Managing Exceptions: Discretionary Decision-Making to Resolve Complex Student Issues

Presented by Josie Lalonde, School of Graduate Studies at the University of Toronto; and Nicola Woods, University of Toronto

Recorded by Caitlin A. Getchell, University of Tulsa

How do you decide whether to grant a request for an exception to policy? Josie Lalonde and Nicola Woods, from the University of Toronto, focused on this question using real life examples they have worked on in their roles.

First, what type of policy are you dealing with?

• Explicit Policy—no room for discretionary decision-making.

n Example: “In exceptional circumstances, a student who has not met these requirements may be permitted to… at the discretion of the graduate unit…” n Example: “In an assignment worth 10% or less of the final grade, the department chair may deal with the matter if…” n Example: “When all requirements for a doctoral program have been fulfilled… the student will be recommended for graduation…students must graduate at the convocation immediately following…”

• Constrained Policy—clear language with some room for discretion.

• Implied Policy—the language leaves room for discretionary decision-making.

Knowing what type of policy you are dealing with will help guide your decision when considering a request for an exception.

If your policy allows room for discretionary decisionmaking, Lalonde and Woods recommend considering the four Ps: Policy, Precedent, Principles, and Practice.

1. Policy: What does the policy state?

2. Precedent: How has this been applied in the past? How would a different application here affect future application of the policy?

3. Principles: What are the university’s principles (e.g., consistency, fairness, academic excellence, equity, etc.) and how will application of policy tie into those principles? Also, during the group discussion, an attendee suggested you should also consider the purpose of the exception or application of policy.

4. Practice: How will the exception or application of policy work in practice?

As you work through the four Ps, focus on whether you feel your position is defensible. The decision doesn’t need to be perfect, but you do need to be able to defend it.

Lalonde and Woods also recommended documenting everything, from the first point that you think something might become an issue later. Involve others as soon as you feel it necessary, as decisions can be difficult and additional insight might be useful. Bringing in additional administrators can provide different perspectives and can be beneficial to work through the final decision from multiple angles.

Creating a one-page summary of the situation that you can provide to any new administrators who are looped into the discussion is a great way to quickly bring everyone up to speed on the situation.

Lastly, while many of these situations can be frustrating for all the parties involved, it is important to remain patient yet firm when communicating with the student and others involved. n

As you work through the four Ps, focus on whether you feel your position is defensible.