score. The Junior Year Writing requirement (whichdoes not carry a letter designation) is part of the requirements for eachstudent's major.2. Social World courses:(a) Four courses distributed as follows: one course in Literature (AL) orthe Arts (AT); one course in Historical Studies (HS); one course inthe Social and Behavioral Sciences (SB); and one additional course inany of the following areas within the Social World (AL, AT, I, SI, orPage 15SB). Students who enter as freshmen can satisfy each of theserequirements with one 4-unit course or two 3-unit courses with the

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appropriate designation. Transfers can satisfy each of theserequirements with one 3- or 4-unit course.(b) Interdisciplinary courses: While no student is required to take anInterdisciplinary course, a freshman may elect to take a 4-unitinterdisciplinary Gen Ed course (I or SI) or two 3-unitinterdisciplinary Gen Ed courses (I or SI) as the fourth Social Worldcourse. Transfers may elect to take a 3-unit or a 4-unitinterdisciplinary Gen Ed course (I or SI) as the fourth Social Worldcourse. No more than three Interdisciplinary Gen Ed courses (I and/orSI) may be applied to Gen Ed and Diversity requirements.3. Two courses in the Biological and Physical World, with one course in aBiological Science (BS) and one course in a Physical Science (PS).Students who enter as freshmen can satisfy each of these requirementswith one 4-unit course or two 3-unit courses with the appropriatedesignation. Transfers can satisfy each of these requirements withone 3- or 4-unit course.4. One Basic Math Skills course and one Analytic Reasoning course. Astudent may be exempted from the Basic Math Skills requirement byachieving a sufficiently high score on the Basic Math Skills exemptionexams (offered twice each semester). Students not exempted byexamination score must take one Basic Math Skills (R1) course. Thisrequirement can also be satisfied with some higher level courses thatpresuppose knowledge of basic math skills. A student who takes an R2course listed on the Gen Ed List (available atwww.umass.edu/registrar/registration/r1_r2_requirements.htm cansatisfy both the R1 and R2 requirements with the same course. Allstudents must take one course in Analytic Reasoning (R2).5. Two courses designated as having a Social and Cultural Diversitycomponent. One of these courses must focus on Diversity in the UnitedStates (U), and the other must focus on Diversity in GlobalPerspective (G). These may be courses that also fulfill other GeneralEducation designations and so bear both letter designations (ALU, ATU,HSU, SBU, IU, SIU, ALG, ATG, HSG, SBG, or IG), or one or bothDiversity courses may have only a Diversity designation (U or G).6. Upper-Division Integrative Experience: The Integrative Experiencerequirement is part of the requirements of each student’s major, aswell as a General Education requirement. Academic departments willprovide a list of Integrative Experiences that fulfill the requirementfor each major. There is no designation for this requirement.7. In addition to the requirements listed above, transfer students musttake two additional 3- or 4-unit General Education courses selectedfrom the following categories: Basic Math Skills, AnalyticalReasoning, Biological and Physical World, or Social World.NOTE: Only one course from a student’s major department may be applied toGeneral Education requirements and one course applied to Diversityrequirements.No General Education requirement will be fulfilled by a course which istaken on a Pass/Fall basis, regardless of whether a P (Pass) or a grade islisted on the transcript. Students should not elect the Pass/Fail option forcourses they wish to count toward their General Education requirements.Page 16Students will not be allowed to use a single course to satisfy more than oneGeneral Education requirement, with the following exceptions: 1) a coursewhich carries a Social and Cultural Diversity designation and is alsodesignated as a Social World or Interdisciplinary course may be applied toanother General Education requirement (as appropriate) in addition to one ofthe Social and Cultural Diversity requirements; 2) an R2 course from theR1/R2 list (see www.umass.edu/registrar/registration/r1_r2_requirements.htm

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may satisfy both the Basic Math and Analytical Reasoning Requirements.)Students admitted as freshmen who bring in 9 or more course credits (nottest credits) taken prior to their enrollment at UMass/Amherst may change totransfer requirements by filing a Change to Transfer General EducationRequirements form in the Records Office (207 Whitmore) by the end of theirfirst spring semester.Students admitted as freshman who later go on a UMass/Amherst-approvedexchange or study abroad program may change to transfer requirements byfiling a Change to Transfer General Education Requirements form in theRecords Office (207 Whitmore.) It is recommended that students file theform as soon as possible following the exchange, but no later than thebeginning of their last semester at UMass/Amherst.Students seeking exception to any of the requirements or restrictions ofGeneral Education should consult their undergraduate deans. GeneralEducation requirements are very strictly enforced, but students withsufficient grounds (e.g., documented misadvising) may submit a writtenpetition with appropriate documentation through their undergraduate academicdean to the General Education Variance Committee, a Subcommittee of theGeneral Education Council.E. College and/or School requirements, where applicable.F. An Approved Major.A major consists of intensive or specialized work in a particular department orprogram, requiring a minimum of at least 30 credits in a coherent and extensiveset of courses with a particular discipline or focus. Most majors require morethan 30 credits.G. Residence Requirements: A student must successfully complete a minimum of 45credits in residence.For this purpose residence credits are defined as being credits earned for workdone while registered on the Amherst campus of the University of Massachusettsor while enrolled in one of the University's formal exchange programs.Residence credits thus include UMASS 298 or departmental practicum (a maximumof 15 credits), University Without Walls, student teaching, credits generatedthrough special examinations administered by an Amherst campus academicdepartment, Stockbridge School courses, Five College Interchange courses, andcourses in Continuing & Professional Education (when these courses and thefaculty teaching them have been approved by the normal University procedures).The applicability of any of these toward the residence requirement iscontingent on students' enrollment being consistent with policies detailedelsewhere in these regulations. In contrast, the following will not be countedtoward residency requirements: transfer credits, AP credits (based on theCollege Board's high school Advanced Placement tests), CLEP credits (based onthe College Board's College Level Examination Program of credits by exam), andmilitary service credits.Page 17In addition, students must complete their final 30 credits in residence,residence in this sense meaning continuous enrollment in a degree-grantingmajor program and registration in University of Massachusetts Amherst courses.Petitions for permission to take any of the final 30 credits in absentia mustbe submitted on the Senior Year in Absentia form, available from theRegistrar's Office, prior to enrollment in the course(s), and requireauthorization from the student's major department and undergraduate dean.Students may not complete their senior year in absentia in Continuing &Professional Education.H. Statute of Limitations: Students shall be allowed no more than ten semestersas defined under Section III, Academic Status, paragraph J, to complete allgraduation requirements.1. For students engaged in part-time study, twelve (12) credits will beconsidered the equivalent of one semester. Students involved in part-time

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study must complete their last sixty (60) credits in five years.2. Continuation at the University beyond these limits is contingent uponapproval by the student's undergraduate dean, with recommendation from thedepartment, which is granted only for pressing academic and/or personalreasons.3. Although there is no limit on the number of years allowed betweenbeginning and completing a degree, a student's undergraduate dean, inconsultation with the Department, has authority to rule that certain coursestaken more than five years prior to the completion of a degree may not applyto major or college requirements. Students admitted under former sets ofuniversity-wide degree requirements, such as the Core or General Educationrequirements, may also be required to fulfill current university-wide degreerequirements.I. Administrative withdrawal. Students with an administrative withdrawal ontheir records cannot be cleared for graduation until the withdrawal isresolved. The graduation date will reflect the date the withdrawal isresolved.

V. REGISTRATION IN COURSES AND WITHDRAWALRegistration is one of the conditions required to maintain enrollment at theUniversity. To register is to become an official member on a class roster. (Refer toII, Enrollment Categories.) To be officially enrolled, students must clear their feebills and be registered in at least one course by the end of the add/drop period.Students who fail to do this are not eligible for University services or use offacilities.Enrollment in regular University courses is available through the regular Universityregistration procedures, administered by the Registrar, to full-time and part-timedegree-seeking students, and to non-degree-seeking students. Non-degree students whohave previously enrolled in but not completed an undergraduate degree program in theUniversity must register for regular University courses as non-degree studentsthrough the regular University registration procedures.Enrollment in regular University courses through Continuing & Professional Educationis available on a space-available basis only to BGS students; students enrolled inspecial academic programs identified and approved for such registration by theProvost's Office; and non-degree-seeking students who have not previously beenenrolled in an undergraduate degree program at the University.Page 18A. Course Registration.Courses will be recorded and credits awarded on the permanent records of theUniversity only if students have registered for such courses in accordance withprocedures established by the Registrar. Course enrollments should be recordedin the term in which the work is performed.1. Students who register for University and Five College courses must do soin the designated period.2. Students on Academic Probation, returning after Academic Suspension orlate withdrawal, or upon reinstatement after Academic Dismissal, mustconsult with their Undergraduate Dean. Students who wish to attend part-timeduring the next semester must declare their intent to the Registrar duringthe registration period. (see Section II Enrollment Categories, paragraph B.Part-Time Degree-Seeking Students, for restrictions.)3. The Registrar's Office will issue a credit alert to all students who haveearned less than an average of 12 graduation credits per semester.Additionally, students who average fewer than 12 credits per semester in thefourth or later semester will be sent an alert prior to the registrationperiod for the following semester. This alert will be based on students'current degree credits (including the semester in progress at the timestudents are pre-registering). Students who average fewer than 12 creditsper semester in the fourth or later semester will not be permitted to

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register until they have obtained approval of an academic plan by thedepartmental chief undergraduate adviser or college/school undergraduatedean. Students who fail to fulfill the conditions of their academic plan insubsequent semesters may be prevented from registering for courses by theirundergraduate deans.4. The course registrations of students who are administratively withdrawnwill be deleted.5. Students who fail to satisfy an overdue financial obligation or to complywith certain administrative requirements may have a hold placed on theirability to register for the following semester. Students will be unable toregister for courses until the hold is cleared. Students who do not clearsuch administrative holds prior to the end of their registration appointmentwill be unable to pre-register. Students who do not clear such registrationholds prior to the beginning of the following semester will be subject tothe administrative withdrawal process.B. Five College Interchange Registration.1. With the exception of first semester freshmen, any full time or part timestudent in good academic standing who is enrolled in at least one threecreditcourse at the University may enroll in courses through the FiveCollege Interchange Program. Special Students and Continuing & ProfessionalEducation Students are not eligible. Students who are not registered in atleast one three-credit University course at the end of the Add/Drop periodwill be withdrawn from the Five College course.2. There are no additional costs except for laboratory or lesson fees whereapplicable. Credits count as University residence credits, and grades earnedare recorded on the University transcript and factored into the Universitygrade point average. (A separate transcript does not exist at the otherinstitution.)3. No Five College course will be recorded on the permanent record of theUniversity or Continuing & Professional Education transcript, nor willstudents receive credit for any classes attended, unless they haveregistered in accordance with the established Five College InterchangePage 19Registration procedure and University Registration guidelines as presentedin this section. Students are advised to consult with the Five CollegeInterchange Office in 615 Goodell.C. Registration Clearance.Students who have registered in accordance with Section A above and have paidtheir bills by the due date are considered fully cleared for the semester.After the due date all bills will be subject to an additional fee for latepayment, and students may be prevented from accessing the registration systemto change their schedules. Students who do not clear their bills with theBursar's Office prior to Registration Day, or by such other date for lateclearance specified in the materials explaining the semester bill, will bewithdrawn from the University on that date. Such students' enrollment will becancelled for that semester and all courses will be dropped from theirschedules. This will make them ineligible for all University services,including financial aid, during that semester.D. Late Enrollment.As stated in the above paragraph, failure to clear registration in timelyfashion will result in withdrawal from the University. The Registrar may granta student permission to enroll late (to be readmitted) if there are extenuatingcircumstances. If the Registrar denies permission, the student may appeal forreadmission to the Committee on Admissions and Records, a process initiatedthrough the student's undergraduate dean.E. Removal from Roster by Instructor Due to Non-Attendance, etc.An instructor may not unilaterally cancel the registration of a student who hasofficially registered for a course, unless the student fails to appear for the

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first two meetings of the class following the official registration or unlessthe student lacks the prerequisites stated in the Guide to UndergraduatePrograms, the online Course Catalog, or the online Schedule of Classes. Tocancel a student's registration because of lack of prerequisite, the instructormust notify the student of his or her intentions. In either case, as early aspossible during the Add/Drop period, the department must drop the student'sregistration in the course. Drops for these reasons must be completed by theend of the Add/Drop period.An instructor who wishes to dis-enroll a student for any other reason,including disruptive behavior, shall notify the student in writing of his orher intentions, with one copy to the Registrar and a second copy to the Dean ofStudents, to whom the student may appeal.F. Course Registration Changes.Students who wish to drop a course must do so officially according to theregulations governing the procedure at the particular time. Failure to do thiswill result in a grade of F for the course.1. Fall and Spring Semesters:(a) Add/Drop Period: Students may add or drop a course through thefourteenth calendar day of the semester (counting from the first dayof classes). A course dropped during this period will not berecorded on the student's transcript.(b) Withdrawal Period: Students may withdraw from a course, with theinstructor's signature, from the 15th calendar day of the semesterthrough the mid-semester date published in the academic calendar.Courses dropped during this period will be recorded as "W"(withdrawn) on the student's transcript. The signature of theinstructor (or an authorized designee) indicates that the instructoris aware that the student is withdrawing from the course; it doesnot signify the instructor's approval.(c) Late Withdrawal: After the mid-semester date, the student isresponsible for completion of the course unless the student'sPage 20undergraduate dean grants a late withdrawal for extenuatingcircumstances.(d) Course Transfers: With the approval of the course instructor, thecourse coordinator for multiple section courses, and the student, anacademic department may transfer a student from a course in whichthe student is currently enrolled to a lower or higher level coursein the same sequence, if the instructor or course coordinatordetermines that the student was either not adequately prepared ormore than adequately prepared for the course in which the student iscurrently enrolled. Students may be transferred to a lower levelcourse provided the student has not previously received credit forthat course. Course transfers can be made by an academic departmentat any time during the semester, but should normally be done priorto the mid-semester date. Departments using the course transferpolicy are encouraged to give early and frequent testing to ensurethat an adequate evaluation of each student's ability is made priorto the middle of the semester. Determination of appropriate coursesequences and designation of an appropriate approval authority shallbe determined by the academic department offering the courses.Departments must notify the Registrar's Office of all coursetransfers made under this policy.2. Summer School, Winter Session, and Five College Interchange Courses(a) Add/Drop Period: Students may add or drop a course, with theinstructor's or authorized departmental officials' signature,through the Add/Drop period designated in the current Continuing &Professional Education catalog or Five College Interchange calendar.

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Courses dropped during this period will not be recorded on thestudents' transcripts.(b) Withdrawal Period: Students may withdraw from a course, with theinstructor's signature, during the period designated in the currentContinuing & Professional Education catalog or Five CollegeInterchange calendar. Courses dropped during this period will berecorded as "W" (withdrawn) on the students' transcripts.(c) Late Withdrawal: After the end of the designated withdrawal period,the student is responsible for the completion of the course unlessthe student's Undergraduate Dean grants a late withdrawal forextenuating circumstances.G. Course Loads.1. The minimum credit load for a full-time student is 12 credits persemester. The usual credit load is 15 credits per semester. The maximumcredit load for a semester is established by each school or college andusually varies from 17 to 19. Students wishing to register for more than themaximum or fewer than the minimum number of credits permitted in theirschool or college (see Section II Enrollment Categories, paragraph A. Full-Time Students) may do so only if they obtain the approval of their adviserand/or their Undergraduate Dean, depending on the overload.2. A part-time student may enroll in one to eleven credits per semester. Theusual credit load for a part-time student is six credits per semester.Students involved in part-time study must complete their last sixty creditsin five years, which means an average of six credits per semester.3. Students who will be registering for fewer than twelve credits duringtheir last semester may apply for reduced billing. Applications must bereceived by the Registrar's Office no later than the end of the Add/Dropperiod (the first fourteen calendar days beginning with the first day ofclasses). No reduced billing will occur after that time. These students arePage 21considered part-time, which may affect their financial aid and insurancecoverage.H. Auditing.A registered undergraduate student may audit a course and have that auditrecorded on the official transcript (as a zero in the Units Earned column andin the grade column as "AUD") provided that:1. The student officially elects the class as an audit within the add/dropperiod by processing an official course registration change form on which"Audit" is clearly indicated and which the course instructor has signed.2. The instructor can accommodate the auditor in a class, and the studentsatisfies the instructor regarding his or her preparation and motivation forauditing the class.3. The student pays all special fees associated with the course.4. The student satisfies all criteria for a successful audit as stipulatedin advance by the instructor. In the event that that the instructor reportsthan an audit was not completed successfully, the course will be expungedfrom the student's record.The student may not switch from audit to credit after the end of the add/dropperiod. The reverse is also true.I. Graduate Level Courses Taken by an Undergraduate.Undergraduates may register for graduate courses in the 600, 700 or 800 serieswith the permission of their advisor and the course instructor. Studentsregister for these courses through the Registrar’s Office.J. Withdrawal from the University.Students may at any time terminate their affiliation in the current semesterwith the University for personal, academic, financial or medical reasons byprocessing the University Withdrawal Form. The students' Undergraduate Dean orthe Director of University Health Services will determine the effective date of

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the withdrawal. Students' eligibility to return is determined by their academicstatus after the withdrawal is processed. Students eligible to return after awithdrawal must apply for readmission by the established deadlines (seeparagraph K. Readmission after Withdrawal below).1. Student-Initiated Withdrawal from the University:(a) Students may initiate a request to withdraw from the Universitythrough their Undergraduate Dean, whose approval is required.(b) The Undergraduate Dean will establish the official date of thewithdrawal.(c) If the effective date of withdrawal is before the middle of thesemester, the semester will not count as one of the ten semesterspermitted for completion of graduation requirements. If theeffective date of withdrawal is after the middle of the semester,the semester will count as one of the ten semesters.(d) Both the official transcript and the internal record will list eachcourse with a W, unless the effective date of withdrawal is the endof the semester, in which case grades will appear.(e) If a student wishes to withdraw within three weeks prior to the lastday of classes, the student's Undergraduate Dean may set theeffective date of withdrawal for the end of the semester (the lastday of the final examination period). In this instance, gradesearned at that time will appear on the transcript and the semesterwill count. These actions may adversely affect the student'sacademic status and eligibility to return in a subsequent semester.Page 222. Health Withdrawal. If circumstances warrant, students may request amedical withdrawal for reasons related to their physical and/or mentalhealth. These withdrawals are initiated through University Health Services(UHS). The student's Undergraduate Dean will determine the academic effectof the withdrawal based on this date. The Director of UHS will set theeffective date. Prior to readmission, all students who have a medicalwithdrawal must have an interview with the University Health Services.(Refer to Health Withdrawal, under Administrative Policies & Procedures.)3. Administrative Withdrawal. A student may be administratively withdrawnfrom the University if, after due notice, the student fails to satisfy anoverdue financial obligation to the University or to comply with certainadministrative requirements. (Refer to Administrative Withdrawal Procedures,under Administrative Policies & Procedures.) This means students'registration or registration, housing, and financial aid for the currentsemester will be canceled. The student will be unable to register or preregisterfor any subsequent semester until the administrative withdrawal isresolved. All matters must be resolved by the late registration or lateenrollment deadline in order for the student to be considered enrolled. Ifthe Administrative Withdrawal occurs during a semester in which the studentis enrolled, he or she may continue to attend classes for that semester,while resolving the obligation which led to the withdrawal. If a graduatingsenior is administratively withdrawn his/her graduation date will bedetermined by the date of resolution which clears the outstandingobligation.4. End of Semester Withdrawal. A student who is not subject to academicsuspension or dismissal may choose to withdraw from the University after theend of any semester of enrollment and prior to the beginning of thefollowing semester, by notifying the Registrar. The effective date ofwithdrawal will be the last date of the semester during which the studentwas enrolled. Students who withdraw are automatically entitled toreadmission pursuant to the conditions of Section K, below.K. Readmission after Withdrawal.Students in good standing at the end of their most recent semester of

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enrollment may reenter the University after a withdrawal. In order to enrolland be entitled to pre-register, they must file a readmission application withthe Registrar by April 1 (for Fall semester) or October 15 (for Springsemester). To enroll but be ineligible to pre-register, they must file areadmission application by June 30 (for Fall semester) or by November 30 (forSpring semester). They must also process bill payment on time. If the student'sacademic status after his or her last semester of enrollment is suspension ordismissal, the student's eligibility for readmission is based on the guidelinesdescribed under Academic Status.

VI. GRADING SYSTEM AND CREDIT GUIDELINESThe aims of the grading system are to measure as fairly as possible the quality ofstudents' work and to assess their overall performance. The system of letter gradingis used to encourage evaluation on the basis of total performance. This philosophyrecognizes that the measurement of performance is a relatively inexact art.A. Grading Notations.Effective Fall 2004, the University’s official grading system forundergraduates in undergraduate courses is: A (4.000), A- (3.700), B+ (3.300),B (3.000), B- (2.700), C+ (2.300), C (2.000), C- (1.700), D+ (1.300), D(1.000), F (0), Inc (Incomplete: 0), NR (No grades submitted by the instructorfor the entire class: No effect on cumulative average), P (Pass: No effect onPage 23cumulative average), Y (Year-long course in progress: No effect on cumulativeaverage. Will be replaced by a permanent grade notation at the conclusion ofthe second half of the two-semester course sequence.), and Aud (Audit: Noeffect on the cumulative average or on credit toward graduation). A blank(annotated as __), where a grade is missing for an individual student, will becounted as 0 in the calculation of the cumulative average. An IF is recordedwhen an Incomplete is not resolved within the timeframe detailed in section Dbelow. The designation W (withdrawn) is not a grade; it is an administrativenotation, which has no effect on cumulative average.Undergraduates enrolling in graduate-level courses numbered 600 or above followthe graduate grading rules in which, for most courses, an SAT (satisfactory)grade is available instead of the elective pass/fail option available at theundergraduate level and in which C-, D+ and D are not valid grades.Five College plus and minus grades factor as follows: A- (3.75), B+ (3.25), B-(2.75), C+ (2.25), C- (1.75), D+ (1.25), D- (0.75).Prior to Fall 2004, the preceding grading system for undergraduates inundergraduate courses employed the following letter grades: A (4.0), AB (3.5),B (3.0), BC (2.5), C (2.000), CD (1.5), D (1.0), and F (0). The precedinggrading system did not employ the IF grade.B. Courses Which Do Not Earn Graduation Credit.No course marked F, IF, INC, W, Y, NR, blank (annotated as __) or AUD earnsgraduation credit. Courses numbered below the 100-level (e.g., MATH 011) earnsemester credit (i.e., they act to maintain status as a full-time student) butnot degree credit; grades in these courses are factored into the semester andthe cumulative grade point averages (see paragraph E. Repeated Courses).C. Grade Changes.Grades may not be changed if a proposed change is based upon the additional orre-evaluated work of a single student. (This restriction does not apply tograde changes resulting from appeals or other means of dispute resolution underestablished procedures.) Grades may, however, be changed if they are based onan instructor's re-evaluation of the work of all or a substantial portion ofthe class, or if based on routine correction of a clerical error. Such gradesmay be changed only when requested by the instructor of the course and approvedby the head of the department and the Undergraduate Dean of the college inwhich the course is offered.Note: After the start of the semester following a student's graduation, the

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student's academic record cannot be altered, except for instances of documentedinstitutional error. For more information, see the "Preface" at the start ofthese academic regulations.D. Incompletes.Students who are unable to complete course requirements within the allottedtime because of severe medical or personal problems may request a grade ofIncomplete from the instructor of the course. Normally, incomplete grades arewarranted only if a student is passing the course at the time of the requestand if the course requirements can be completed by the end of the followingsemester. Instructors who turn in a grade of "INC" are required to leave awritten record of the following information with the departmental office of theacademic department under which the course is offered: (1) the percentage ofwork completed, (2) the grade earned by the student on the completed work, (3)a description of the work that remains to be completed, (4) a description ofthe method by which the student is to complete the unfinished work, and (5) thedate by which the work is to be completed. In the case of an independent studywhere the entire grade is determined by one paper or project, the instructorshould leave with the department information pertaining to the paper orproject, which will complete the course. To avoid subsequent misunderstandingPage 24it is recommended that the student also be provided with a copy of thisinformation.Grades of Incomplete will be counted as F's until resolved. If not resolved bythe end of the following semester, they will automatically be converted to an Fif taken before Fall 2004, to an IF if taken thereafter. Faculty wishing toextend this deadline must write to the Registrar's Office stipulating aspecific date by which the incomplete will be completed.Grades of Incomplete recorded prior to Fall 1987 are not subject to the abovepolicy.Students are not permitted to re-register for a course in order to clear anIncomplete.Requests for grade changes from INC to Y, from INC to a grade, from NR to agrade, or from a blank (__) to a grade require the signature of the instructoronly. In situations where an instructor has permanently left the employ of theUniversity, the department chair or head (or designee) may change an "INC" to afinal course grade after reviewing the information on student performanceoriginally provided by the instructor at the time the "INC" was submitted andcompleting an evaluation of the makeup work of the student. Changes of an "INC"grade by the chair or head (or designee) require the signature of theUndergraduate Dean in the school or college in which the course is offered.This procedure would be normally used only in cases where the original courseinstructor cannot be contacted or the instructor refuses to evaluate the makeupwork of the student or to provide an opportunity for the student to make up themissing work.E. Repeated Courses & Course Substitutions.No course for which a grade of C or higher was earned may be repeated. A course forwhich a grade of C-, D+, D or F (or CD before 2004) was earned may be repeated onetime without permission. A course may be repeated a second time, for a total ofthree times, only with prior permission of the undergraduate dean of the school orcollege in which the student is enrolled. Under no circumstances may a student take acourse more than three times. Successful registration for a course does notconstitute permission.All enrollments and all grades will appear on the transcript, but the last grade willbe calculated in the GPA unless the dean files an appeal with the Registrar.Repeating a UMass Amherst course at another of the Five Colleges, at another campusof the University of Massachusetts, or at any other institution will not result ingrade substitution.If an academic honesty sanction has been imposed, the grade specified in the sanction

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will always be calculated in the GPA.NOTE: Repeating a course can have negative consequences. For example, if a passinggrade of C-, D+ or D (or CD before 2004) was received in the first enrollment, but afailing grade is received when the course is repeated, no credit would be earned foreither attempt. Repeating a previously passed course may also have an effect onfinancial aid eligibility. Students considering repeating previously passed coursesshould consult their academic advisors and Financial Aid staff.Course Substitution PolicyA student may propose a substitution for a required course. The course content of theproposed substitute must be substantially similar to that of the original requiredcourse. A proposal for substitution must be endorsed by the undergraduate dean of thePage 25school or college in which the student is enrolled and is subject to final approvalby the Registrar.F. Practica and Residential Colloquia Courses.Students are limited to a maximum of 18 credits in practica courses (numbered298 or 398 or 498) that are not required for the major.Students are limited to two residential colloquium credits in any givensemester and a maximum of 12 residential colloquium credits during theirundergraduate careers.G. Courses and Prerequisites.Students who have successfully completed a course may not subsequently take itsprerequisite for credit.H. Credit by Special Examination.Matriculated students may attempt to satisfy the requirements of a course bytaking a departmentally approved examination. Forms governing theadministration of such tests may be obtained in the Registrar's Office. A percredit fee will be charged. A student may earn no more than 15 credits in thismanner. Grades, including Fs, and credits for courses taken by examination areincluded in the cumulative average. Credit by examination may not be obtainedin courses for which a different examination mechanism exists, such as in Math,Freshman Writing, or foreign languages. Earned credits will be consideredresidence credits.I. University Exemption Tests.Students may earn exemption from certain requirements through testsadministered (1) by the New Students Program during the Freshman and TransferOrientations, (2) during registration periods. Where applicable, credits earnedwill be considered residence credit. In addition, students may be exempted fromthe foreign language requirements of the Colleges of Arts & Sciences throughtests administered in various departments or by faculty members in accordancewith the procedures established by the applicable College. Only these tests offoreign language yield credit.J. Advanced Placement Credit.Those students who are awarded advanced placement credit on the basis of aCollege Level Examination Program (CLEP) or an Advanced Placement (AP)examination administered by the College Board, or on the basis of a local exam,will be granted no grade for these credits. These credits, if appropriate, maybe counted toward satisfaction of the University's requirements. CLEP and APare transfer credits.K. Continuing & Professional Education Courses.Enrollment in courses offered by Continuing & Professional Education during thefall or spring semester requires the payment of Continuing & ProfessionalEducation course registration fees in addition to the applicable regularUniversity tuition and fees. The use of courses offered by the CPE during thefall or spring semester to fulfill regular University degree requirements isrestricted by the Regulations Concerning Enrollment in Continuing &Professional Education, listed elsewhere in Academic Regulations.1. Regular University degree students not subject to suspension or dismissal

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may enroll in courses offered by Continuing & Professional Education duringa summer session or intersession. Courses taken during these sessions willbe merged into the student's official undergraduate record and transcript.2. Students who have been admitted to a degree program at the University arenormally expected to complete their course requirements through enrollmentPage 26in regular course offerings and courses offered during summer andintersession. After matriculation, enrollment in courses offered byContinuing & Professional Education during the fall or spring semester isnormally restricted to six credits. Exceptions to these general restrictionsare detailed in the Regulations Concerning Enrollment in Continuing &Professional Education. If a student enrolls in courses offered byContinuing & Professional Education during the fall or spring semester, thecredits attempted and grades received in those courses will be merged intothe student's official undergraduate record and transcript.3. Students may not complete their senior year in absentia throughContinuing & Professional Education (except under the provisions ofconcurrent enrollment, see Section II Enrollment Categories, paragraphD. Continuing & Professional Education Students.).4. Students who are on suspension or who have been dismissed may not enrollin courses offered by Continuing & Professional Education except with thepermission of their undergraduate dean. If permission is granted (not doneautomatically), students will be classified as non-degree Continuing &Professional Education students. Credits attempted and grades earned duringthis period of enrollment will be factored into the students' undergraduaterecords and any subsequent readmission decisions.L. Stockbridge Courses.For students who have previously been matriculated in the Stockbridge School,Stockbridge courses are treated as residence credit with both credits andgrades factored into the undergraduate record.M. Five College Courses.Credits and grades attempted and earned through the Five College Interchangeprogram will be factored into the student's undergraduate record exactly asthey are sent to the Registrar's Office (i.e., plus and minus grades will beused). Credits completed are considered residence credits.N. University of Massachusetts Boston Courses.Effective with the Fall 1995 semester, credits from the University's Bostoncampus have been regarded as transfer credits according to paragraphs "O" and"P," below. Neither credits attempted nor grades earned factor into the gradepoint average. Credits attempted and grades earned at the Boston campus priorto Fall 1995 became part of a student's undergraduate records on the Amherstcampus only for those students admitted to an Amherst campus degree program inFall 1995 or earlier.O. Transfer Courses Taken Prior to First Enrollment at the University.When a student transfers to the University, credit for courses that areaccepted by the Office of Transfer Affairs will appear on the student'sofficial transcript, but grades for these courses will not appear, nor willthey be factored into the student's grade point average. Students who have beenawarded transfer credit for courses equivalent to those offered by theUniversity of Massachusetts Amherst may not repeat those courses on campuseither for credit or for quality points affecting the cumulative average.Students may, however, officially audit courses for which transfer credits havebeen granted, or in unusual circumstances may, with the approval of anUndergraduate Dean, re-elect the course for a grade but no graduation credit.Credits completed are not considered residence credits.P. Transfer Courses Taken After Initial Enrollment at the University.Students may decide to take courses at another institution during the summer orwhile on leave from the University. In this instance, students must file a

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prior approval form to determine which University and/or major requirementswill be fulfilled upon completion of the course. Failure to do so may result inPage 27the denial of the transferring of the credits. Credits will be factored intothe student's undergraduate record and may affect the semester count. Gradeswill not be factored in. Credits completed are not considered residencecredits.Q. Reports and Transcripts.At the end of the Fall, Winter, Spring, and final Summer term, final grades areavailable to students for their online review.Questions concerning the cost (if applicable) of official or unofficialtranscripts should be directed to the Undergraduate Transcript Office. Notranscript may be sent outside the University without a student's writtenrequest.

VII. PASS/FAIL OPTIONThe purpose of the Pass/Fail option is to encourage students to be venturesome in thechoice of their courses. Any undergraduate shall be eligible to exercise a Pass/Failoption in one course each term. Winter and each summer session count as individualterms. Students electing courses offered on a mandatory Pass/Fail basis (e.g., UMASS298Y) shall also be allowed to take one additional, normally graded course thatsemester on a Pass/Fail basis.A. Pass/Fail Limits.1. Students subject to the University's General Education requirements maynot fulfill any of those requirements by a course for which a "Pass" grade(P) is recorded. (Students should not elect the Pass/Fail option for coursesthat they wish to count toward their General Education requirements.)2. The University's writing requirements may not be elected Pass/Fail.3. Some majors prohibit using the Pass/Fail option to fulfill theirrequirements.4. Students wishing to exercise the Pass/Fail option must do so by themid-semester date.B. Recording the Pass/Fail Option.When students choose to take a course with the Pass/Fail option, the instructorwill not be informed. At the end of the semester the instructor will turn inthe letter grade earned. If the grade is F, it is factored in. If the studentreceives a passing grade, an initial computation of the cumulative average willbe made. This average will include all graded courses from prior semesters aswell as graded courses from the current semester. If the course electedPass/Fail during the current semester carries a grade higher than the initiallycomputed cumulative average, the reported grade will be recorded and thecumulative average recomputed; otherwise the P or F will be recorded. (A gradeof P is not assigned any quality points and does not enter into the computationof the cumulative average; the grade of F is always assigned 0.0 quality pointsand is used in computing the cumulative average.) A student may opt for thegrade, even if it lowers his or her cumulative average, or a student may optfor a pass, even after the Registrar has changed a pass to a grade because itraised the student's average. Students may request this change at any timeprior to graduation by completing a "Revoke Pass/Fail" form available in 213Whitmore. Once the student is graduated, the transcript is considered closed.Page 28

VIII. ATTENDANCEStudents are expected to attend all regularly scheduled classes at the University forwhich they are registered. In cases of illness, students are to explain theirabsences directly to their instructors. The grades of students who have met therequirements of the instructor in making up their work shall not be reduced forabsence because of illness. Students are not to be penalized for official off-campustrips.

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During the Add/Drop period, faculty members are allowed to drop students who areabsent from the first two class meetings and have failed to make special arrangementswith the instructor. However, students should be aware that non-attendance is not ameans of automatically dropping a course. Students who intend to drop a course shoulddo so during the Add/Drop period. Students who do not drop or withdraw from a coursethrough normal procedures may receive a grade of F for the course.Thereafter, although an instructor may not unilaterally drop a student from a coursefor poor attendance, an instructor teaching a course where grading criteria arespelled out may lower a grade or even fail a student for poor attendance (see CourseManagement Guidelines For Instructors). Faculty may, however, drop from the roster astudent who is disruptive in the classroom (see Section V. Registration in Coursesand Withdrawal, paragraph E. Removal from Roster by Instructor Due to Non-Attendance,etc.).Students absent due to extenuating circumstances-including jury duty, militaryobligations, scheduled activities for other classes, the death of a family member, orverifiable health-related incapacity-remain responsible for meeting all classrequirements and contacting the faculty member in a timely fashion about making upmissed work. Faculty shall offer such students reasonable assistance in making upmissed classes (i.e., making arrangements for attendance at labs or discussionsections which meet at other times; providing makeup exams or labs where feasible oroffer mutually agreeable alternatives to make up work).When scheduled events, such as athletic events, conflict with more than 20 percent ofthe scheduled meeting times of a course, the student is required to drop one or theother. When the overlap is less than 20 percent, the student may engage in bothactivities, but remains responsible for meeting all requirements of the course.In considering whether to grant an excuse for an absence caused by illness or otherextenuating non-academic reasons, faculty have the right to require formal, writtendocumentation, within the limits of the health care provider's policy (seeAdministrative Policies and Procedures, Section II. Excuses for Health Reasons).

IX. ABSENCES DUE TO RELIGIOUS OBSERVANCEThe University of Massachusetts Amherst requires that the University excuse anystudent who is unable to attend classes or participate in any examination, study, orwork requirement because of religious observance, as noted:Chapter 151C of the Commonwealth of Massachusetts General Law states:“Any student in an educational or vocational training institution, other than areligious or denominational educational or vocational training institution, who isunable, because of his religious beliefs, to attend classes or to participate in anyexamination, study or work requirement on a particular day shall be excused from anysuch examination or study or work requirement, and shall be provided with anopportunity to make up such examination, study, or work requirement which he may havemissed because of such absence on any particular day; provided, however, that suchmakeup examination or work shall not create an unreasonable burden upon such school.No fees of any kind shall be charged by the institution for making available to thesaid student such opportunity. No adverse or prejudicial effects shall result to anystudent because of his availing himself of the provisions of this section.”Page 29Instructors must accept a student’s assertion of the need to be absent from class forreligious reasons, but students are required to notify instructors in advance thatthey will miss class in order to observe a religious holiday. University policyand Massachusetts state law require faculty to offer make-up assignments or exams tostudents who are absent for religious observance.Students and instructors can ascertain the dates of many religious holidays byconsulting an interfaith calendar such as:http://www.interfaithcalendar.org/See also other online calendars posted on the Office of Religious and Spiritual Lifewebsite athttp://www.umass.edu/religious_affairs/calendars/.

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Note, however, that none of these calendars is exhaustive.Students planning to be absent from classes due to religious observance must notifytheir instructors in writing as early in the semester as possible, but no later thanone week in advance of the absence with the exception of holidays falling during thefirst week of the academic year. In the event of a dispute between a student and afaculty member, either party should contact the department head or the Ombuds Officeat (413) 545-0867.

X. EXAMINATIONSA. GeneralIf students miss a quiz, test, or examination for extenuating personalcircumstances, the policy stated under Attendance will apply.Students have a right to examine, though not necessarily to retain, allmaterials - such as homework, lab reports, quizzes, tests, and examinations -that they have submitted to an instructor for evaluation. Students who wish toexercise this right but cannot easily do so because of absence, illness, etc.,must inform their instructor in writing before the end of the succeedingsemester. Instructors are therefore required to retain these materials throughthe succeeding semester. Instructors are required to protect student s'confidentiality in handling all evaluations.B. Evening ExaminationsEvening exams should be scheduled from 7:00-9:00 p.m. on Wednesdays, Thursdaysor Fridays. In a situation where an evening exam is scheduled the same time asa once-a-week class meets, the class takes precedence over the evening examprovided that the class (lecture section only) meets on Mondays or Tuesdayevenings. The students are entitled to a reasonable accommodation for a makeupexam.In addition, it is University policy that if a student is scheduled to take twoevening examinations at the same time, the faculty member teaching the coursewith the higher final digit (or digits) in its class number (the unique 5-digitnumber which represents a particular section in the Schedule of Classes) isrequired to offer a make-up examination.* Proof of the conflict must beprovided by the student (for evening examinations, this may be obtained fromthe Registrar’s Office).C. Final ExaminationsIt is University policy that all final examinations be given during thescheduled final examination period. In courses in which no final examination orother class activity is scheduled during the final examination period, noexamination should be scheduled during the final week of classes nor during theReading Period. Non-cumulative exams must be scheduled during the finalexamination period if there is no cumulative final for the course.Page 30Noncumulative exams may be scheduled during the last week of classes only inclasses in which an additional final exam is scheduled during the finalexamination period. This policy applies to both undergraduate and graduatecourses. Complaints of violation of the formal policy on examinations in thefinal week of classes should be directed to the Department Head/Chair. If afaculty member is then found to have violated this policy, the Head/Chair willbe responsible for ensuring that a make-up or alternative examination, similarin content and structure, is scheduled during the appropriate final examinationperiod, and that all students in the course are notified of this option priorto the administration of the examination during the final week of classes.Further, it is University policy not to require students to take more than twofinal examinations in one day of the final examination period. If any studentis scheduled to take three examinations on the same day, the faculty memberrunning the chronologically middle examination is required to offer a make- upexamination if the student notifies the instructor of the conflict at least twoweeks prior to the time the examination is scheduled. The student must provide

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proof of the conflict. This may be obtained from the Registrar's Office, 213Whitmore.In addition, it is University policy that if a student is scheduled to take twofinal examinations at the same time, the faculty member teaching the coursewith the higher final digit (or digits) in its class number (the unique 5-digitnumber which represents a particular section in the Schedule of Classes) isrequired to offer a make-up examination.* Proof of the conflict must beprovided by the student (for final examinations, this may be obtained from theRegistrar’s Office).All make-up final examinations caused by schedule conflicts must be givenduring the calendar period of the final examination schedule. Make-upexaminations may be scheduled during hours that fall outside the normalexamination time periods.*For example, if examinations for ENGLISH 172 (class #71123) and MATH 132(class #27514) are scheduled at the same time, a student enrolled in bothcourses will have a make-up examination provided by the instructor in Math.

XI. MAJORS, MINORS AND RELATED PROGRAMSEach college and school has academic programs from which students may choose aparticular area of study. This is the major, a prescribed number of courses andcredits in a specific academic subject. There are nearly 100 majors at theUniversity, some with special areas of concentration. Some majors have specific areasof specialization (tracks) which must be determined at some point early in thestudent's academic career. Some departments or programs may specify ContinuationRequirements in order for the student to progress successfully through and/or remainin the major. Please consult the Chief Undergraduate Adviser in each department forall of the above. .Students who wish to have a primary major in one discipline may also choose to have asecond area of concentration in another. This can be done through a double major(second major), a double degree, a minor, or a certificate.A. Change of Major.Students who wish to change their major must obtain a Change of Major form fromeither the Registrar, an Undergraduate Dean, or a major department. Theprocedure is as follows: A student obtains the authorization of the newdepartment, obtains a release and the academic records folder (if any) from theformer department, deposits the folder in the new department, and returns thePage 31Change of Major form endorsed by both departments to the Registrar's Office.All students who are members of Commonwealth Honors College also secure thesignature of a Commonwealth Honors College advisor before submitting theirmajor change to the Registrar's Office. Departmental honors students needadditional signatures from the departmental honors coordinator to be admittedto and/or drop departmental honors.Any undergraduate student enrolled in the University is permitted to changemajors. No college, school, department, or program may refuse to accept astudent's change of major unless that unit has received from the Provost and/orthe Faculty Senate authorization to restrict admission. Students whose changeof major might result in a plan of study requiring more than ten semestersshould consult with their Undergraduate Dean.B. Double Major.A student may earn a second major and have it recorded on the officialtranscript provided that:1. Both majors are completed within the ten semesters allowed for thecompletion of all graduation requirements.2. A student declares a primary and secondary major by submitting to theRegistrar’s Office the Change of Major form declaring these majors,preferably by the end of the sophomore year. Both majors will appear on thestudent's transcript. Once the primary major is determined, the student may

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use courses from the second major to satisfy University and College/Schoolrequirements.3. The second major lies in the same school or college as the primary major.If the second major lies in a school or college other than that of theprimary major, the student must obtain clearance from the Undergraduate Deanof the college of the second major to verify that all requirements forgraduation from that college have been satisfied.4. Prior to graduation, an authorized representative of the second majorfiles a formal certification with the Registrar to confirm that allrequirements for that second major have been completed.5. The student has not yet graduated. Students once graduated may notretroactively seek a double major, but may re-apply for a Post Graduate SecondBachelor's Degree (see paragraph C. Second Bachelor’s Degree, number 2).C. Second Bachelor's Degree.Students may be considered for Second-Bachelor's Degree status in one of twocategories. (Note that Second Bachelor's Degrees are not available in allmajors).1. Simultaneous Second Bachelor's Degree(a) Enrolled students of this University may earn a second bachelor'sdegree by completing a minimum of 30 additional credits beyond thosenormally required for graduation, all of which must be in residence.Students need not complete one degree and then start the other. Bothdegrees must be completed within ten semesters and both degrees mustbe awarded simultaneously. Students once graduated may notretroactively seek a second simultaneous degree, but may apply forPost-Graduate degree status. (Credits earned under the first degreethen, even if they are in excess of the required 120, are notapplicable toward the Post-Graduate Second Bachelor's Degree.Individual departments may waive certain requirements based on workfrom the first degree.)(b) Students are urged to declare their second major early in theiracademic career, preferably by the end of the sophomore year. InPage 32their senior year, students pursuing a simultaneous secondbachelor’s degree must submit to the Registrar’s Office acertification confirming completion of all requirements for thesecond degree. This must be submitted before their scheduledgraduation date.2. Post-Graduate Second Bachelor's Degree(a) Graduates of other institutions who wish to earn a second bachelor'sdegree at this University must complete a minimum of 45 credits inresidence at the University.(b) Students who attended this University will have their residencyrequirements handled on an individual basis; usually only 30additional credits in residence are required.(c) The department, in conjunction with the undergraduate dean, willestablish a semester-by-semester Plan of Study including minimallyacceptable grades and any additional school or college requirements.Students who fail to meet the exact terms of this contract will besubject to Administrative Withdrawal. Changes to the original Planof Study for the admitted Program may be made only with the approvalof the students' undergraduate dean. Students who wish to changetheir major must reapply for the new major through the AdmissionsOffice and withdraw from the current admitted program.(d) Clearance for the Post-Graduate Second Bachelor's Degree requirescertification from the major and college that all graduationrequirements have been met.D. Minors.

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A minor is a limited number of prescribed credits, 15 credits minimum, andcourses in an academic department. Not all departments offer approved minors.Students interested in having a minor should consult the Guide to UndergraduatePrograms to determine whether a minor in that field has been approved, and therequirements for its completion. The minor must be completed within the 10semesters allowed for the completion of all graduation requirements, includingthe major. Prior to graduation, students must file with the Registrar a formalcertification from an authorized representative of the unit offering the minorthat all requirements for the program have been completed. These requirementsinclude the completion of all courses/credit hour requirements in the minor andthe attainment of at least a 2.000 average in the program courses with no morethan one of these courses having a grade of less than 2.000. Students areeligible for Minors only if currently enrolled in an approved major leading toa baccalaureate degree at the University.E. Certificates.A certificate program is a coherent set of courses representing a defined bodyof knowledge and skills Certificates may represent a subset of the requirementsfor existing degree programs; may reflect a multidisciplinary perspectivedrawing coursework from more than one existing program; or may constitute arelatively free-standing area of focus with little formal connection toexisting academic programs. A certificate program must consist of at leastfifteen credits of coursework. Certificates are open to allstudents, undergraduate and graduate, matriculating or non-matriculating,subject to availability of courses and unless otherwise restricted.A student who has completed the requirements for a certificate should contactthe sponsoring department or program, which will notify the Registrar that therequirements have been met. These requirements include the completion of allcourses/credit hour requirements in the certificate program and the attainmentof at least a 2.000 average in the program courses with no more than one ofthese courses having a grade of less than 2.000.Page 33

XII. HONORSThe University provides three routes for obtaining Honors recognition.A. Dean's List.Students will be appointed to an official Dean's List at the end of a semesterin which they complete a minimum of 12 graded credits with a grade pointaverage of 3.500 or better. Dean's List is not a graduation honor. Questionsabout the Deans List should be referred to the Registrar's Office.B. For All Students.All graduating seniors are eligible for Latin honors designations on diplomasand transcripts if his/her complete academic record shows at least 54calculable credits at the University of Massachusetts Amherst and meets one ormore of the following criteria:1. If a student’s GPA places him/her among the top 5% of the graduatingclass of his/her school or college, then he/she will receive the degreesumma cum laude.2. If a student’s GPA places him/her among the top 10% of the graduatingclass of his/her school or college, but not among the top 5%, then he/shewill receive the degree magna cum laude.3. If a student’s GPA places him/her among the top 25% of the graduatingclass of his/her school or college, but not among the top 10%, then he/shewill receive the degree cum laude.The Registrar will annually post on their website the GPA needed to secure aplace in the top 5%, 10%, and 25% in each school or college for the currentyear, based on the average of the previous three years’ graduating classes.NOTE: For all students admitted Spring 2009 or earlier and who graduate within5 years, cum laude will be based on a 3.200 GPA and 45 calculable credits.

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Students admitted after Spring 2009, cum laude will change to the top 25% GPAas stated above.C. For Commonwealth Honors College Students.The Commonwealth Honors College Curriculum Committee and Dean, using criteriathat they shall determine, may recommend a student who has completed therequirements of the Commonwealth Honors College for any one of the followingdesignations upon graduation:1. Commonwealth College Honors with greatest distinction.2. Commonwealth College Honors with great distinction.3. Commonwealth College Honors with distinction.4. Commonwealth College Honors.A student who meets both criteria for Commonwealth College honors and Latinhonors will receive the degree with honors of both types—for example, “B.A.magna cum laude, Commonwealth College Scholar with the greatest distinction.”NOTE: For Commonwealth Honors College students, admitted Spring 2009 or earlierand who graduate within 5 years, cum laude will be based on a 3.200 GPA and 45calculable credits, magna cum laude will be based on a 3.500 GPA and summa cumlaude will be based on a 3.800 GPA. Students admitted after Spring 2009, willbe subject to the new Latin honors as stated above.Page 34

ENROLLMENT REGULATIONS FOR CONTINUING &PROFESSIONAL EDUCATION (CPE)There are three categories of credit-bearing courses offered on the Amherst campus ofthe University:A. Regular University Course Offerings.During the fall and spring semesters, the Registrar's Office schedules theregular course offerings of academic departments and programs. These arepublished through the online student information system, SPIRE, by theRegistrar’s Office. In these regulations, these courses are referred to as"regular University course offerings." Matriculated students are expected toenroll in these courses through the Registrar's standard procedures, and to payregular University tuition and fees appropriate to the enrollment status.Registration in regular University course offerings through Continuing &Professional Education is restricted by the regulations detailed below.B. Continuing & Professional Education Course Offerings.During the fall and spring semesters, Continuing & Professional Educationoffers courses that have been authorized by academic departments and programs.These are listed in schedules issued by Continuing & Professional Education. Inthese regulations, these courses are referred to as "courses offered byContinuing & Professional Education." Students who enroll in these courses paytuition and fees to Continuing & Professional Education, in addition to anytuition and fees paid as a result of enrollment in regular University courseofferings. Only students matriculated in degree programs administered byContinuing & Professional Education may add or drop CPE courses directlythrough SPIRE. All other students must enroll through the CPE Office or the CPEwebsite at UMassULearn.net.C. Winter and Summer Sessions Course Offerings.During the January winter session and the summer sessions, Continuing &Professional Education offers courses that have been authorized by academicdepartments and programs. Only Continuing & Professional Education offerscourses during the winter session and summer session; there are no regularUniversity course offerings during these periods.Students who have been admitted to a degree program at the University are normallyexpected to complete their course requirements through enrollment in regular courseofferings and courses offered during summer and winter session. Such students are notnormally permitted to enroll solely in courses offered by Continuing & Professional

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Education. Exceptions to these general restrictions are detailed below. Requests forexceptions other than those detailed below require a petition to the UniversityRegistrar.

I. ENROLLMENT IN COURSES BY NON-MATRICULATED STUDENTSStudents who have never matriculated in a baccalaureate degree program at theUniversity may register through Continuing & Professional Education for both regularUniversity courses and courses offered by Continuing & Professional Education. Theyare classified as non-degree Continuing & Professional Education students. Enrollmentis on a space-available basis (no pre-registration is allowed; access may berestricted by departments or programs). Students pay Continuing & ProfessionalEducation registration and fees. Students who have never matriculated in abaccalaureate degree program at the University are not subject to any of thefollowing regulations.Page 35Students who have already received a baccalaureate degree from the University, andwho are not currently matriculated in a second baccalaureate program, are not subjectto any of the following regulations.Students who matriculated in a baccalaureate degree program at the University, butsubsequently transferred to a degree program at another University or campus, are notsubject to any of the following regulations. However, acceptance by anotherinstitution of courses completed on this campus is subject to the regulations of thatcampus.All of the above students are regarded as non-matriculated students. The Committee onAdmissions and Records will not be asked to rule on any issues involving nonmatriculatedstudents. This includes admission to courses, withdrawal from courses,or academic standing. Non-matriculated students are not held to the standards foracademic status applicable to students pursuing a degree program.

II. ENROLLMENT IN COURSES OFFERED BY CONTINUING &PROFESSIONAL EDUCATIONThe availability of courses offered by Continuing & Professional Education isgoverned by the policies of CPE. In all cases, Continuing & Professional Educationcourse registration fees must be paid in addition to regular University tuition andfees.Students who are enrolled as undergraduate students in the University during a fallor spring semester may register for up to six credits of courses offered byContinuing & Professional Education providing they are concurrently enrolled in 6credits of regular university courses. Permission of a student's undergraduate deanis needed, if the combined enrollment in regular University courses and coursesoffered by Continuing & Professional Education exceeds the maximum credit load of thestudent's school/college. Students concurrently enrolled will still be matriculatedstudents in the University, and will be considered full-time if their total creditload is at least twelve credits.Students whose work schedules prohibit their enrollment in regular University courseofferings may obtain an exception to the credit limit in the above policy. Thisexception may be obtained from the University Registrar. Students receiving thisexception will only be permitted to use this exception to register for coursesoffered by Continuing & Professional Education. They will not be permitted toregister in any regular University course offerings through Continuing & ProfessionalEducation.Students are responsible for taking any steps necessary to ensure that theirenrollments are merged, that the Registrar's Office has their correct enrollmentstatus (full-time or part-time), and that any payment/credit adjustments necessaryare made by the Bursar's Office and Financial Aid Services. Non-matriculated studentsmay be removed from CPE classes if they fail to attend or participate in classesbefore the end of add/drop for the class.Page 36

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III. ENROLLMENT IN REGULAR UNIVERSITY COURSE OFFERINGSTHROUGH CONTINUING & PROFESSIONAL EDUCATIONStudents who have matriculated in a baccalaureate degree program are not permitted toregister for regular University course offerings through Continuing & ProfessionalEducation.An exception to this policy is allowed for some students who have been withdrawn froma degree program for two years or more, and who wish to explore the possibility of acourse of study different from that in which they were previously enrolled. Suchstudents may request permission to enroll in a limited number of regular Universitycourses through Continuing & Professional Education, subject to the following:A. The purpose of this policy is to allow students to explore fields of studydifferent from those covered by their degree program during their previousperiod of enrollment at the University, prior to making a decision whether theywant to enroll in a new degree program. It is not intended as a means by whichstudents may continue the same degree program in which they were originallyenrolled.B. Students may request registration in regular University courses throughContinuing & Professional Education, and permission to apply courses offered byCPE to their degree requirements, for a period not normally to exceed twosemesters.C. All students must submit an educational plan, describing the courses inwhich they wish to enroll during the period covered by the plan, and explainingwhether they intend to (l) apply those courses to a degree program to bepursued at the University, or (2) use the courses for a purpose other thanpursuing a degree program at the University.D. Registration in courses does not imply acceptance into a major or degreeprogram.E. Students who intend to apply courses taken during the period covered by theplan to a degree program at the University should apply for readmission to theUniversity, and for acceptance into the intended major (if application to themajor is needed) prior to the end of the term covered by the plan. (Applicationfor readmission is governed by the regulations published in AcademicRegulations. The deadlines for readmission applications are set by theRegistrar's Office.)F. Students who were suspended from the University for academic deficiency atthe end of their last semester of enrollment, and who intend to apply coursestaken during the period covered by the plan to a degree program at theUniversity, may enroll in courses only with the permission of the undergraduatedean of the school or college in which they intend to enroll upon readmission.G. Students who were dismissed from the University for academic deficiency maynot enroll in any regular University courses.Requests to be considered under the above policy must be made to the UniversityRegistrar.The University provisions for readmission following an absence of three or more yearsfrom the University are described in Section III Academic Status, paragraphK. Special Provisions for Reinstatement after Extended Absence from the University.(Fresh Start). Students should be aware that, under that policy, "an absence of threeor more years from the University" is defined as non-enrollment in any courses on thePage 37Amherst campus, whether regular University course offerings or courses offered byContinuing & Professional Education.

IV. EVALUATION OF THE PRE-MATRICULATION RECORDThe following regulations apply to the evaluation of a student's record as a nonmatriculatedstudent, once the student has been admitted to and is matriculated in abaccalaureate program at the University.A. A maximum of 15 credits completed through Continuing & Professional

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Education prior to the student's matriculation will be accepted as residencecredit (will be applied toward the minimum 45 credits required in residence),but the grades earned in these courses will not be included in the calculationof the cumulative grade point average.B. For students who matriculated into a degree program prior to the Spring 1993semester, all enrollments through Continuing & Professional Education prior tomatriculation will count, both toward residence credit and in the calculationof the cumulative grade point average.C. Students who matriculated during or after the Spring 1993 semester will havetheir pre-matriculation credits earned in Continuing & Professional Educationevaluated by Transfer Admissions at the time of admission. However, the studentmay elect to have pre-matriculation coursework completed prior to Spring 1993accepted according to the provisions of (B), above.If a student has enrolled in regular University courses as a Special Student (anenrollment category defined in the academic regulations), and subsequentlymatriculates in a baccalaureate program at the University, the provisions stated in(A), (B) and (C) above apply to that student's pre-matriculation record as well.Page 38

ACADEMIC GRIEVANCE PROCEDUREI. INTRODUCTIONThe students, faculty and administration of the University of Massachusetts Amherstrecognize the need to provide an orderly process for the resolution of academicgrievances. The following Grievance Procedure has therefore been created to meet thisneed. This procedure applies to all undergraduate and graduate degree programs, andall courses offered by the Amherst campus, including courses offered by Continuing &Professional Education.This procedure is the only official procedure for resolving academic grievances. Noschool, college, department or office on the Amherst campus may require any studentto pursue an academic grievance through any other procedure.Grievances which have been brought to a hearing under another campus grievanceprocedure shall not be brought to a hearing under this procedure. Students who file awritten grievance under this procedure shall be expected to abide by the finaldisposition of the grievance, and shall be precluded from seeking review of thematter under any other procedure within the University.The Provost's Office shall be responsible for the distribution of this document.Copies shall be kept on file by all deans, department heads and chairs, undergraduateprogram directors, Pre-Major Advising Services, the Arts & Sciences Advising Centerand all other centers that are responsible for undergraduate academic advising, andthe University Ombudsperson. Additional copies shall be available upon request fromthe Provost's Office, the Faculty Senate Office and the Ombuds Office. Both theexistence of the procedure and the role of the Ombuds Office shall be summarized inthe Guide to Undergraduate Programs and the Graduate School Bulletin, and the entireprocedure shall be published in Academic Regulations and the Graduate SchoolHandbook.

II. DEFINITIONS AND FORMAL PROCEDUREA. Process Manager.The Ombuds Office is the process manager for grievances brought under thisprocedure. As such, the Ombuds Office is responsible for ensuring that onlythose matters properly defined as academic grievances are pursued through thisprocedure, for advising all concerned parties of their rights and obligationsunder this procedure, for convening hearing panels, and for schedulinghearings. The Ombuds Office has discretion to extend timelines. For each formalgrievance which proceeds to a hearing, the Ombuds Office shall maintain aconfidential file open only to the student, the respondent, the responsibleacademic administrator, and the Hearing Panel.B. Definitions.

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Student - The student or students bringing a complaint under this procedure.This includes matriculated and non-matriculated students registered for classesduring the fall or spring semester through the undergraduate registrar'soffice, the graduate registrar's office, or Continuing & ProfessionalEducation; matriculated and non-matriculated students enrolled in classesoffered during the winter session or a summer session; and matriculatedgraduate students on program fee.Respondent - An employee of the University who has made an officialdetermination with respect to the academic performance or academic record ofthe student. Graduate students who serve as teaching assistants or coursePage 39instructors may also be named as respondents. If the grievance results from apolicy which a graduate student was instructed to carry out by a facultysupervisor, then the graduate student and faculty supervisor should be named asco-respondents.Academic Grievance - A complaint by the student alleging that the respondenthas caused the student to suffer some specific harm related to an academicmatter within the authority of the Provost's Office. However, complaints thatconcern (1) matters of academic judgment, or (2) the substance (as opposed tothe administration) of University, campus, Faculty Senate or School and Collegepolicies and regulations shall NOT be considered grievances under thisprocedure.Academic Judgment - The evaluation of a student's academic performance and theassignment of a grade as a result of that evaluation shall be considered amatter of academic judgment, and therefore not subject to a grievance exceptwhere the grade has been determined in an arbitrary and capricious manner orwhere the procedure used in the evaluation is found to be in violation ofUniversity policy or state or federal statute.University policy - Any policy which has been approved by the Provost, theChancellor, the Board of Trustees, or the Board of Higher Education or anysuccessor board.Arbitrary and capricious grading - (1) The assignment of a course grade to astudent on some basis other than performance in the course, or (2) theassignment of a course grade to a student by resorting to unreasonablestandards different from those which were applied by the same instructor toother students in that course, or (3) the assignment of a course grade by asubstantial, unreasonable and unannounced departure from the instructor'spreviously articulated standards.Written notification - When notification in writing is required, this may occurby way of a suitable record of e-mail transmissions in any situation whereprivacy rights are not infringed by the use of e-mail according to writtenUniversity policy, and where the recipient has previously provided the senderwith his or her e-mail address. The word "confidential" should be inserted inthe subject line of the message. Hard copies of all e-mail transmissions shouldbe maintained by the sender. Written correspondence not done by e-mail will besent to instructors at their departmental address, and to students at theircurrent address as recorded at the University.For the purpose of determining deadlines, the event which gives rise to thegrievance shall be deemed to have occurred when the student may reasonably beassumed to have become aware of its existence.Semester days - Calendar days which fall within either the fall or springsemester and include all weekends and holidays which fall between the beginningand end of a semester. The beginning and end of a semester are defined as thefirst and last days upon which regularly scheduled classes are actually held.Responsible academic administrator - In cases where the student is a graduatestudent, the Dean of the Graduate School; in cases where the student is anundergraduate student, the Provost or designee.C. Attempting Informal Resolution Prior to Instituting a Grievance.

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Students should attempt informal resolution prior to instituting a formalgrievance. Assistance or advice in doing this is available from the OmbudsOffice. Students should do this as soon as they become aware of the event whichgives rise to the grievance, bearing in mind that, should attempts at informalresolution fail, the formal grievance must be initiated on or before the 45thday of the following semester (see below).Page 40The student should discuss the event that gives rise to a grievance with therespondent as soon as possible. In the event that the respondent has left theUniversity, the respondent's line academic supervisor (usually a departmenthead) will immediately furnish the student with the address or telephone numberof the respondent. Where that is not possible, the first line academicsupervisor with the ability to effect a change of grade or take otherappropriate action will assume the role of the respondent. At the request ofany of the parties, the respondent's line academic supervisor may becomeinvolved in the attempt at informal conciliation, provided that the supervisoris willing to become involved.D. Initiating a Formal Grievance.If attempts at informal resolution are not successful, or if informalresolution is not attempted, the student may initiate a formal grievance. Forgrievable events which are alleged to have occurred during either the fallsemester or winter session, the student must initiate the formal grievanceprocess on or before the 45th day of the next following spring semester. Forgrievable events which are alleged to have occurred during the spring semesteror summer sessions, the student must initiate the formal grievance process onor before the 45th day of the next following fall semester. Should the 45th dayfall on a weekend, holiday, or day on which the University is officiallyclosed, the period will be extended to the next day that the University isofficially open.1. The student formally notifies the Ombuds Office of the grievance. Thestudent writes a letter to the Ombuds Office in which the studentidentifies: the respondent, the action(s) which are the basis of thegrievance, and the harm alleged to have been caused as a result of therespondent's action(s). The letter should describe the substance of thegrievance, any steps that have been taken to try to resolve it, any evidencethat might be introduced at a hearing, and the relief that the student wouldfind acceptable. From this point on, in the absence of credible and relevantnew evidence, the student's pursuit of the academic grievance must remainconsistent in content and scope with this formal letter, and respondentswill be expected to respond only to the issues raised in this letter.2. The Ombuds Office notifies the respondent of the grievance. Within sevencalendar days of receiving the student's formal grievance letter, the OmbudsOffice sends a copy of it to the respondent, along with a notice specifyingthe deadlines involved.3. The respondent answers the grievance. The respondent writes a letter ofresponse to the Ombuds Office, describing the respondent's position to thestudent's allegation. From this point on, in the absence of credible andrelevant new evidence, the position of the respondent must remain consistentin content and scope with this letter. If the respondent refuses to submit aletter of response, the respondent's presentation of the case at anysubsequent hearing will be limited to the submission of physical evidence;the respondent will be precluded from offering evidence by his or her owntestimony or by the testimony of other witnesses.4. A hearing on the grievance will be held within 20 semester days of thestudent filing the formal grievance letter. If the grievance is filed withfewer than 20 semester days remaining in the semester, the hearing may bedelayed until as long as 20 semester days from the beginning of thefollowing semester. The process may go forward during intersession or the

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summer if the student so requests and the respondent can be present. Thestudent's and respondent's rights and obligations in the hearing process aredescribed below. The Ombuds Office will schedule the hearing, and will givethe student and respondent at least seven days notice. The student andPage 41respondent will be responsible for notifying their respective advisers andwitnesses, and shall provide the Ombuds Office with their names and roles.5. Postponement of hearing pending parallel procedures: The circumstanceswhich gave rise to the grievance may also have given rise to a relatedmatter which is the subject of another formal procedure on campus. When thisis the case, either the student or the respondent may request of the OmbudsOffice that the hearing of the grievance be postponed pending the outcome ofthe other procedure. The Ombuds Office, in consultation with the processmanager of the other procedure, shall determine the appropriateness ofpostponing the hearing.E. Hearing Panels.The Ombuds Office will convene a panel to hear an appeal. Each Hearing Panelwill be composed of five disinterested persons. Three will be members of theUniversity faculty, and two will be students (of the same graduate orundergraduate constituency as the student in the case). If the respondent is agraduate student, he or she may choose to have one of the faculty members onthe Panel be replaced by a graduate student who is or has been a teachingassistant or teaching associate on the Amherst campus. The members of the panelare to be appointed by the Ombuds Office in consultation with the Secretary ofthe Faculty Senate, the President of the Student Government Association, andthe President of the Graduate Student Senate. One of the faculty members on thePanel shall serve as chair.All five members of the Panel must be present at a hearing. The Hearing Panelwill evaluate all evidence and arguments presented to it by the student and therespondent, and will inform the responsible academic administrator of itsdecision within fourteen calendar days of the conclusion of the hearing. Thechair of the Hearing Panel will ensure that the Panel will disregard anyarguments or evidence which have not been presented in the student's formalgrievance letter (D.1, above) or the respondent's answer (D.3, above).The Hearing Panel will keep in confidence all matters which come before it. Itsmembers will not communicate with each other about the nature of the grievanceor the response prior to the hearing.F. Rules of Hearing.The Ombuds Office is responsible for the reasonable implementation of theserules.1. Materials available to participants: At least five semester days prior tothe hearing, the student and the instructor must submit to the Ombuds Officecopies of any materials they wish the Hearing Panel to consider, so that theOmbuds Office may distribute them to the other party and the Hearing Panelfor review prior to the hearing. Any new material submitted at the hearingwill be accepted only at the discretion of the hearing panel. The partysubmitting the materials should provide enough copies for all parties andall members of the Hearing Panel, as well as a copy to be retained by theOmbuds Office. Any materials submitted in connection with the grievanceprocess are considered confidential.2. Persons present at the hearing: Attendance throughout the hearing islimited to: the student, the respondent, a representative of the OmbudsOffice who will serve as staff person during the hearing, members of theHearing Panel, and an advisor for each of the parties. Witnesses may bepresent at the hearing only when they are presenting evidence. An advisormay confer with and advise the student or instructor during the course ofthe hearing, but may not directly address the Hearing Panel except with theconsent of the Hearing Panel and the other party. This advisor may not be an

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attorney or an employee of an attorney, unless the opposing party is himselfor herself an attorney.Page 423. Failure of a person to appear: The Hearing Panel may proceed with thehearing and make it findings and decision even in the absence of any party,witness, or advisor who fails to appear. However, the Hearing Panel may notbase its findings of fact or decision on the fact that a person has failedto appear.4. Evidence: The Hearing Panel need not follow technical rules of evidence,but evidence shall be admitted only if it is the kind of evidence upon whichreasonable persons would rely in the conduct of serious affairs. The HearingPanel may consider evidence presented by affidavit, giving it such weight asit deems proper. All evidence shall be taken in the presence of all membersof the panel and of all the parties, except where any party is absent bydefault or has waived the right to be present. The burden of proof shall beplaced on the student, who must demonstrate, by a preponderance of theevidence, that one or more of the specified forms of arbitrary andcapricious grading has occurred and that its occurrence has adverselyaffected her or him.5. Presentation of the case: The representative of the Ombuds Office willmake a tape recording of the hearing. Statements from the parties will beaddressed to the Hearing Panel, not to each other. The chair will ensurethat the hearing does not become a debate or engagement between the twoparties. The time limits noted below are considered norms; the chair has thediscretion to allow extensions of time. The case will be presented in theorder noted below.The student and then the respondent will each present his or her documentaryevidence and witness testimony. Panel members and opposing parties mayquestion witnesses, through the chair. If either party wishes to putquestions to the other party, he or she will submit the questions to thechair, who shall decide if any of the questions submitted would be useful tothe panel's determination, and then ask the questions of the other party.Each party will then summarize his or her position.The hearing is considered concluded following the parties' summaries. Taperecording will end when the chair asks all persons present except Panelmembers to leave the room while the Panel discusses the evidence andformulates its decision. If necessary, the Panel may reconvene at a latertime to complete its deliberations, and the chair may be empowered by thePanel to obtain answers to questions from one or both of the parties thatoccur to the Panel during its deliberations.The chair of the Hearing Panel has the authority to modify procedures duringthe course of the hearing to accommodate unforeseen circumstances or needsof the parties or the Hearing Panel. If the chair is unable to exercise thisauthority, the representative of the Ombuds Office will appoint anotherfaculty member to act as substitute chair if necessary.The audiotape of the hearing will be placed in the grievance file of theOmbuds Office. Either the student or the respondent may request a copy ofthe tape, to be made at the party's expense. Any transcription of the tapeshall be at the private arrangement and expense of the party who desires thetranscript. Additional tape recordings of the hearing made be made by eitherparty.G. The Decision of the Hearing Panel.The chair will issue the written report of the Hearing Panel within fourteencalendar days of the conclusion of the hearing. The report shall be addressedto the responsible academic administrator (the Dean of the Graduate School orthe Provost or designee), and copies will be sent to the Ombuds Office, thestudent, and the respondent. The report will state the Panel's findings of factPage 43

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on the question(s) in dispute, and the Panel's recommendations for action, ifany. Both the findings and the recommendation shall be arrived at by a majorityvote of the Panel.The decision of the Hearing Panel cannot require an instructor to change agrade unless the instructor agrees to do so. If an instructor has been found(1) to have engaged in arbitrary and capricious grading, or (2) to be inviolation of University policy or state or federal statute, the hearing Panelshould recommend an appropriate method for redressing the situation.The Hearing Panel's findings of fact are final, and are binding on all parties.The Hearing Panel's recommendations shall be binding on all parties insofar asthey have the authority to comply. It need not be binding on the Universityadministration or on persons who are not parties to the grievance, but will bea recommendation under those circumstances.H. Appeals.The Hearing Panel's findings of fact are final, and may not be appealed.Appeals may be made only on the basis of a violation of due process, or on thebasis of new evidence.Due Process Appeal: "A violation of due process" is defined as a failure tocomply with the Rules of hearing such that the failure reasonably may haveaffected the decision of the Hearing Panel to the harm of the party who hasappealed. If either party believes that he or she was denied due process by theHearing Panel, he or she may appeal in writing to the responsible academicadministrator. This appeal must be made in writing within thirty (30) calendardays of the release of the Hearing Panel's report. If the administrator findson behalf of the party making the appeal, the administrator may either ask theHearing Panel to rehear the case or ask the Ombuds Office to appoint a newpanel to rehear the case. The decision of the responsible academicadministrator will be based on her/his review of the official record of thehearing (official tape and exhibits) and the Hearing Panel's recommendation,which the administrator may accept, reject, or modify. The responsible academicadministrator shall rule on the appeal within 14 semester days after itssubmission. This grievance procedure shall be deemed to have been exhaustedonce the ruling of the responsible academic administrator has been rendered.New Evidence: In the event that new and compelling evidence becomes availableafter the Hearing Panel has rendered its decision, either the Student orRespondent may appeal to the responsible academic administrator for a rehearingof the grievance. The appeal shall be in writing and include a detaileddescription of the new evidence and an explanation as to why the new evidenceshould alter the initial decision of the Hearing Panel. After receipt of thewritten appeal, the administrator will have 30 semester days to decide whetheror not to grant a new hearing. The decision of the responsible academicadministrator on the appeal is final and may not be appealed. In the event thata new hearing is granted and the original Hearing Panel is no longer available,the Ombudsperson shall establish a new Hearing Panel to hear the grievance.I. Records of Academic Grievances.The Ombuds Office (or any successor agency designated as process manager ofthis procedure) shall maintain the record of an academic grievance for a periodof seven years following the awarding of a degree to the complainant. If nodegree is awarded to the complainant, the record shall be maintainedindefinitely.No record that an academic grievance has been filed may be made part of astudent's official file in a department or school or college office, except asnecessary to document a grade change (if relevant).Page 44

COURSE MANAGEMENT GUIDELINES FOR INSTRUCTORSI. INTRODUCTIONIn January of 1985, the Faculty Senate adopted the following guidelines as a means by

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which instructors could minimize confusion and misunderstanding in their courseswhich might lead to grievances by students (Sen. Doc. No. 85-021).A. Make available to each student an up-to-date syllabus that will provide thefollowing information:1. your course objectives;2. your expectations and any special requirements for papers, projects, labreports or exams;3. your attendance policies;4. your grading criteria and the approximate weight of each courserequirement in the final grade;5. your examination schedule and any make-up or rescheduling policies;6. your policies on academic honesty (e.g., attribution and collaborationbetween students);7. the location of your office and mailbox, and your office phone.Try to avoid major changes as the semester progresses.B. Since grading policies often tend to be a focus of confusion ormisunderstanding, take special care to articulate your grading criteria andinvite students to discuss related questions with you early in the course.Extra credit may be included in course grading policies at the discretion ofthe instructor. If opportunities for extra credit are offered, they should beequally available to all students, taking into account scheduling, economic, orother obstacles to participation. Reasonable alternatives for extra creditshould be considered in cases when such obstacles are likely.C. Avoid further misunderstandings by reminding students of theirresponsibilities in your course. For instance, remind them that it is theirresponsibility to take exams at the scheduled times and to know the location oftheir exams, to make alternative arrangements in advance if they have alegitimate reason for not being able to take an exam, and to provideappropriate explanation and documentation if they miss an exam without makingprior arrangements. Remind students also of your policies and officialUniversity policy on makeup exams.D. Announce field trips and other special meetings, preferably in class and inwriting. If these require activity on holidays and/or weekends, state thisclearly.E. Unless it is your custom to return exams, lab reports, papers, and projects,retain all your grading materials for timely review with students both duringthe semester and after final grades. Students have the right to discuss theirgrades with faculty. They should be apprised of your grading policies, seetheir work, and hear your evaluation of their work directly.Page 45If dis-enrolled, a student may appeal to the Dean of Students Office within 5business days. If the student appeals, the Dean of Students Office staff will keepthe instructor, the department chair or supervising faculty and the student informedof the status of any action to be taken.Page 46

STUDENT ABSENCE GUIDELINES FOR INSTRUCTORSI. INTRODUCTIONThe Office of the Provost and the Dean of Students Office regularly receive inquiriesconcerning University policy on student absence from classes. The campus’s policy onattendance can be found in the Academic Regulations section of this publication; itapplies to classes and examinations.Below is a summary of the policies governing excused absences, and recommendationsfor some simple procedures that faculty can use to verify the reason for a student’sabsence. Department heads/chairs and faculty should pass this information on to allgraduate teaching assistants.A. Basic Rules.Apply to all excused absences, whether excused because of a University policy

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or at the instructor’s discretion.1. Students must still meet all class requirements.2. Instructors must offer reasonable assistance in making up missed work(e.g., making arrangements for attendance at labs or discussion sessionswhich meet at other times; providing makeup exams or labs where feasible).3. Instructors may not require students to take a make-up exam in a formatsubstantially different from that of the original exam.B. Religious Observances.An instructor must excuse any student who is unable to attend classes orparticipate in a class-related activity or examination because of religiousobservance.Students must inform their course instructors, in writing, of the days on whichthey will be absent for religious reasons, and should do so as early in thesemester as possible and always prior to the day(s) they will be absent.Instructors have the right to require students to provide a written list ofsuch days within one full calendar week of a student’s enrollment in thecourse, provided that the requirement and deadline are stated in the courseoutline or other handouts.In the event of a dispute between an instructor and a student in any course,either party should contact the department head or the Ombuds Office. Acalendar of major holidays is published through the University’s web site andthe faculty and staff telephone directory. The Religious Affairs website alsopublishes an extensive list of holidays athttp://www.umass.edu/religious_affairs/C. Athletic Events.Required participation in athletic events that conflict with scheduled classescan be verified by the Athletic Department (545-4379). Students should informinstructors as soon as possible of an event for which they will be absent fromclass.D. Field Trips, Performances.Field trips and performances can be verified by the department requiring astudent to participate. Other scheduled activities for students are usuallyverified by the office or department scheduling the activity. Students shouldPage 47inform instructors of pending absences as soon as they are aware of theschedule conflict.E. Health Reasons.Instructors may verify that a student has been seen by University HealthServices on a particular day by calling a voice mail service. Instructors mayleave the student’s name and I.D. number and the date that the student wasabsent from class, and will receive verification by phone. To reach thisservice, dial UHS at 577-5114. More information on absence for health reasonscan be found in the Administrative Policies and Procedures section of thispublication.For students who are treated off-campus, instructors may require writtenverification, within the limits of the health care provider’s policy, from theattending physician. Where possible, students should notify faculty in advanceif they will miss a class because of illness, injury or medical treatment.Students should be made aware that they can leave a message at a departmentoffice or on an instructor’s voice mail to explain an absence the day itoccurs, if possible.F. Family Illness.In recent years, the number of students who are caring for dependent familymembers at home has markedly increased. On occasion, single parents must stayhome to care for sick children; students may miss class due to the medicalneeds of brothers, sisters, older parents, etc. Instructors are encouraged toallow students in these kinds of situations fair and adequate opportunity tomake up any missed academic work. Students who have family obligations that may

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cause them to miss class are urged to inform their professors at the beginningof the semester, or as soon as the likelihood of such an absence becomes known.G. Other Extenuating Non-Academic Reasons.This category includes other valid excuses for missing class, including familyillness or death, personal problems or unforeseen circumstances (e.g.,automobile accident). While the policy states that instructors have the rightto require written verification of students’ absences for such reasons, this isdifficult to achieve in many circumstances. We offer several suggestions tocover a number of potential excuses.For court appearances, jury duty, or other activity related to the legalsystem, a copy of the appropriate legal document should be provided. If anabsence is attributed to the death of a person close to the student, aninstructor can request a copy of the obituary or death notice, and someevidence of the student’s relationship to the deceased. (Instructors should beaware, however, that in a situation of genuine grief and loss, this request isusually perceived as quite callous, or even outrageous, though this is not theinstructor’s intent.)Many extenuating non-academic reasons for absence are not documentable, andinstructors have to use their best judgment in evaluating student absences.When students or family members notify the Dean of Students Office of extendedabsences, the Dean of Students Office will notify instructors. If instructors haveconcerns about a particular case and need advice on how to handle it, they maytelephone the Dean of Students Office (545-6284) or the Provost’s Office (545-2554)for advice.Page 48

ADMINISTRATIVE POLICIES AND PROCEDURESI. Administrative WithdrawalA. Conditions Warranting Administrative Withdrawal.Any of the following conditions may warrant administrative withdrawal:1. Failure to comply with administrative requirements; specifically,failure by a student to satisfy an overdue financial obligation tothe University, consisting of tuition, loans, board, room fees,library charges, or other student charges, including orientation,student activities, health services, Child Care and other such feesas may be established from time to time, or other Universityobligations.2. Forgery, fraud, or falsification of information on any officialUniversity form or document, such as a grade report, recommendations,transcripts, etc.B. Effects of Administrative Withdrawal.1. If administratively withdrawn, a student's record will indicate thewithdrawn date and the reason code for administrative withdrawal. Allcourses for which a student is registered at time of withdrawal will besuppressed on the official transcript until the resolution of theoutstanding obligation.2. The student shall not be allowed to pre-register or register for futuresemesters. If a student has already pre-registered at the time ofwithdrawal, all course enrollments will be canceled.3. The student shall receive no further material or notification from theRegistrar concerning University affairs.Note: If a graduating senior is administratively withdrawn, his/hergraduation date will be determined by the date of resolution which clearsthe outstanding obligation.C. Procedures for Implementing Administrative Withdrawal.1. An appropriate administrative official may recommend to the Registrarthat a student be administratively withdrawn from the University.2. The administrative official shall make his/her recommendation in writing,

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detailing his/her compliance with the following requirements:(a) The recommendation must be based on one of the grounds set forth inparagraph A.(b) The facts upon which the recommendation is based must be ascertainedand stated precisely and accurately.(c) An attempt to resolve the matter must have been made by theadministrative official by mailing to the student at his/her lastknown address a written notice of the proposed recommendation forwithdrawal and the reasons therefore, such matter not having beensuccessfully resolved within fourteen calendar days of the mailingof said notice.Page 49(d) If the matter has not been successfully resolved, the administrativeunit shall send a certified letter to the student at his/her lastknown address setting forth the recommendation for withdrawal andthe reasons therefore.3. If the Registrar is satisfied that the conditions specified in number 2of this section have been satisfied, the Registrar shall administrativelywithdraw the student from the University no sooner than the fifteenthcalendar day following the mailing of the notice provided for in saidparagraph.D. Reinstatement.Any student who has been administratively withdrawn may at any time during thesemester in which the withdrawal was made make arrangements with the Registrarfor the resolution of the matter. Upon such a resolution satisfactory to theRegistrar, the Registrar shall forthwith reinstate the student to activeenrollment status. Any student who fails to resolve the outstanding obligationduring the semester will be ineligible to enroll for the following semesterunless the student is able to make the payment prior to the first day of thesemester. In this situation, the student must also be able to clear the tuitionand fee bill immediately. Otherwise, upon resolution, the student must file areadmission application by the stated deadline for enrollment in the nextavailable semester.

II. Excuses of Absence for Health ReasonsPOLICY MEMORANDUM FROM UNIVERSITY HEALTH SERVICES.It is the policy of the University that students explain absences directly to theirinstructors without automatic intervention of a third party. At the same time it isrecognized that it should be a continuing prerogative of the instructor to requestobjective verification of selective absences if he or she wishes. It is the policy ofthe Health Services to cooperate with instructors in verifying excuses from academicresponsibilities in the case of health problems. It is important that anycommunication with instructors, administrators, or other members of the Universitycommunity conform strictly with the standards concerning confidentiality.A. Procedure.1. Any instructor who wishes to verify absence for reasons of health isexpected to call the Health Services (577-5000) to confirm admission to theobservation bed at UHS or to a local hospital, visits to the out-patientdepartment, or the limitation of activity recommended for reasons of health.2. In answering requests for information, members of the secretarial ornursing staff may disclose dates and times of visits or admission anddischarge. They may not, however, give information concerning the reasonsfor a visit, diagnosis or treatment received, or justification for aparticular visit.3. Requests for judgment concerning the need or justification for a specificabsence, etc., will be referred to one of the staff physicians. In answeringthese requests, special care will be taken to respect carefully theconfidential physician-patient relationship which is of primary importance

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as a basis for our service. The opinion will be given without revealing anyinformation concerning diagnosis, treatment, etc., unless previouslyauthorized by the student. All requests for mental health information willbe referred to the Director of Mental Health.4. In certain exceptional situations, such as when large numbers of absencesfrom mass examinations or from final exams are explained as having been forPage 50reasons of health, verification may be expedited and accuracy assured by areport to the instructor in writing. The staff of the Health Services willbe ready at any time and in any reasonable manner to aid instructors inrealizing the University's main purpose of functioning as an educationalinstitution.5. If any instructor insists upon having a written excuse, it is suggestedthat the physician to whose attention this has been drawn discuss the matterdirectly with the instructor, explaining that written excuses are notprovided. If the discussion appears fruitless, the matter should be referredto the head of the academic department or the Director of the HealthServices.B. Course Withdrawals for Health Reasons.Some students request assistance from the Medical or Mental Health staff todocument reasons for course withdrawals, especially in courses where thestudent is failing. In general, course withdrawals for medical reasons will berecommended by the treating physician or nurse clinician. Course withdrawalsfor mental health reasons will only be authorized for students who have been indirect contact with one of the therapists in the Mental Health Division. Evenin those cases, students will be encouraged to use other avenues to reducetheir course load before needing documentation from the Mental Health Servicein order to obtain a course withdrawal.Whenever a course withdrawal is indicated, either for a client who has beenseen regularly at Mental Health or for a person who has had a tragedy in thefamily where the reason for the withdrawal is obvious, these cases will bebrought to the attention of the Director of Mental Health and will generally bereferred through the Medical Director for the Medical Director's signature inorder to preserve confidentiality. In addition, a telephone arrangement hasalso been developed between the MH Director and academic deans whereby oursupport or non-support for special consideration can be indicated withoutrevealing any specific information. In all cases, such withdrawals will benoted in the Medical or Mental Health record.

III. Health WithdrawalWhen a student's health or mental health problem precludes successful completion ofhis/her academic course work, the student may receive a health withdrawal from theUniversity, upon recommendation by the appropriate physician or therapist of theUniversity Health Services. Normally, the withdrawal will result from the student'svoluntary efforts. In exceptional circumstances involving life threatening behaviors,a student may be asked to leave the University involuntarily until serious lifethreateningcircumstances have been controlled.A. Voluntary health withdrawal.A voluntary health withdrawal may be requested by any student with a serioushealth problem who, in the opinion of the attending physician/therapist, cannotcomplete his/her course work. All such withdrawals will be reviewed andapproved by the Medical Director or Mental Health Director. In order to removethe conditions of the health withdrawal, a student must present evidence thatthe health problem no longer precludes successful completion of academic work.In most cases, at least one academic semester must have passed beforereadmission for mental health/medical withdrawals can be considered.B. Involuntary health withdrawal.An involuntary withdrawal for health reasons may be recommended by a physician

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or therapist on the staff of the University Health Services (UHS). Aninvoluntary health withdrawal must involve a strong likelihood of: serious riskof physical harm to the student him/herself, manifested by evidence of threatsPage 51of suicide or attempts at suicide or other serious bodily harm; serious risk ofphysical harm to other persons in the community, including evidence ofhomicidal or other violent behavior; a reasonable risk of physical impairmentor injury to the person him/herself because of impaired judgment that would notallow the person to live independently or protect him/herself in the communityor not allow the person to perform the essential functions of an educationalprogram without requiring substantial modification of the program. Allrecommendations for involuntary health withdrawals must be evaluated andapproved by either the Medical Director or the Mental Health Director withacknowledgement by the Executive Director and Dean of Students. The reasons forthe recommendation must be documented in writing along with appropriatereferrals and an opportunity provided for the student to examine therecommendations and discuss them with an administrator of UHS Once documentedand approved, the terms of the withdrawal become effective immediately and thestudent may be required to leave campus immediately. However, the safety of thestudent while on campus has to be assured. Advance notice of an involuntaryhealth withdrawal is only recommended when the safety of the student while oncampus is assured. In the case of emergencies no advance notice may bepossible.A student involuntarily withdrawn for health reasons has ten (10) business daysto appeal the decision. All appeals must be in writing to the Director,University Health Services, stating the reasons for the appeal and the desiredresolution. The Director of the University Health Services will convene athree-member Appeals Panel composed of three licensed medical and/or mentalhealth care providers all of whom will be from outside the University. Oneprovider must have knowledge relevant to the medical issue being presented (andthe Dean of Students or designee. The Appeals Panel will conduct a hearing toconsider the case within five (5) business days of the request for appeal. Atthe time of the hearing, the student has the opportunity to contest thedecision and will be permitted to have an adviser present. The decision of theAppeals Panel is final.To be considered for readmission, a student must present evidence that thehealth problem no longer precludes safe attendance at the University. Thestudent will be examined by the Medical Director or Mental Health Director, ordesignee who must approve the request for readmission. In most cases, at leastone full academic semester must have passed from the time of the withdrawalbefore the student is eligible to re-enroll.Page 52

TUITION CLASSIFICATION(Rules and Regulations Governing the Residency Status of Studentsfor Tuition Purposes)These rules and regulations, passed by the University's Board of Trustees, 2/1/95,revised 12/6/95, and current as of publication, apply to the classification ofstudents at the University of Massachusetts as Massachusetts or non-Massachusettsstudents for tuition and fee purposes.

I. DefinitionsA. "Academic period" shall mean a term or semester in an academic year or asummer session, as prescribed by the Board of Trustees or under theirauthority.B. "Continuous attendance" shall mean enrollment at the University for thenormal academic year in each calendar year, or the appropriate portion orportions of such academic year as prescribed by the Board of Trustees or undertheir authority.

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C. "Emancipated person," for the purposes of residency classification fortuition, shall mean a person who has attained the age of 18 years and isfinancially independent of his or her parents, or if under 18 years of age, (a)whose parents have entirely surrendered the right to the care, custody, andearnings of such person and who no longer are under any legal obligation tosupport or maintain such person; or (b) a person who is legally married; or (c)a person who has no parent. If none of the aforesaid definitions apply, saidperson shall be deemed an "unemancipated person."D. "Parent" shall mean1. the person's father and mother, jointly;2. if the person's father is deceased, the person's mother; if the person'smother is deceased, the person's father;3. if a legal guardian has been appointed by a court having jurisdiction,the legal guardian;4. if neither the father nor mother is living and no legal guardian has beenappointed, the person who then stands in loco parentis to the person;5. if the father and mother are divorced, separated or unmarried, the parentwho has been awarded legal custody of the person; or if legal custody hasnot been awarded, the parent with whom the person lives. With respect to anyadopted student, the word "adoptive" should be inserted before the words"father" and "mother" wherever used.E. "Reside," "residency" or "resident" shall mean "domicile," i.e., a person'strue, fixed and permanent home or place of habitation, where he or she intendsto remain permanently.

II. ClassificationFor the purpose of assessing tuition and fees, each student shall be classified as a"Massachusetts resident" or a "non-Massachusetts resident." A person shall beclassified as a Massachusetts resident if he or she (or the parent of anPage 53unemancipated student) shall have resided in the Commonwealth of Massachusetts forpurposes other than attending an educational institution for twelve monthsimmediately preceding the student's entry or reentry as a student.Physical presence for this entire twelve-month period need not be required as long asthe conduct of the individual, taken in total, manifests an intention to makeMassachusetts his or her permanent dwelling place.

III. Determination of ResidencyA. Proof of Residency.Each case will be decided on the basis of all facts submitted with qualitativerather than quantitative emphasis. A number of factors is required forresidency to determine the intention of the person to maintain permanentresidence in Massachusetts. No single index is decisive. The burden of proofrests on the student seeking classification as a Massachusetts resident.1. The following shall be primary indicia of residency:(a) For unemancipated persons, the residency of parents, having custody,within Massachusetts;(b) Certified copies of federal and state income tax returns;(c) Permanent employment in a position not normally filled by a student;(d) Reliance on Massachusetts sources for financial support;(e) Former residency in Massachusetts and maintenance of significantconnections there while absent.2. The following shall be secondary indicia of residency, to be consideredof less weight than the indicia listed above in subsection b.:(a) Continuous physical presence in Massachusetts during periods whennot an enrolled student;(b) Military home of record;(c) All other material of whatever kind or source which may have abearing on determining residency.

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B. Proof of Emancipation.A student asserting that he or she is an emancipated person shall furnishevidence to support such assertion. Such evidence may include:1. Birth certificate or any other legal document that shows place and dateof birth;2. Legal guardianship papers - court appointment and termination must besubmitted;3. Statements of the person, his or her parent(s), guardian(s), or otherscertifying no financial support;4. Certified copies of federal and state income tax returns filed by theperson and his or her parent(s);5. Where none of the foregoing can be provided, an affidavit of theemancipated person in explanation thereof and stating fully the groundssupporting the claim of emancipation.C. Presumptions, etc.1. Residency is not acquired by mere physical presence in Massachusettswhile the person is enrolled in an institution of higher education. (SeeSection 2.1)Page 542. A person having his or her residency elsewhere than in Massachusettsshall not be eligible for classification as a Massachusetts resident fortuition purposes, except as herein provided.(a) Any person who is registered at the University as a Massachusettsresident shall be eligible for continued classification as aMassachusetts resident for tuition purposes (until attainment of thedegree for which he or she is enrolled) during continuous attendanceat the institution.(b) The spouse of any person who is classified or is eligible forclassification as a "Massachusetts resident" is likewise eligiblefor classification as a "Massachusetts resident." This provisionwill not apply in the case of a spouse in the United States on anonimmigrant visa.(c) A person who is an immigrant/permanent resident of the United States(or has applied for such status) is eligible to be considered forMassachusetts residency for tuition purposes provided that he/shemeets the same requirements for establishing residency inMassachusetts as are required of a United States citizen. Noncitizenswho are in (or who have applied for) refugee/asylum statusare likewise eligible to be considered for Massachusetts residencyfor tuition purposes provided that he/she meets the samerequirements for establishing residency in Massachusetts as arerequired of a United States citizen. All non-citizens must provideappropriate documentation to verify their status with the UnitedStates Immigration and Naturalization Service.(d) Those students whose higher educational pursuits are funded by theDepartment of Welfare, the Massachusetts Rehabilitation Department,or any of the other Commonwealth of Massachusetts public assistanceprograms.3. A person does not gain or lose in-state status solely by reason of his orher presence in any state or country while a member of the Armed Forces ofthe United States.4. For the purposes of this policy the following persons shall be presumedto be Massachusetts residents:(a) A member of the Armed Forces of the United States who is stationedin Massachusetts on active duty pursuant to military orders, his orher spouse and dependent students.(b) Full-time faculty, professional staff, and classified staffemployees of the University of Massachusetts system and their

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spouses and dependent students.

IV. AppealsAny student or applicant who is unwilling to accept the initial ruling relative tohis or her residency classification, or who wishes to seek reclassification, may filea "Residency Reclassification Form." Residency reclassification forms are availablefrom the Dean of Students Office.Any student or applicant who is unwilling to accept the ruling related to his or herresidency classification may submit an appeal through the appeals process establishedby the campus at which that student or applicant seeks reclassification. The decisionon appeal is final and may not be appealed further. Information on appeals isavailable from the Dean of Students Office.In any case in which the Admissions Office is unable to make an initial determinationbased on the evidence submitted, the applicant may be required to submit a "ResidencyReclassification Form" to the Admissions Office for their review before being finallyclassified as a resident or a nonresident.Page 55

V. PenaltiesMisrepresentation in or omission from any evidence submitted with respect to anyfact, which if correctly or completely stated would be grounds to deny classificationas a Massachusetts resident, shall be cause for exclusion or expulsion from or otherdisciplinary action by the University.Page 56

MISCELLANEOUS REGULATIONSI. GroomingNo student shall be denied admission to a University class because of personalgrooming or attire unless such restrictions are clearly related to legitimatepurposes of health and safety.

II. HousingThe University requires that all full-time undergraduate students (enrolled for 12semester credits or more) shall be required to live on-campus in the residence hallsduring their freshman year. Exemption from this requirement may be granted to thefollowing: married students; veterans; students living in and commuting from the homeof their parent(s) or court-appointed (legal) guardian(s).In addition, the University reserves the right to deny housing in any residence hallor apartment unit to any individual who has been convicted of a felony involvingbodily harm to persons, damage to property, or the sale or distribution of illegaldrugs. Specific cases will be reviewed on a case by case basis by the Dean ofStudents who will make the final decision.Students required or granted permission to live off campus are required to keep theRegistrar's Office informed of their current local address.As students are automatically billed for room and board per University policy, anystudent in non-conformance will still have to pay his/her University room and boardbill if living off campus without proper authorization. Non-payment will prohibit thestudent from registering at the University, or will result in AdministrativeWithdrawal.

III. BoardThe University requires that all undergraduate students living in the non-apartmentresidence halls subscribe to a meal plan. First and second year students must choosefrom the Residential Meal plans (Value and Unlimited). Third and fourth yearstudents (those with 57+ academic credits) must choose from the Residential Mealplans or the YCMP plans (Gold and Platinum). The YCMP Commuter Plan is available tooff-campus and meal plan exempt students only.Students living off-campus or in a University-approved fraternity or sorority or inan apartment-style residence hall are able to purchase any Residential or studentYCMP meal plan, however it is not mandatory as they are exempt from the Meal plan

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requirement.Students can change their meal plans on SPIRE through Add-Drop period. If a studentruns low on meals, meal plans may be upgraded at any point during the semester.To receive an exemption for medical reasons, documentation must be supplied to,verified and authorized by the Dining Services’ Dietitian.If a student withdraws from the residence halls or the University, Dining Servicesfollows the Registrar’s Office refund schedule minus the cash price of meals eaten.Students who are removed from the meal plan due to a judicial sanction are notPage 57eligible for a refund. Students requesting a refund should go to Dining ServicesMain Office on the third floor of Worcester Dining Commons.

IV. Sales and SolicitationsStudents' living facilities and other University property may not be used for abusiness office, soliciting headquarters, etc. Exceptions are made in the CampusCenter complex following approval by the Campus Center Director and Campus CenterGoverning Board.

V. Sexual Harassment Policy and ProceduresThe University of Massachusetts Amherst is committed to providing students, faculty,and staff with an environment where they may pursue their careers or studies withoutbeing sexually harassed. Sexual harassment of or by any member of the Universitycommunity is unacceptable and will not be tolerated. It is illegal and constitutes aviolation of Title VII of the Civil Rights Act of 1964, Title IX of the EducationAmendments of 1972, and Massachusetts G.L.c.151B and 151C. For the purposes of thispolicy, it is defined as follows:A. Unwelcomed sexual advances, requests for sexual favors, and other verbal orphysical conduct of a sexual nature constitute sexual harassment when:1) submission to such conduct is made either explicitly or implicitly a termor condition of an individual's employment or academic work; or2) submission to or rejection of such conduct by an individual is used asthe basis for employment or academic decisions affecting such individual; or3) such conduct has the purpose or effect of unreasonably interfering withan individual's work performance or creating an intimidating, hostile orsexually offensive working or academic environment.The University’s Sexual Harassment Policy and Procedures are summarized in The Codeof Student Conduct a publication of the Dean of Student Affairs. Copies of thecomplete document are available from the Equal Opportunity and Diversity Office, 243Lederle Lowrise, telephone 545-3464 or at www.umass.edu/eod.Page 58

FAMILY EDUCATIONAL RIGHTS & PRIVACY ACTI. GUIDELINES FOR THE RELEASE AND DISCLOSURE OFINFORMATION FROM STUDENT RECORDSThe Family Educational Rights and Privacy Act (Part 99 of Title 34 of the Code ofFederal Regulations) allows present or former students at educational institutionsaccess to educational records kept on them, as well as basic protections of privacyof their records. The law does not apply to applicants seeking admission to theUniversity. The law applies to educational records, which are defined as thoserecords that are directly related to a student and maintained by an educationalagency or institution.The law exempts from the definition of "education records," generally, records ofinstructional, supervisory, and administrative personnel which are kept in the solepossession of the person who made the record and are not accessible or revealed toany other person except a substitute for the maker of the record; records of a lawenforcement unit of the University which are maintained solely for law enforcementpurposes; records of employees of the University; records which are created ormaintained by a physician, psychiatrist, psychologist, or other recognizedprofessional or paraprofessional acting in his or her professional capacity or

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assisting in a paraprofessional capacity which are made, maintained or used only inconnection with treatment of the student; and records that only contain informationabout an individual after that individual is no longer a student at the University.Under the Family Educational Rights and Privacy Act, you have the right to know whattypes of records relating to students are kept by the University, and to inspect andreview any of those records which apply to you. You also have the right to a responseto a reasonable request for explanation and interpretation of records which apply toyou.The University will provide the student with a copy of his/her transcript uponwritten request and payment of a fee as applicable. The Family Educational Rights andPrivacy Act does not give you the right to a copy of your records unless failure toreceive a copy would make it impossible for you to exercise your right to inspect andreview your records. You can also receive a copy, upon written request, ofinformation from your record which you have instructed the University to disclose toanother party. If the University transfers records which apply to you to anothereducational institution, you can receive a copy of those records if you request it inwriting.The Dean of Students Office, 227 Whitmore Administration Building, keeps a list oftypes of educational records maintained by the University, where they are kept, andwho is responsible for them. The Dean of Students Office also has available adescription of your rights under the Family Educational Rights and Privacy Act, andprocedures to be followed in exercising those rights.If you wish to see any of the educational records which apply to you, go to theoffice which keeps the records during regular working hours. Make your request inwriting, following the procedures established by the office. If possible, you willhave immediate access to your record. In no case will you have to wait more than 45days. If you are required to wait, the office will tell you when your record will beavailable. You will have to identify yourself with a picture ID to see your record.If confidential letters and confidential statements of recommendation were placed inyour record before January 1, 1975, they will be removed before you have access tothe record provided the letters or statements are used only for the purpose for whichPage 59they were intended. If you have waived your right to see confidential letters orstatements concerning admission to the University, applications for employment, orreceipt of an honor, these letters or statements will also be removed before you seeyour record. If you believe your record contains information which is inaccurate,misleading, or otherwise in violation of your privacy rights, you have the right tochallenge the content of the record. While you cannot challenge the correctness of agrade, you may challenge the accuracy with which the grade was recorded.If you wish to challenge the content of your record, first try to work the problemout with the person responsible for the record. If this proves unsuccessful, you mayrequest in writing a hearing at which you may present your challenge. Completeinformation on hearing and appeal procedures is available from the Dean of StudentsOffice, 227 Whitmore Administration building.

II. DIRECTORY INFORMATIONThe University defines "directory information" as a student's name, local address,home address, e-mail address, major, telephone numbers, date and place of birth;acknowledgement of a student's participation in officially recognized activities andsports, weight and height of members of athletic teams, date(s) of attendance,degrees, certificates, awards received, student employment status and the most recentprevious educational agency or institution attended by the student. The Universitywill make public some or all of this information, unless you specifically request inwriting that your prior consent be obtained. REQUESTS BY INDIVIDUAL STUDENTS TOSUPPRESS FROM PUBLIC DISTRIBUTION THE ABOVE-MENTIONED INFORMATION ARE TO BE MADEANNUALLY TO THE DEAN OF STUDENTS OFFICE, ROOM 227 WHITMORE ADMINISTRATION BUILDING.The University will not permit access to or release of a student's educationalrecords, or personally identifiable information contained therein (other than

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directory and public information), to third parties, without the student's writtenconsent, except to the following:A. Other University officials who have a legitimate educational interest in astudent's record. The University defines "University officials" as anyprofessional employee who is head of an office, department, school, college,division, or their specified designee. The term "University official" shallalso include any contractor, consultant, volunteer of other party to whom UMassAmherst has outsourced institutional services or functions. A universityofficial has a “legitimate educational interest” if the official needs toreview an education record in order to fulfill his or her professionalresponsibility. The University may disclose, to teachers and school officialsin other schools who have legitimate educational interests in your behavior,disciplinary action taken against you for certain kinds of conduct.B. Authorized representatives of the Comptroller General of the United States,the Secretary of the U.S. Department of Education, authorized representativesof the Attorney General of the United States for law enforcement purposes, andstate and local educational authorities.C. In connection with a student's application for, or receipt of, financialaid, provided that personally identifiable information from the educationrecords of the student may be disclosed only as may be necessary for suchpurposes as:1. to determine the eligibility of the student for financial aid;2. to determine the amount of financial aid;3. to determine the conditions which will be imposed regarding the financialaid;Page 604. to enforce the terms or conditions of the financial aid.D. State and local officials or authorities to whom such information isspecifically allowed to be reported or disclosed under state statutes adoptedbefore November 19, 1974 if the allowed reporting or disclosure concerns thejuvenile justice system and the system's ability to effectively serve thestudent whose records are released. Such information may be reported ordisclosed under state statutes adopted after November 19, 1974 on the samebasis as prior to that date if the report or disclosure will assist thejuvenile justice system to serve the student prior to any adjudication.E. Organizations conducting studies for, or on behalf of, educationalinstitutions for the purposes of developing, validating, or administeringpredictive tests, student aid programs, and improving instruction, providedthat the identity of students is not revealed to other than representatives ofsuch organizations.F. Recognized accrediting organizations carrying out their accreditingfunctions.G. In compliance with a judicial order, or pursuant to any lawfully issuedsubpoena, provided that the University makes a reasonable effort to notify thestudent of the order or subpoena in advance of compliance therewith. A court orother agency which issues a subpoena for law enforcement purposes may order theUniversity and its officials not to disclose the existence or contents of thesubpoena to any person.H. In connection with an emergency situation, if the knowledge of suchinformation is necessary to protect the health or safety of a student or otherpersons.I. Where the disclosure is to parents of a dependent student, as defined insection 152 of the Internal Revenue Code of 1954.

III. TYPES OF RECORDSThe University develops and maintains several types and varieties of educationalrecords on students. A list of what types of records are maintained by theUniversity, where they are kept, what University official has major responsibility

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for those records, who has access to those records and why, and what it will cost youto obtain a copy of those records, has been developed. A copy of the complete list isavailable for your inspection in the following locations:Vice Chancellor for Student Affairs Office 319 Whitmore Administration BuildingVice Chancellor for Academic Affairs Office 371 Whitmore Administration BuildingLegal questions concerning the Family Educational Rights and Privacy Act may beaddressed to Associate University Counsel, 300 Whitmore Administration Building.

IV. OTHER RIGHTS AND REQUIREMENTS OF THIS LEGISLATIONIn addition to the above, the law sets forth other rights and requirements regardingeducational records maintained on students:A. The University cannot require nor attempt to influence you to waive anyrights granted under this legislation, as a condition of admission, receipt offinancial aid, or receipt of any other services or benefits.Page 61B. Parents' financial records and related parental financial information shallnot be released to students unless authorized by the parents. Any institutionaloffice maintaining such records shall either store such records in a fileseparate from records subject to review or conspicuously stamp such records"CONFIDENTIAL - NOT TO BE RELEASED TO STUDENT."Confidential letters and confidential statements of recommendation placed inthe education records of the student before January 1, 1975, need not bereleased to the student as long as the statements are used only for thepurposes for which they were specifically intended.Confidential letters and confidential statements of recommendation placed inthe student's education records after January 1, 1975 need not be released tothe student if the student has waived in writing his or her right to inspectand review those letters and statements, and those letters and statements arerelated to the student's admission to an educational institution, applicationfor employment, or receipt of an honor or honorary recognition. If the waivingstudent requests, the University will give the student the names of theindividuals who provided the letters and statements of recommendations.C. The University must maintain a record, to be kept with the educationalrecords of each student, which will indicate all parties who have requested orobtained access to a student's records, and the legitimate interest that suchparties have in obtaining such information. This record will be available onlyto the student, the University personnel responsible for the maintenance of therecords, and those within the University who have legitimate educationalinterests and as otherwise specifically authorized by the Act.D. The University must make public notice of the categories of data which itdetermines to be "directory information" and give a period of time for astudent to inform the University that any or all information designated as"directory information" should not be released without his or her consent.Public notice is given by publication in the Daily Collegian at the beginningof each semester.E. Complaints regarding violations of this act, or its regulations, may besubmitted in writing to the Family Policy Compliance Office, U.S. Department ofEducation, Washington, DC 20202-4605.Page 62

DISPUTE RESOLUTIONIn addition to the Code of Student Conduct detailed in a separate publication of theOffice of Student Affairs, undergraduates, as well as staff and faculty, haverecourse to a number of processes and administrative agencies when attempting toresolve grievances. Several such options are noted below. For general informationabout other resources contact the Dean of Students Office (545-2684). For academicissues or problems, contact the office of your academic dean.

Ombuds Office.

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The Ombuds Office is available to all members of the University community to helpresolve University-related conflicts impartially and without judging, rewarding, orpunishing parties. Depending on the problem, the Ombuds Office mediates disputes,facilitates communication, investigates claims of unfair treatment or erroneousprocedure, listens, advises, and makes recommendations. The Ombuds Office providesinformation about and referral to grievance procedures. The Office also coordinatesthe hearing process for academic grievances and charges of academic dishonesty.Some of the problems with which the Ombuds Office can offer advice or assistance tostudents include: course/degree requirements; grade disputes; grading policy andpractice; allegations of academic dishonesty; sexual, racial, and other types ofharassment; delays in services or decisions; conflicts with instructors, employers,or administrative offices; roommate/coworker/classroom conflicts; and otherinterpersonal disputes.Records, contacts and communication are normally confidential; in unusualcircumstances (which are explained to clients), rare exceptions are made if requiredby law.The Ombuds Office is located in 823 Campus Center, tel. 545-0867. Although notrequired, it is best to call to arrange a convenient time for an appointment.Page 63

ACADEMIC REFERRALS(Sources of academic advice, assistance or redress)Below are indicated the appropriate referral sequences for students who seek academicadvice, assistance or redress. Normally, most issues or concerns can be resolved atthe level of faculty advisor or undergraduate dean (or a person of similar title).This list is indicated to facilitate informal resolution of academic difficulties,and does not incorporate sequences under formal appeals procedures as outlined in theacademic honesty appeals procedure, formal procedures concerning academic grievance,complaints of sexual harassment, grievances concerning matters of affirmative action,or other formal mechanisms outlined elsewhere in this publication.In most cases, students in a declared major are urged to consult first with theirfaculty advisor. If that individual is unable to assist, the student may seekassistance from the following offices. Referrals beyond the last listed person in asequence will be made to the board or person appropriate for the type of problem.Decisions made by the undergraduate deans concerning a student's academic status orrecord may be appealed to the Faculty Senate Committee on Admissions and Records, butsuch appeals must be routed through students' undergraduate deans.

I. STUDENTS WHO HAVE YET TO DECLARE A MAJORUndergraduate Advising, 613 Goodell, 5-2191. This office provides academic advisingto all students who are undeclared or contemplating a change of major. The Directorof the office is KD Maynard. The office also provides undergraduate dean's servicesto undeclared and BDIC students. The Associate Dean is Kregg Strehorn, and he actsas the academic dean in matters pertaining to academic discipline (e.g., academicsuspension or dismissal) as well as all requests for exceptions to academic policiesand regulations. For more information please see the website at:ualc.umass.edu/advising

II. STUDENTS MAJORING IN THE FOLLOWING SCHOOLS & COLLEGESA. Majors in the COLLEGE OF ENGINEERING1. Departmental Undergraduate Program Director2. Assistant Dean Kathy Rubin, 126 Marston Hall, 5-2035B. Majors in the COLLEGE OF HUMANITIES AND FINE ARTS1. Undergraduate Program Director or Department Head2. Associate Dean Nikki Stoia, E20 Machmer Hall, 5-6152C. Majors in the COLLEGE OF NATURAL SCIENCES1. Associate Dean Martha Baker, 220 Morrill II Science Center, 5-19692. Associate Dean Jack Wileden, 220 Morrill II Science Center, 5-1969Page 64

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D. Majors in the COLLEGE OF SOCIAL AND BEHAVIORAL SCIENCES1. Undergraduate Program Director or Department Head2. Associate Dean Mark Lange, 225 Draper Hall, 7-0235E. Majors in the ISENBERG SCHOOL OF MANAGEMENT1. Director of Academic Affairs Melvin Rodriguez, 206 ISOM, 5-5610F. Majors in the College OF NURSING1. Undergraduate Program Director Clare Lamontagne, 134 Skinner Hall, 5-5098G. Majors in the SCHOOL OF PUBLIC HEALTH AND HEALTH SCIENCES1. Undergraduate Program Director in the student’s major department2. Associate Dean Daniel Gerber, 102 Arnold House, 5-6883F. Majors in the College OF EDUCATION1. Associate Dean for Academic Affairs Linda Griffin, 123 Furcolo Hall, 5-0236

III. Other Key ContactsCommonwealth Honors College Equal Opportunity and Diversity Office 5-3464Ombuds Office Provost's Office Registrar’s Office University Health Services 

POLICIES

RCET CODE OF STUDENT DISCIPLINE Introduction Students at RCET are subject to two separate (but complementary) Codes of Student Discipline. Firstly, the University Statutes and Regulations and secondly, the Code of Student Discipline of their individual college. University Statutes and Regulations can be accessed via the following links: http://www..........

1. This Code of Student Discipline ["the Code"] applies to students of RCETCollege. ["the College"]. Definitions 2. (i) The term 'Student' shall include any person who is registered as a student whether for a degree or diploma or otherwise. (ii) 'Expulsion' (i.e. sending down for good) by the College shall mean the permanent loss of membership of the College and the University. (iii) 'Banning' by the College shall mean a withdrawal of the right of access to specified premises or facilities for a fixed period or pending the fulfilment of certain conditions. (iv) 'Rustication' (i.e. sending down temporarily) by the college shall mean the withdrawal of the right of access to all of the premises or facilities of the College (including tuition) for a fixed period or pending the fulfilment of certain conditions. (v) 'Suspension' by the College shall mean a withdrawal of a right of access as above where action is taken as an interim measure pending further investigation. Such withdrawal may be for a limited period pending the fulfilment 12831185.1 2 of certain conditions or may be indefinite. Suspension shall be a neutral act. (vi) 'Harrassment' shall mean a course of unwarranted behaviour such as to cause

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and as may reasonably be expected to cause such distress or annoyance as seriously to disrupt the work or substantially to reduce the quality of life of another person and includes bullying. (vii) The masculine shall include the feminine, and the singular the plural. Persons to whom the Code applies 3. The Code is applicable to each student registered as a student at the College. All students shall be subject to the Code both on and off University and College premises. Misconduct shall be defined as: 4. (i) improper interference, in its broadest sense, with the functioning or activities of the College or those who work, study or are accommodated in the College; and/or, (ii) activity or failure to act in a way, which otherwise damages the College or its reputation or those who work, study or are accommodated in the College. 5. The following paragraphs elaborate the general principle set out in paragraph 4 but not to derogate from the generality of paragraph 4, and are acts of misconduct: (i) breach of the University of Oxford Statutes and Regulations; (ii) breach of any College Code of Practice which may be issued or amended from time to time by the Governing Body of the College; (iii) conviction of a criminal offence by any Court of competent jurisdiction or a formal caution issued by the Police; (iv) where a student is studying with the aim of obtaining a professional qualification or the right to practice a particular profession or calling any conduct which might render that person not fit to be admitted to or practice that profession or calling; (v) disruption or attempt to disrupt teaching or study or research or the administrative, sporting, social or other activities of the College, or disruption or attempt to disrupt the lawful exercise of freedom of speech by members, students or employees of the College or by visitors and residents, or obstruction 12831185.1 3 or attempt to obstruct any officer, employee or agent of the College in the performance of his or her duties; (v) damage or action to deface any property of the College or of any member, officer, employee of the College or person being accommodated in the College, or knowing misappropriation of such property; or action to harm any member, officer, employee of the College or person being accommodated in the College; (vi) occupation or use or attempt to occupy or use of any property or facilities of the College except as may be authorised by the College authorities; (vii) forgery or falsification, expressly or impliedly, of any University or College certificate or document or any certificate or document submitted to the University or the College or knowingly making false statements concerning standing or results obtained in examination; (viii) engagement in any activity likely to cause injury to or to impair safety of any person; (ix) engagement in any fraudulent or dishonest behaviour towards the College or its members, officers, visitors, employees, agents or persons being accommodated in the College; (x) refusal to disclose his or her name to an officer or employee or agent of the College in circumstances where such person has identified him or herself and has explained the reason for the requested disclosure, and it is reasonable to have required disclosure of the student’s name; (xi) use, offer, sale or gift of substances to any person, the possession or use of

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which is illegal; (xii) engagement in conduct in breach of College regulations regarding conduct in examinations; (xiii) engagement in conduct in breach of the relevant regulations regarding the use of the College libraries; (xiv) engagement in any other conduct which is seriously detrimental to the interests of the College; (xv) failure to co-operate with regard to any investigation being carried out pursuant to this Code or a failure to comply with a previously imposed condition or 12831185.1 4 penalty imposed under this Code. 6. Non-payment of monies due and owing (i) The non-payment of any monies due and owing by a student to the College shall be an act of misconduct. (ii) the Dean may suspend the student concerned on receipt of confirmation from the Bursar that the debt is outstanding. The procedures in paragraphs 8 – 18 below do not apply. Any suspension imposed by the Dean solely in respect of non-payment of monies owed will be lifted on confirmation from the Bursar of receipt of payment of the debt. Initial procedures 7. (i) An allegation of misconduct may be initiated by any member of the College. (ii) An allegation of misconduct by a student of the College shall be made in writing to the Dean as soon as is practicably possible after the alleged event. (iii) The Dean may decide to: (a) dismiss the allegation in which case the matter shall be terminated; (b) agree with the student concerned a course of action which may include informal resolution through mediation; this may be arranged through the GCR President or the College Registrar. Informal remedies may include a letter of apology; (c) issue a warning or caution to the student; (d) if informal resolution is not successful or appropriate, conduct a formal investigation and hearing as provided below; (e) advise the complainant to refer the matter to the police where the allegation is of criminal conduct; if the outcome is a formal police caution or a criminal conviction this will be deemed to be an act of misconduct under section 5 (iii) of this Code; (f) provide the complainant with information about any or all of the following: the College’s welfare provision and its policies on equality and harassment. These are available on the College website: 12831185.1 5 http://www.sant.ox.ac.uk/welfare/index.html http://www.sant.ox.ac.uk/policies/Equal_Opportunities_Policies.pdf http://www.sant.ox.ac.uk/policies/harass.pdf Investigation and Hearing by the Dean 8. The Dean may, if the alleged matter is serious or likely to disrupt the proper functioning or work of the College, suspend the student concerned from residence or from use of College facilities for such period as the Dean may decide is necessary, including if necessary until the Dean completes the investigation and has made a determination. 9. The Dean shall appoint an Investigating Officer The Investigating Officer shall be a member of the College or any person whom the Dean in his sole discretion shall

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decide to appoint. The Investigating Officer shall: (i) carry out any investigations as are considered necessary; (ii) collect any further documents as are considered necessary; (iii) prepare a written report for the Dean; (iv) prepare a written statement of the particulars of misconduct. Hearing by the Dean 10. The Dean shall arrange a hearing as soon as practicable after receiving the Investigating Officer's report. At least 8 working days before the appointed hearing date, the Investigating Officer shall cause to be sent to the student concerned: (i) a copy of the Code; (ii) any relevant documents; (iii) the names of any witnesses who will give written or oral evidence; (iv) a written statement of the particulars of misconduct. 11. At least 4 working days before the hearing the student shall provide to the Dean: (i) copies of any documents that the student intends to rely upon; and, (ii) the names of any witnesses whom the student would like to give written or oral 12831185.1 6 evidence. (iii) No other documents may be presented at the hearing or further witnesses called unless the Dean decides it is fair and reasonable to do so. 12. The hearing shall be in private. The Dean may appoint a Legal Adviser to attend and/or advise on procedure but who shall take no part in the decision making process. 13. During the Hearing: (i) the procedure at the hearing shall, subject to paragraphs (ii) to (x), be determined at the discretion of the Dean; (ii) the student may be assisted by one representative. (iii) the allegation shall be presented to the Dean by the Investigating Officer or such other person as the Investigating Officer may designate; (iv) the Investigating Officer may call as witnesses persons who can give relevant evidence. The student or the student's representative may question the witnesses and, if so, the Investigating Officer may ask further questions; (v) The student or the student's representative may call as witnesses persons who can give relevant evidence. The Investigating Officer may question the witnesses and if so, the student or the student's representative may ask further questions; (vi) if a witness is likely to be in distress, the Dean may permit the witness to be accompanied by any person. If the witness is a vulnerable witness then the Dean may allow that witness to give evidence behind screens or make such other arrangements as appropriate; (vii) The Investigating Officer may question the student if the student gives evidence; (viii) The Dean may question the student and/or any witnesses; (ix) The Investigating Officer and the student or the student's representative may make formal submissions to the Dean; (x) Prior to making the decision, the Dean shall give the student the opportunity to make written representations in mitigation of any penalty which may be imposed if the allegation is upheld. 12831185.1 7 14. After the hearing, the Dean shall give the decision to the student either orally (in which case it shall be confirmed in writing) or in writing within five days of the date of the conclusion of the hearing. The written communication to the student shall set out

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the misconduct, the decision, the reasons for the decision and any penalty imposed. 15. On finding an allegation of misconduct proved, the Dean may impose one or more of the following penalties: (i) Reprimand (ii) Warning (iii) Fine of not more than the maximum amount to be determined by the Governing Body from time to time (iv) Payment of compensation in whole or in part in respect of damages to property or injury to the person. The compensation shall be paid to the College or to the owner of the property damaged or to the person injured as the Dean shall decide (v) Removal of scholarship (vi) Exclusion from prescribed college premises or faculties (including libraries) for a period of up to one year or pending the fulfilment of conditions such conditions to be prescribed by the Dean (vii) Rustication which shall mean the withdrawal of the right of access to all premises or facilities of the College (including tuition) for a fixed period or pending fulfilment of conditions as shall be decided by the Dean (viii) Expulsion which shall mean the permanent loss of membership of the College (ix) In the event that a student is expelled by the University, such expulsion shall apply to the College also. If, following a successful appeal to the appropriate University body, the expulsion is revoked, the student’s expulsion from the College will also be revoked. In the event that a student is disciplined by the University for conduct in breach of University Statutes or Regulations, any penalty of suspension or rustication imposed by the University shall apply also to College promises and facilities. If, following a successful appeal to the appropriate University body, the penalty is revoked, the corresponding College penalty will also be revoked. 12831185.1 8 (x) In circumstances where the Dean is unable to identify the Student or members who has or have broken any of the College rules, it may be necessary for the Dean to apply a collective sanction by way of fine or withdrawal or suspension of facilities. In such circumstances the Dean will exercise his discretion to confine such sanction to as small a group as he considers appropriate (e.g. residents of a particular building or members of a club). It is recognised, however, that this may include all members of the GCR. Adequate opportunity shall be given before any such sanction is implemented for the actual offender to identify himself or herself or to be identified by others. In the case of such identification there will be no collective sanction in respect of the breach. Individuals may make representations to the Dean who will have power to review or modify his decision as to why such sanction should not be imposed upon them. If necessary, the Dean can refer the question of a collective sanction to the Management Executive Team in closed business. 16. Before deciding the penalty to be awarded the Dean shall take into account the effect on the student's or students’ ability and eligibility to take an examination or complete a course of work as well as the interests of the College. 17. In fixing any financial penalties the Dean shall have regard to the student's or students’ financial means. 18. In imposing a penalty on a student pursuing a course leading to a professional practice the Dean, if appropriate, shall have regard to the relevance of the misconduct in relation to the student's fitness to be professionally registered and the

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Dean may take advice in this regard. 19. The Dean shall inform the student or students of the right to appeal to the Joint Disciplinary Committee. Appeal 20. If the student decides to appeal then the Dean shall be entitled, if appropriate, to suspend the student (or continue an existing suspension) from residence or the use of College facilities pending the determination of the appeal. 21. A student against whom an allegation of misconduct has been upheld may appeal in writing to the Joint Disciplinary Committee [“Committee”] within 14 days of the date of the written notification of the Dean's decision. 22. The letter of appeal shall be addressed to the Warden of the College and must 12831185.1 9 specify the grounds of appeal which shall be one of the following: (i) that the conclusions of fact determined by the Dean having regard to the evidence cannot be reasonably sustained; (ii) that the penalty was excessive and/or inappropriate; (iii) that there was a procedural irregularity. 23. The Warden shall make arrangements for the appeal to be heard as soon as is reasonably practicable and normally not more than four weeks from the date of the appeal notice by the student. 24. At least 8 working days before the appeal hearing the Investigating Officer shall cause to be sent to the student: (i) a copy of the Code; (ii) a written statement of the misconduct; (iii) a copy of all documents before the Dean; and, (iv) the written statement sent to the student as to the reasons for the decision and the penalty. 25. At least 4 working days before the appeal hearing the student shall cause to be sent to the Warden details of any application to be made to the Committee. 26. Neither party shall be entitled to submit to the Committee fresh oral or documentary evidence except as provided for in paragraphs 30 - 32. No witnesses shall be called by either party before the Committee except as provided for in paragraphs 30 - 32. Joint Disciplinary Committee 27. A Committee shall be a committee of the Governing Body and shall consist of the Warden, the Senior Tutor (or their respective nominees) two other Governing Body Fellows and one Nominee of the Graduate Common Room. The Warden shall have discretion to change the constitution of the Joint Disciplinary Committee provided that the number of members shall not be less than five persons. The Warden shall chair the Committee and if the Warden declines the chair then the Committee shall elect a chair. The Committee may request the attendance of a Legal Adviser to advise on procedure, but who shall take no part in the decision making process. 12831185.1 10 Hearing before the Joint Disciplinary Committee 28. The hearing shall be in private unless the Committee declares that they will sit in public. 29. If any person required to attend such a hearing before the Committee fails to make an appearance, the Committee may at its discretion adjourn the proceedings. If the student concerned fails to appear, the Committee may deal with the case in the student’s absence if satisfied that proper notice has been given and that there is no reasonable explanation for the non-appearance of the student. 30. If either the Investigating Officer or the student wishes to submit fresh evidence to the

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Committee then at least 5 days before the hearing date they must: (i) inform the Warden in writing of their intentions to make application at the hearing; and (ii) inform the other party in writing of such intention, and provide copies of any new documents or the details of any witness they seek to present to the Committee. 31. The Committee shall as a preliminary point at the hearing decide whether or not to admit the fresh evidence and shall consider in so doing relevance, the reasons why the evidence was not submitted to the Dean and fairness to those concerned in the matter. 32. If the Committee decides to admit fresh evidence then the procedures set out in paragraph 11 shall be followed. 33. Unless the Committee agrees to admit fresh evidence then the procedure to be followed is as follows: (i) the student may address the Committee; (ii) the Investigating Officer may address the Committee; (iii) the student may address the Committee only in reply to matters stated by the Investigating Officer; (iv) the Committee may ask questions of either party; (v) either party may address the Committee on matters arising from the Committee's questions. 12831185.1 11 34. The Committee may: (i) dismiss or allow the appeal in whole or part; (ii) substitute such other finding of misconduct as the Committee determines is supported by the evidence before the Dean and/or the Committee; (iii) vary the penalty, save that the Committee may not impose a penalty of greater severity (as in their opinion) than imposed by the Dean. 35. The Warden and/or Chair shall within five working days of the conclusion of the hearing communicate the Committee’s decision in writing to the student. The communication shall state: (i) the misconduct; (ii) the decision and penalty appealed; (iii) the Committee’s decision; (iv) the Committee’s reasons; and (v) where appropriate, advice shall be given to the student of their right to appeal only to the Conference of Colleges Appeal Tribunal (CCAT). 36. Within five working days of the conclusion of the matter, the Dean shall write to the complainant to explain the outcome. The Dean shall also consider writing to any witnesses. If obligated to do so the Dean shall inform the University or any relevant Department or Faculty. When he or she first deals with the matter the Dean should explain to the student against whom the allegations are made who, if anyone, he or she is under an obligation to write to, and should repeat this information in any letter going to the disciplined student. 37. A written record of complaints and all documentation involved in the disciplinary procedure including details of the allegation, any witness statements, records of disciplinary hearings and details of any penalties impose, shall be kept by an appropriate College officer, normally the College Registrar. The College Registrar will act as the source of guidance to the Dean, complainants and students who are involved in any disciplinary process.

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RCET CODE OF STUDENT DISCIPLINE  

Introduction  

Students at RCET are subject to two separate (but complementary) Codes of Student Discipline. Firstly, the University of Oxford Statutes and  

Regulations and secondly, the Code of Student Discipline of their individual college.  

University Statutes and Regulations can be accessed via the following links:  

  

http://www..........  

 

1. This Code of Student Discipline ["the Code"] applies to students of RCET 

College. ["the College"].  

Definitions  

2. (i) The term 'Student' shall include any person who is registered as a student  

whether for a degree or diploma or otherwise.  

(ii) 'Expulsion' (i.e. sending down for good) by the College shall mean the  

permanent loss of membership of the College and the University.  

(iii) 'Banning' by the College shall mean a withdrawal of the right of access to  

specified premises or facilities for a fixed period or pending the fulfilment of  

certain conditions.  

(iv) 'Rustication' (i.e. sending down temporarily) by the college shall mean the  

withdrawal of the right of access to all of the premises or facilities of the College  

(including tuition) for a fixed period or pending the fulfilment of certain  

conditions.  

(v) 'Suspension' by the College shall mean a withdrawal of a right of access as  

above where action is taken as an interim measure pending further  

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