2013-14 Decanal Memoranda

​#001: SGS Annual Audit of Student Files

SGS #001, 2013-2014

To:​ ​Graduate Chairs, Graduate Directors and Graduate Coordinators

From: Brian Corman, Dean of Graduate Studies and Vice-Provost, Graduate Education

CC: Cheryl Regehr, Vice President and Provost
        School of Graduate Studies Staff

Date: October 9, 2013

Re: SGS Annual Audit of Student Files

Attached is the report on the SGS annual audit of graduate student files undertaken by the School as part of our responsibility for the oversight of graduate programs and their administration.

Graduate units have the primary responsibility to make and communicate admission decisions and maintain official student files. For its part, the School of Graduate Studies has the responsibility to ensure that minimum admission standards and proper documentation are maintained, and that student records are properly managed. The annual audit also allows SGS to provide in-person support and advice regarding particular problems faced by graduate units.

SGS Student Services Officers and Assistants conducted our audit of student files during February and March from 21 randomly selected graduate units. This audit has been conducted annually for the past fourteen years, and this most recent audit completes the fourth year of our third five-year cycle.

Highlights include a decrease in the number of errors compared with the averages in both the first and second cycles. The individual findings for the graduate units that were audited have been forwarded to the respective Graduate Chairs with a copy to the relevant Graduate Coordinators.

The attached report shows that this year's audit focused on two aspects of the maintenance of student files: admission criteria and registration/in-program documents. Also scrutinized are five diagnostic reports generated from ROSI, which indicate noncompliance in data entry.

Based on the findings of the audit, I ask you to ensure that these practices are followed in your graduate unit:

  • An annual progress report must be submitted by the supervisory committee for all doctoral students beyond their second year in program and recorded in the student file and on ROSI. This requirement was approved at SGS Council in 1996 and has been outlined in previous correspondence. A useful strategy to ensure that annual reports are submitted is to designate a certain time of the year (e.g. “May Monitoring”).

  • Grade submission forms must be signed by the instructor and the Graduate Coordinator to ensure grade accuracy and integrity. Grades must also be correctly entered in ROSI before the SGS deadline or submitted to SGS after the deadline.

  • Admission recommendation forms must be used to document the decision to admit a student using the correct ROSI admission codes.

Forms may be found on the SGS website.

On a related note, when assessing international credentials, please address any questions or concerns to your Student Services Officer at the School. Our staff members have considerable expertise in this area and are happy to examine any questionable documents or to provide other feedback about foreign credentials.
2012-13 SGS Audit of Student Files Report to GEC

2012-13 Division I-IV Summary

#002: Termination of Registration

SGS #002, 2013-2014

To: Graduate Chairs, Graduate Directors, Graduate Coordinators and Graduate Administrators

From: Brian Corman, Dean, School of Graduate Studies

CC: Faculty Graduate Deans and Administrators, SGS Staff

Date: February 3, 2014

Re: Termination of Registration Guidelines, and Termination of Registration: Information for Students

This memo is to inform you of two documents now available to the graduate community. The ‘Termination of Registration Guidelines’, and the ‘Termination of Registration: Information for Students’ handout. The regulations and procedures for recommending termination of registration have not changed. The Guidelines expand upon and clarify the previously available procedures. The Information for Student’s document is new.

1. Termination of Registration Guidelines

The Termination of Registration Guidelines are publicly accessible on the SGS website and are primarily aimed at graduate faculty and staff. The Guidelines serve to support graduate units when making a recommendation for termination of a student’s registration to the School of Graduate Studies (SGS) Vice-Dean, Students. The Guidelines outline the University regulatory framework involving termination and academic progress, and provides step-by-step procedures for recommending termination of registration. References and contact information are also provided as additional resources to graduate units.

2. Termination of Registration: Information for Students

The Information for Graduate Students document is new and now accessible on the SGS website. It is aimed at students who may be facing a recommendation for program termination from their graduate unit. The handout provides an overview to explain ‘what is termination of registration’ and outlines the process when facing a potential recommendation for termination. A Frequently Asked Questions (FAQ) section is included. This section provides important information and clarification about withdrawal, appeals, mediation and information disclosure.

Please communicate the guidelines and information sheet as appropriate. These documents were widely circulated for consultation and were finalized December 2013. If you have any feedback or questions, please email the School of Graduate Studies. Thank you.