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1. Academic honesty and integrity are central to HKUST. The University Senate adopted an Academic Honor Code for students in June 2005. All HKUST students are committed to this Code.
2. The University’s approach to academic misconduct, involving breaches of the Academic Honor Code and academic integrity, is fundamentally educational, striving to foster a strong ethical foundation among its students. The process for dealing with academic misconduct is designed to enable students to better understand the nature of academic misconduct and the high standards of academic integrity that are expected of them. The sanctions applied in confirmed cases of academic misconduct are intended to communicate to the University community that the University has zero tolerance towards breaches of academic integrity.
3. Academic misconduct includes, but is not limited to:
4. In applying these Regulations for Student Academic Integrity (Regulations), Heads of Department/Division, Deans, the Provost or the President, as case reviewing officers, may nominate delegates to review cases and/or meet with the relevant student and/or relevant witnesses on their behalf. However, decision-making (for example to dismiss a case, to impose sanctions, to refer cases to the Senate Student Disciplinary Committee (Senate SDC), or to uphold or reject an appeal) is the sole responsibility of case reviewing officer and not his/her delegate.
5. Reports of misconduct which are ambiguous in nature and do not fall clearly under these Regulations and may instead fall under the Regulations for Student Conduct, or may fall under both Regulations, shall be referred to the Academic Registrar, who shall decide under which Regulations the case should be reviewed in the first instance. In such cases, where the Academic Registrar determines that a report relates to both student misconduct and student academic misconduct, the Academic Registrar may refer the case to the relevant Head of Department/Division, for initial investigation of the alleged student academic misconduct under these Regulations, prior to investigation of the alleged student misconduct under the Regulations for Student Conduct.
6. Anonymous report will not normally be considered.
7. Invigilators who consider that a student has breached the Rules for the Conduct of Examinations and have taken action as set out in the Annex should submit a Report on Student Academic Misconduct to the Head of the Department/Division responsible for the course in question, via the Course Instructor where applicable, indicating the circumstances of the case. The Head of Department/Division shall then handle the matter in accordance with these Regulations.
8. Instructors, students’ supervisors or other members of the University community who consider that a student or group of students has or may have committed cheating or plagiarism as defined in paragraph 3 above, or other academic misconduct in the submission of assignments or other student work that may contribute to an award of the University (including alleged fabrication, falsification or plagiarism of a student’s research proposal, project report, laboratory report, essay, dissertation or thesis) should submit a Report on Student Academic Misconduct to the Head of the Department/Division responsible for the course or program in question, (in the case of undergraduate and taught postgraduate students) or to the relevant Dean (in the case of research postgraduate students). Reports should indicate the circumstances of cases and include any relevant evidence (e.g. copies of original texts and the student’s work highlighting any alleged plagiarism).
9. Report of research misconduct not related to the award of the University shall be referred and dealt with under the ‘Policy on Research Conduct and Integrity’.
10. Report of academic misconduct as defined in paragraph 3 above against former students and graduates with respect to their studies while being students of the University shall be investigated by either an ad hoc committee established by the Provost which shall devise its own procedures, taking into account the spirit and, where applicable, the requirements under these Regulations, or by the Committee on Academic Integrity in the case of research postgraduate students.
11. Heads of Department/Division, in reviewing cases referred in accordance with paragraphs 7 or 8 above, shall consult relevant parties as deemed appropriate.
12. Heads should refer cases to the relevant Dean(s) for review where:
13. A student shall be informed of the report on academic misconduct made against him/her, and asked to attend a meeting with the Head of Department/Division, to respond to the case and present relevant evidence if any. If a student refuses, or is unable, to attend the meeting, the Head of Department/Division shall review the case based on the evidence available to him/her.
14. Where a Head of Department/Division determines that a student has committed academic misconduct, the Head of Department/Division may either:
(a) impose one or more of the following sanctions, the details of which shall be confirmed in writing:
or
(b) submit a Report on Student Academic Misconduct to the relevant Dean for further review where the sanctions available to the Head of Department/Division as set out in (a) above are considered to be insufficient with respect to the nature of the academic misconduct.
15. Where a student is found to have committed academic misconduct and a sanction is imposed, the Head of Department/Division shall complete the Report on Student Academic Misconduct and forward it to the Dean responsible for the student’s program for information, with a copy of the written reprimand, if any. Copies of these documents and records shall also be sent to the Academic Registrar, for retention and monitoring of consistency across Schools.
16. Where the Academic Registrar receives a Report on Student Academic Misconduct for a student who already has a prior Report on Student Academic Misconduct on their record, all such cases shall be referred to the Dean responsible for the student’s program, for consideration under Regulation 17 below.
17. Where a Report on Student Academic Misconduct has been referred to the relevant Dean in accordance with paragraphs 8, 12, 14 or 16 above, the Dean shall review the matter (including previous misconduct Reports, if any), and ask the student to attend a meeting to respond to the case and present relevant evidence, if any. If a student refuses, or is unable, to attend the meeting with the Dean, the Dean shall review the matter based on evidence available to him/her.
18. Where a Dean determines that a student has committed academic misconduct, the Dean shall either:
(a) impose any of the sanctions available to the Head of Department/Division in Regulation 14 above and/or one or more of the following sanctions, details of which shall be recorded in the Report on Student Academic Misconduct and submitted to the Academic Registrar for retention and monitoring of consistency across the Schools:
or
(b) refer the matter (and all previous misconduct Reports, where applicable) to the Senate SDC for further review and decision where the sanctions available to the Dean under (a) above are considered to be insufficient with respect to the nature of the misconduct.
19. Where a Report on Student Academic Misconduct is referred to a Dean or to the Senate SDC under paragraphs 14(b) or 18(b) above, respectively, the Report on Student Academic Misconduct shall summarise the investigation process and include the reasons why the case reviewing officer considers the sanctions available to the case reviewing officer to be insufficient. The student shall be informed that the case has been referred to the Dean or the Senate SDC, as appropriate, for review and decision.
20. Where a report of student academic misconduct has been found proven by a Head of Department/Division or Dean, as appropriate, but it also includes a separate report of non-academic student misconduct (as defined in the Regulations for Student Conduct), the Head/Dean shall refer their academic misconduct decision and the additional report to the Academic Registrar, for investigation of the student misconduct under the Regulations for Student Conduct. Where such a case has been referred to the Academic Registrar and a Dean has also referred the case of academic misconduct to the Senate SDC in accordance with paragraph 18(b) above, the Senate SDC shall await the decision of the Academic Registrar with respect to the additional report of student misconduct before considering the report of academic misconduct.
21. Students desiring to appeal against the sanction imposed by the Head of Department/Division or Dean may submit a written appeal to the Provost within fourteen calendar days of the date of the written communication informing the student of the Head of Department/Division/Dean’s decision, stating the grounds for the appeal. The Head of Department/Division/Dean’s decision remains effective pending outcome of the appeal.
22. Normally, appeals shall be considered only on the basis of procedural irregularity and/or new evidence. The Provost may accept any evidence or documentation not previously submitted in support of an appeal only if good reason is provided for the failure to submit the evidence/documentation to the Head of Department/Division or Dean at the initial consideration of the case.
23. The Report on Student Academic Misconduct and the student’s written appeal shall be reviewed by the Provost. Students may be asked to meet the Provost, to explain the grounds for the appeal and to present relevant evidence, if any. Students attending such a meeting may be accompanied by a family member or a member of the University community, who shall act only in a supportive role and shall not make any submission or participate in the meeting in any way. If a student refuses, or is unable, to attend the meeting with the Provost, the Provost shall review the appeal based on the evidence available to him/her.
24. Upon considering the appeal, the Provost may either confirm or quash the decision of the Head of Department/Division/Dean, modify it by imposing lesser or additional or other sanction(s) from those listed in paragraphs 14(a) and 18(a) above, or refer the case to the Senate SDC for review in accordance with paragraph 18(b).
25. The decision of the Provost on student appeals shall be final.
26. The outcome of the appeal process shall be recorded in the Report on Student Academic Misconduct and sent to the Academic Registrar for retention.
27. Where a case has been referred to the Senate SDC in accordance with paragraph 18(b) above, the Senate SDC shall review the case and ask the student to attend a meeting of the committee. Students attending Senate SDC meetings may be accompanied by a family member or a member of the University community, who shall act only in a supportive role and shall not make any submission or participate in the meeting in any way. If a student refuses, or is unable, to attend the meeting with the Senate SDC, the Senate SDC shall review the allegation based on the evidence available to it. A written report of the review process shall be made and sent to the Academic Registrar, together with the Report on Student Academic Misconduct, for retention.
28. The Senate SDC may impose any of the sanctions available from those listed in paragraphs 14(a) and 18(a) above and/or one or more of the following sanctions:
29. A sanction of termination of studies shall result in automatic de-registration as a student.
30. In appropriate cases, the Senate SDC also may report a student academic misconduct case to the Senate and the Council, with a recommendation that the degree or other academic award previously conferred or granted by the University to the student be revoked.
31. Students desiring to appeal against decisions of the Senate SDC may submit a written appeal to the President within fourteen calendar days of the date of the written communication informing the student of the Senate SDC’s decision, stating the grounds for the appeal. The Senate SDC’s decision shall remain effective pending outcome of the appeal, unless the President directs otherwise.
32. Normally, appeals shall be considered only on the basis of procedural irregularity and/or new evidence. The President may accept any evidence or documentation not previously submitted in support of an appeal only if good reason is provided for the failure to submit the evidence/documentation to the Senate SDC at the initial consideration of the case.
33. The Report on Student Academic Misconduct, along with the Senate SDC’s written report and the student’s written appeal, shall be considered by the President. The student may be asked to attend a meeting with the President to explain the grounds for the appeal and to present relevant evidence, if any. Students attending appeal meetings may be accompanied by a family member or a member of the University community, who shall act only in a supportive role and shall not make any submission or participate in the meeting in any way. If a student refuses, or is unable, to attend the meeting with the President, the President shall review the appeal based on the evidence available to him/her.
34. Upon considering the appeal, the President may either confirm or quash the Senate SDC’s decision or, where appropriate, modify it by imposing lesser or additional or other sanction(s) from those set out in paragraphs 14 (a), 18(a) and 28 above.
35. The decision of the President on student appeals shall be final.
36. The outcome of the appeal process shall be recorded in the Report on Student Academic Misconduct and sent to the Academic Registrar for retention.
37. Papers and records in relation to processes conducted under these Regulations shall be retained by the Academic Registry until, normally, the graduation of the subject student, after which, such papers and records shall be destroyed unless they are retained under paragraph 43 below.
38. All information gathered or received during the processes under these Regulations, as well as information presented or discussed in the course of meetings or deliberations of the cases, shall be kept in strict confidence and shall not be divulged to parties not involved in the process.
39. The processes under these Regulations shall be conducted in an informal manner. The strict rules of procedure and evidence of a court of law do not apply to these disciplinary process. The case reviewing officers and the Senate SDC may receive any material which is considered relevant and attach such weight to the material as the case reviewing officers and/or Senate SDC consider appropriate.
40. The commencement or non-commencement of civil or criminal proceedings, or investigation by a law-enforcement agency, against a student shall not preclude or in any way restrict the commencement or continuation of the disciplinary proceeding herein, although the University has the full right and discretion (but not obligation) to withhold commencing, suspending or discontinuing with the procedures should the circumstances so justify.
41. Whilst the University shall take all reasonable measures to comply with the procedures under these Regulations, in the event of non-compliance, for example, accidental non- or late-delivery of documents, unavailability of a witness or the case reviewing officer and/or Senate SDC member causing delay in the process, will not in itself render the process void or voidable or constitute procedural irregularities if no material prejudice is caused.
42. The University reserves the right to publish the findings and outcome of any case considered under these Regulations including, amongst others, the nature of the academic misconduct, salient facts and the sanctions imposed, provided that the publication shall be strictly on a no-name basis and shall not include the name of the party(ies) or details which might render the identity of parties involved ascertainable.
43. Throughout these procedures, the outcome of all confirmed cases of academic misconduct shall be reported to the Academic Registrar, whose office will undertake periodic review (at least once annually) of the forms of academic misconduct being reported and the sanctions imposed, in order to ensure consistency of sanction across the University. Where discrepancies were to be found, the Academic Registrar shall report this to the relevant Dean(s) and the Provost for remedial action, and to the Committee on Teaching and Learning Quality for information.
[Includes tests and other assessments held under examination conditions but excludes examination of theses, final year projects or other similar assessments]
1. Only students who are enrolled in the course and able to present their student identity cards (or in exceptional circumstances their HKID cards) are allowed to sit for a course examination.
2. Only in exceptional circumstances are examinees permitted to leave the venue in the first 30 minutes of an examination, or join an examination after the first 30 minutes. Examinees admitted late to an examination will not be given extra time for the examination.
3. Except for items explicitly permitted for an examination, all books, bags, papers, mobile phones and communication devices, etc. must be placed ideally at the front, rear or side of the venue so that they cannot be accessed. These items may be placed under desks and seats only where they are easily visible and with an invigilator’s permission.
4. Conversation is not allowed during an examination, unless specifically permitted by an invigilator. Any questions must be addressed to an invigilator.
5. Examinees should write only on their answer books or on any supplementary sheets provided for the purpose. All answer books, examination papers and supplementary sheets must be handed in at the end of the examination. Examinees are permitted to remove printed or written materials from the examination room only with the permission of the examiner.
6. Examinees may leave examination venues to visit washrooms or for any other reason only with an invigilator’s permission, and must be accompanied by an invigilator. Examinees may not take examination materials or electronic devices to washrooms; other personal items may be taken only with an invigilator’s permission.
7. Examinees are not allowed to leave the examination venue during the last fifteen minutes of an examination and must remain seated until the invigilator has collected all examination answer books and examination papers at the end of the examination.
8. Where an examinee leaves the examination venue due to illness or other extenuating circumstances and is unable to complete the examination, the Academic Regulations Governing Undergraduate Studies (7.5) and the Academic Regulations Governing Postgraduate Studies (7.4) shall apply, as appropriate.
9. Invigilators are authorized to expel students from an examination if they discover cheating or repeated misconduct and shall submit a Report on Student Academic Misconduct, indicating the circumstances of the case, to the Head of the Department/Division responsible for the course, via the Course Instructor where applicable, for consideration under the Regulations for Student Academic Integrity.
10. Only students who are enrolled in the course are allowed to sit for a course examination and to access examination materials. All logins to any software involved in the examination should be made using the student’s own ITSC account, and no VPN should be used except with the explicit prior written permission of the instructor (for example where an instructor authorizes the use of a Proxy service provided by ITSC for improved internet connection from the Mainland).
11. An examinee must take an examination by him/herself in a private room, unless with the prior written permission of the instructor. The use of virtual backgrounds is prohibited.
12. Only equipment explicitly permitted can be used during an examination. It is the responsibility of examinees to ensure that their equipment is functioning properly, and to follow the invigilator’s instructions to set up the proctoring environment.
13. Only in exceptional circumstances are examinees permitted to leave the examination venue and/or turn off their cameras in the first 30 minutes. In such circumstances, Rule 18 below shall apply.
14. Only in exceptional circumstances are examinees permitted to join an examination after the first 30 minutes. Examinees admitted late to an examination will not be given extra time for the examination.
15. Examinees cannot use any program or access any website that provides answers tailored to the user’s input; and cannot use any material, whether in hard copy, electronic or other form, except where explicitly permitted.
16. Conversation or other communication, whether at the examinee’s workstation or remotely through electronic or other means, and whether it is related to the examination or not, is not allowed during an examination unless specifically permitted by an invigilator. Any questions must be addressed to an invigilator.
17. Except where explicitly permitted, examinees are not allowed to save or distribute copies of examination questions in any form either during or after the examination. Any questions that an examinee had downloaded onto his/her hard-drive, external drive or other device in order to work on during the examination must be deleted immediately at the end of the examination.
18. Examinees may leave examination venues to visit washrooms or for any other reason only during designated periods, where scheduled, or with an invigilator’s permission, and only after they have uploaded their examination answers before leaving. Once uploaded, answers cannot be revised/modified unless explicitly permitted for the specific examination. Examinees may not take examination materials or use electronic devices when they leave their workstations; other personal items may be taken only with an invigilator’s permission.
19. Examinees who leave the examination venue to go to the washroom or due to illness or other extenuating circumstances without uploading their answers will be deemed to have been unable to complete the examination: in such cases, the Academic Regulations Governing Undergraduate Studies (7.5) and the Academic Regulations Governing Postgraduate Studies (7.4) shall apply, as appropriate.
20. Notwithstanding Rules 13, 18 and 19 above, examinees are not allowed to leave the examination or turn off their cameras until an invigilator announces that the examination is over.
21. Invigilators are authorized to expel students from an examination if they discover cheating or repeated misconduct and should submit a Report on Student Academic Misconduct, indicating the circumstances of the case, to the Head of the Department/Division responsible for the course, via the Course Instructor where applicable, for consideration under the Regulations for Student Academic Misconduct.
(Updated version of 1 September 2024)