STUDENT DISCIPLINE:

A GUIDE FOR ADMINISTRATORS, FACULTY,

AND HEARING OFFICERS

 

[This guide is not a statement of official policy of The University of Texas System. It provides advice and information for personnel at component institutions who are involved in the student disciplinary process. The official rules, regulations, and policies related to student discipline are published in the Rules and Regulations of the Board of Regents of The University of Texas System and the institutional Handbook of Operating Procedures and Catalog.]

 

I. BACKGROUND

II. PRACTICAL ADVICE FOR THE DEAN OF STUDENTS

III. ADDRESSING SCHOLASTIC DISHONESTY

A. FACULTY RESPONSIBILITIES

B. GUIDELINES FOR FACULTY MEMBERS AND PROCTORS

C. EXAMINATION TECHNIQUES

D. POLICY ON SCHOLASTIC DISHONESTY

E. EXAMPLES OF CONDUCT THAT MAY INVOLVE SCHOLASTIC DISHONESTY

IV. GUIDE FOR HEARING OFFICERS

V. GUIDE FOR THE PRESIDENT

VI. ATTACHMENTS

I. BACKGROUND

The Board of Regents of The University of Texas System ("Board of Regents") is charged with responsibility for the governance of The University of Texas System ("U.T. System"). In furtherance of that responsibility, the Texas Legislature has given the Board of Regents the authority to adopt and enforce such rules and regulations as it deems necessary for the operation, control, and management of the U. T. System and the component institutions of the U.T. System ("component institutions"). The Rules and Regulations adopted by the Board of Regents include provisions relating to the standards of conduct expected of students at the component institutions of the U. T. System. (See Regents' Rules and Regulations, Series 50101 ) Each component institution is also authorized to enact additional rules and regulations related to student conduct and disciplinary procedures consistent with Regents' Rules and Regulations. Faculty and administrators involved in the disciplinary process are expected to abide by the standards articulated in the Regents' Rules and Regulations and the rules of the component institution.

Students who fail to conform to the established standards of conduct are subject to one or more of the disciplinary penalties listed in the Regents' Rules and Regulations or rules of the component institution. The courts have held that a disciplinary penalty may not be imposed upon a student for engaging in prohibited conduct unless the student has been offered an opportunity for a hearing that conforms to certain minimal procedural due process standards. The Regents’ Rules and Regulations have been drafted to establish disciplinary hearing procedures that conform to the procedural due process requirements of the courts. All component institutions of the U.T. System are required to use those procedures in student disciplinary matters.

II. PRACTICAL ADVICE FOR THE DEAN OF STUDENTS

A.     RESPONSIBILITY OF DEAN

The Regents' Rules and Regulations place primary responsibility for student disciplinary matters with the dean of students. The dean of students is defined as the officer or officers responsible for the administration of the disciplinary process at each component institution. That officer, whether designated as dean of students, discipline coordinator or other title ("Dean"), is charged with the responsibility for the initial intake of complaints (Attachment 1), contact with the accused student, initial investigation of the allegations, and initiation of the disciplinary process when appropriate.

The Dean is not charged with determining whether a student is guilty or innocent of the charges, but the Regents’ Rules and Regulations do require the Dean to determine initially whether there is sufficient evidence to proceed with the disciplinary process. As a general rule, after investigating the allegations the Dean will contact the accused student by a summons letter (Attachment 2) that informs the student of the alleged charges and sets a time for a personal interview with the student to review the matter. During the interview, the student's version of the alleged incident or charges should be solicited by the Dean, although the student may not be forced to comment on the incident. After the interview, the Dean will determine whether to proceed with the disciplinary process. If the Dean desires legal assistance, an attorney from the U.T. System Office of General Counsel will be assigned to provide advice prior to the preparation of the hearing notice letter.

B.     NOTICE TO STUDENT

It is recommended that the Dean’s summons letter, the hearing notice letter and any other correspondence to the accused student be sent by certified mail to the address of record shown by the registrar's records. Such communications may be sent simultaneously by regular mail or hand delivered.

C.     INTERVIEW WITH ACCUSED STUDENT

When the accused student responds to the summons letter, the Dean should explain the nature of the alleged misconduct and the supporting evidence. The accused student should be encouraged to present any explanation or defense that the student desires to offer regarding the alleged misconduct.

After hearing the student's explanation, the Dean may determine that there is insufficient evidence to pursue the matter and may dismiss the matter at this point.

However, if the Dean decides that the charges are supported by the evidence, the accused student should be offered the following options:

admit the facts upon which the charge is based, sign a waiver of hearing, and have a disciplinary penalty assessed by the Dean; or

deny the facts upon which the charge is based and have the evidence presented at a hearing before a Hearing Officer who will determine the student's guilt or innocence and assess an appropriate penalty.

If a student fails to appear in response to the summons letter without a valid reason, the Dean may implement hearing procedures and notify the student or may bar or cancel enrollment or otherwise alter the status of the student until the student appears or responds to the summons letter.

D.     ADMINISTRATIVE DISPOSITION

When a student admits the facts upon which the charges are based and executes a waiver of hearing form (Attachment 3A) that allows the Dean to impose a disciplinary penalty (Attachment 3B), the penalty assessed by the Dean should be appropriate to the offense admitted and should be consistent with prior penalties imposed for similar misconduct. To the extent possible, the Dean should determine the direct and indirect impacts of any potential penalty prior to its assessment (for example, loss of financial aid eligibility, requirement to repeat a course or course sequence). If the student executes a waiver, appeal to the President (as discussed in Section V of this Guide) is permitted only on the issue of penalty.

If the student does not admit the facts upon which the charge is based, a Hearing Officer is appointed; a hearing is scheduled; and the student is sent a misconduct charge and hearing notice letter (Attachment 4).

E.     INTERIM DISCIPLINE

The Dean is authorized to take immediate interim disciplinary action appropriate to the circumstances, pending a hearing. Authorized actions by the Dean include suspension and a bar from the campus when a student's continuing presence poses a potential danger to persons or property or a potential threat of disrupting any authorized activity of the component institution. The Dean's interim discipline may also include the withholding of grades, degree or official transcript if such withholding is in the best interest of the component institution (for example, when the disciplinary process cannot be completed before final grades are due or degrees are awarded). (See Attachment 5.) A hearing must be scheduled within ten (10) days of the interim disciplinary action unless the student agrees in writing to a continuance or waives the hearing and accepts administrative disposition by the Dean.

F.     HEARING

A Hearing Officer is appointed in accordance with established procedures of the component institution. It is recommended that the President appoint the Hearing Officer.

The Dean and the accused student may postpone the hearing by agreement; otherwise, only the Hearing Officer may postpone a hearing for good cause. It is recommended that any agreement to postpone also include a new hearing date and be reduced to writing and signed by the Dean and the student and a copy delivered to the Hearing Officer.

The Dean should not discuss the allegations or evidence with the Hearing Officer. All evidence should be presented in the hearing in the presence of the accused student.

The Dean is responsible for assuring that there is an official recording of the hearing. This is usually accomplished by either the Dean or another individual from the Office of the Dean recording the hearing by tape. The accused student may not also record the hearing but will be provided a copy of the official recording upon request. Transcription of the official recording by the Dean is unnecessary unless requested by the President upon appeal. In such case, a copy of the transcript should be provided to the Dean and the accused student.

The Dean's role in the hearing is to present the evidence in support of the charges. Both the Dean and accused student have the right to be assisted by an advisor of choice. The role of the advisor is merely to advise - an advisor may not question witnesses, introduce evidence, make objections, present arguments or be a witness. If the student is assisted by an advisor who is an attorney, the Dean's advisor may be an attorney from the U.T. System Office of General Counsel.

The Dean may recommend a penalty to be assessed by the Hearing Officer. The recommendation may be based on penalties that have been assessed in the past for similar misconduct, the past disciplinary record of the student, or any other factor deemed relevant by the Dean. In cases where the student possesses a past disciplinary record, it is suggested that the Dean introduce for the hearing record documentation that reflects the prior violation and the penalty assessed.

G.     APPEAL

Only the penalty assessed by the Dean and not the guilt or innocence of the student may be appealed to the President by the student when a student admits the facts and executes a waiver of hearing. A decision of guilt or innocence and the penalty assessed as a result of a hearing before a Hearing Officer may be appealed to the President by either the Dean or the student. Written notice of appeal must be provided to the President within fourteen (14) days after the appealing party has been

notified of the penalty assessed by the Dean or the decision of the Hearing Officer. If the notice is sent by mail the date the notice from the Dean or the Hearing Officer is mailed initiates the fourteen (14) day period. The appellate process is outlined in Section V of this Guide.

H.     DISCIPLINE RECORD

Records of disciplinary action are retained in the Dean's office and are kept separate from the student's academic record. A student's disciplinary record is not ordinarily available to persons within the institution unless they have a legitimate need to know.

Disciplinary records, including information on scholastic dishonesty, may be released to persons outside the institution only with the consent of the student, in accordance with state or federal laws, or in response to a court order or subpoena. In the latter case, the institution must attempt to notify the student of the court order or subpoena prior to release of the information unless such subpoena specifically directs the institution not to disclose the existence of a subpoena. Some governmental agencies and professional schools will request that applicants for admission or employment grant them access to disciplinary records.

The primary purpose of maintaining prior disciplinary records is to alert the office of the Dean of a student’s repeated violations of regulations. Evidence of a student’s prior disciplinary penalties may be used when relevant to proof of the current disciplinary charge or to the imposition of appropriate penalty.

III. ADDRESSING SCHOLASTIC DISHONESTY

A.     FACULTY RESPONSIBILITIES

Confronting and reporting suspected scholastic dishonesty is a shared responsibility of faculty and students, although faculty members are called upon to play a greater role in that process. Many students, however, are becoming more and more concerned about scholastic dishonesty and are reporting observed incidents.

B.     GUIDELINES FOR FACULTY MEMBERS AND PROCTORS

  1. Accusations by a faculty member that a student has engaged in scholastic dishonesty should be made in private and the investigation of the incident should be handled as privately as possible. When there is reason to believe that scholastic dishonesty has occurred, the faculty member should gather all pertinent supporting evidence (such as tests, reports, computer programs, plagiarized material, and other academic assignments) and make a note of any possible witnesses. During an examination, the faculty member may remove any unauthorized materials and/or privately ask a student suspected of cheating to move to another location; however, the student should be allowed to complete the examination

  2. The faculty member should meet privately with the student to discuss the suspected scholastic dishonesty and the supporting evidence. The student should be given the opportunity to respond to the allegations and to present evidence in defense but may not be forced to comment. During this meeting, the faculty member should inform the student that the matter will be referred to the Dean of Students in the event that the faculty member does not accept the student's explanation.

  3. If the faculty member does not accept the student's explanation, the matter must be referred to the Dean. The referral should include a written summary of the charge and may include the faculty member's recommendations for disposition, if any. Relevant documents such as notes, exams, material plagiarized, and names of witnesses should also be forwarded.

  4. The Dean is responsible for contacting the student and investigating the allegation of misconduct. If, after meeting with the student, the Dean determines that the charges are supported by the evidence, the student may choose to resolve the matter administratively by executing a waiver form (Attachment 3A) in which he or she admits the facts upon which the charge is based, waives a hearing before a Hearing Officer and authorizes the Dean to assess a penalty (Attachment 3B). If the student disputes the facts, the charges will be heard and determined by a Hearing Officer.

  5. If a hearing is conducted, the office of the Dean prepares for and will present the evidence in support of the charges at the hearing. The Hearing Officer determines if the accused student violated the Regents’ Rules and Regulations or the rules and regulations of the component institution and, if so, assesses an appropriate penalty.

  6. Because an accused student is entitled to a hearing and may appeal a penalty that may be assessed as a result of a disciplinary hearing, the student must be allowed to attend all classes and complete all assignments until the process is complete unless interim discipline pending the appeal has been imposed by the Dean as authorized by the Regents' Rules and Regulations. Pending the outcome of a disciplinary action not completed at the end of a semester or summer session, the Dean should take appropriate action to withhold the student’s grades or degree pending final disposition of the disciplinary action.

C.     EXAMINATION TECHNIQUES

The following are suggestions to faculty and proctors for discouraging scholastic dishonesty during examinations. Scholastic dishonesty may also occur in labs, on homework assignments and research papers, and in computer programs.

  1. Enforce silence during the examination period.

  2. Do not leave the room.

  3. Do not let anyone leave the room during the testing room.  Stress this policy at the beginning of the semester and immediately prior to each testing period.

  4. Require students to remove caps and hats during the testing period.

  5. Require students to bring blue books at the beginning of the semester, and distribute them yourself immediately prior to each testing period.

  6. Forbid textbooks in the examination room on the day of the examination.

  7. Arrange seating so that it is difficult for a student to observe the work of others.

  8. If separate seating is not practical, distribute different examination forms and inform students of that practice.

  9. Check photo identification at every test.

  10. Change examinations each semester.

  11. Check desks and the surrounding area for unauthorized materials.

  12. Require students to sign examinations and check the signatures.

  13. Photocopy completed examinations (or a sample of them) for comparison in re-grade requests and inform students of this practice.

  14. Do not post answers to examinations prior to completion of all examination sessions.

  15. Require all personal items including but not limited to caps, hats, gloves, books, backpacks, purses and briefcases to be left at the front of the room.

  16. Do not allow programmable calculators.

  17. Have a consistent method of grading papers to which you strictly adhere; for example, use a system for marking unanswered questions so that the students may not easily fill in or alter answers later and submit them for regrading.

D.     POLICY ON SCHOLASTIC DISHONESTY

Faculty members should include a statement in their course syllabi, tests, assignment instruction sheets, or other forms of notification to the students, stressing that scholastic dishonesty will not be tolerated. A suggested general statement is included as Attachment 6. Such policy statement should not include predetermined outcomes, such as "any cheating will result in an ‘F’ in the course." Assertions like these contradict the disciplinary process which includes a right to a hearing, an appeal, and other due process requirements. Syllabi should include examination rules such as "no one leaves the room," "no caps," "no books," "ID required." Faculty members should then follow through by confronting students who violate the policies.

E.     EXAMPLES OF CONDUCT THAT MAY INVOLVE SCHOLASTIC DISHONESTY

According to the Regents' Rules and Regulations, scholastic dishonesty includes but is not limited to cheating, plagiarism, collusion, the submission for credit of any work or materials that are attributable in whole or in part to another person, taking an examination for another person, any act designed to give unfair advantage to a student or the attempt to commit such acts. Some of the ways that students may engage in scholastic dishonesty are:

  1. Coughing or using hand signals during an examination;

  2. Concealing notes on clothing, hands, caps, shoes or in pockets;

  3. Writing in blue books prior to an examination;

  4. Writing information on blackboards, desks, or keeping notes on the floor;

  5. Obtaining copies of an examination in advance;

  6. Passing information concerning specific questions or answers from an earlier class to a later class;

  7. Leaving information in the restroom;

  8. Exchanging examinations so that neighbors have identical examination forms;

  9. Having a substitute take an examination and providing false identification for the substitute;

  10. Fabricating data for lab or clinical assignments;

  11. Changing a graded paper or answer sheet and requesting that it be regraded;

  12. Failing to turn in an examination and later suggesting the faculty member has lost it;

  13. Stealing another student's graded examination and affixing one's own name to it;

  14. Submitting computer programs written by another person;

  15. Recording two answers, one on the examination form, one on the answer sheet;

  16. Marking an answer sheet to enable another to see the answer;

  17. Encircling two adjacent answers and claiming to have had the correct answer;

  18. Stealing an examination or other assignment for transmission to someone in another section, or for placement in an examination file;

  19. Using a programmable calculator to store examination information or otherwise passing information using electronic devices;

  20. Taking another student's computer assignment printout from a computer lab;

  21. Destroying or removing library materials to gain an academic advantage;

  22. Transferring a computer file from one person's account to another; or

  23. Transmitting posted answers for an examination to a student in a testing area via pager or radio transmitter.

IV. GUIDE FOR HEARING OFFICERS

A.     INTRODUCTION

This section provides practical advice and assistance to persons who serve as Hearing Officers at disciplinary hearings for students who have been charged with engaging in conduct prohibited by the Regents’ Rules and Regulations or the rules of a component institution or both. It is not intended to address all situations that may confront a Hearing Officer during the course of a disciplinary hearing. It is essential that the Hearing Officer become thoroughly familiar with the applicable Regents’ Rules and Regulations and rules of the component institution relating to student conduct and student disciplinary hearings.

B.     BEGINNING THE PROCESS

As members of the academic community, students are expected to observe the standards of conduct prescribed by the Board of Regents and the component institution that the student attends. An allegation that a student has violated those standards is investigated by the Dean (or other administrative official responsible for the administration of student discipline). If, after summoning the student and discussing the allegations, the Dean determines that the allegations are supported by the evidence, the Dean notifies the student that he or she may:

admit the facts upon which the charges are based, execute a waiver of disciplinary hearing procedures, and allow the Dean to assess a disciplinary penalty; or

deny the facts upon which the charges are based and require the U. T. System component institution to proceed with a disciplinary hearing.

When the student chooses to have a disciplinary hearing, a person is appointed to serve as Hearing Officer at the disciplinary hearing. The Dean gives the accused student a written notice that contains the following: a statement of the charges; a summary of the evidence supporting the charges; the name, office address and telephone number of the Hearing Officer; and the date, time, and place for the hearing. (See Attachment 4.)

C.     PRE-HEARING ISSUES

Prior to the date specified for the disciplinary hearing, the Hearing Officer may be called upon to deal with a challenge to his or her impartiality or with a request to postpone the date of the hearing.

  1. Challenge to Impartiality

The concept of constitutional due process entitles an accused student to have disciplinary charges heard and decided by a fair and impartial Hearing Officer. The Regents’ Rules and Regulations permit an accused student to challenge the impartiality of the Hearing Officer at least three days prior to the hearing date. The challenge must be in writing, clearly state the facts supporting the challenge to impartiality, and be submitted to the Hearing Officer through the Office of the Dean. The Hearing Officer is not automatically disqualified by an allegation of impartiality. The Hearing Officer is the sole judge of whether he or she is capable of considering the evidence and determining the facts with fairness and objectivity.

  1. Requests to Postpone Hearing Date

Unless an accused student waives the opportunity for a disciplinary hearing, a disciplinary penalty may not be imposed until the student has been found guilty of the charges pursuant to the hearing procedures provided for in the Regents’ Rules and Regulations. An accused student must be given at least ten days written notice of the date for the hearing except in those cases where immediate interim disciplinary action has been taken pursuant to the Regents' Rules and Regulations. In cases where interim disciplinary action has been taken, the hearing must take place within ten (10) days after the date of the interim disciplinary action unless the accused student agrees in writing to a hearing at a later date or waives the hearing and accepts administrative disposition by the Dean. Consequently, it is essential to an effective disciplinary process that, to the extent possible, hearings take place when originally scheduled.

  1. Postponement by Agreement

    The Dean and the accused student may postpone the hearing date by agreement. Written confirmation from the student documenting the agreed postponement and the new hearing date is required. The Hearing Officer should be provided written confirmation of the new hearing date for the record.

  2. Postponement for Good Cause

In the absence of an agreement by the parties to a postponement, the Hearing Officer has the authority to postpone a hearing to a date certain in the future for good cause. Such standard is totally discretionary and is based on common sense and fairness. Requests for postponement must be in writing and addressed to the Hearing Officer and must set forth the reason for the requested postponement. The request and the response should be made part of the record of the proceedings.

D.     HEARING PROCEDURES AND ISSUES

The Hearing Officer also has the responsibility for ensuring that the disciplinary hearing proceeds in accordance with the Regents' Rules and Regulations and that the Dean and accused student ("party or parties"), their advisors (if any), and witnesses conduct themselves in an orderly manner.

  1. Introductory Statement

    It is recommended that the Hearing Officer begin the proceeding with a statement that outlines the hearing procedures (Attachment 7) and informs the parties that all procedural questions and all objections regarding exhibits or testimony are to be directed to and will be ruled upon by the Hearing Officer. Such a statement establishes the Hearing Officer's authority and helps him or her take charge of the proceeding. It also lets the parties know what will happen and in what order. The preparation of an introductory statement will help the Hearing Officer to become familiar with the procedure before the hearing begins.

  2. Persons Present During Hearing

  1. To avoid issues concerning invasion of the accused student's right of privacy or unauthorized disclosure of information from student records protected by the federal Family Educational Rights and Privacy Act of 1974, the hearing should be closed to everyone except the Dean, the accused student, the advisor chosen by the student and/or the Dean, the Hearing Officer, the Hearing Officer's legal counsel from the U.T. System Office of General Counsel (if requested), witnesses while giving testimony, and the person making the official recording of the hearing.

    With proof that notice of the hearing was received or rejected by the student, the hearing may proceed in the student's absence.

  2. Witnesses should testify from personal knowledge and without regard to what other witnesses may say; therefore, the Hearing Officer should require all potential witnesses, other than the accused student and the Dean, to leave the hearing room until such time as they are called to testify. The Hearing Officer should instruct the witnesses not to discuss their testimony with any other witness.

  1. Examination of Witnesses

    The Dean and the accused student are entitled to have witnesses testify regarding the issues. Neither the U.T. System nor the component institutions have the authority to compel attendance of witnesses at the hearing. It is the responsibility of the parties to persuade individuals that they should testify. Witnesses called to testify by one party may be cross-examined by the other party. The Hearing Officer is entitled and encouraged to ask questions of a witness if there is a need for clarification or the Hearing Officer believes an important point was missed. There is no set rule about when questions by the Hearing Officer may be asked but it usually occurs after both parties have finished with their examination of the witness.

  2. Admissibility of Evidence

    The Hearing Officer must rule upon objections that are made to the admissibility of evidence offered by the parties.

    1. Relevancy

      In order to be admissible, evidence such as documents and testimony of witnesses must be relevant to the issues to be decided by the Hearing Officer in the disciplinary hearing. Generally, evidence is relevant if it tends to prove or disprove the facts that are at issue. There must be some logical connection between the offered evidence and the facts that are in dispute. Upon objection, evidence that is not relevant should be excluded.

    2. Hearsay

      Testimony of a witness, whether oral or in writing, should be based upon personal knowledge or observation of the witness. If such testimony is based upon what the witness has read or has been told by someone, it is hearsay and the Hearing Officer should give it little or no consideration in deciding the issues. Hearsay does not rebut the testimony of a witness with direct knowledge of the subject nor will it suffice to prove or disprove a matter at issue.

    3. Cumulative Evidence

      Evidence that is admissible but is merely cumulative of evidence already in the record should be excluded by the Hearing Officer upon objection or upon a determination by the Hearing Officer that additional evidence of the same nature as that already admitted is merely repetitious and has no probative value. This issue arises most often with testimony relating to the character of the accused student. It rests within the discretion of the Hearing Officer to determine when further testimony on an issue becomes merely repetitive.

    4. When No Objection to Evidence

      It is the responsibility of the Hearing Officer to arrive at a fair and impartial decision. When irrelevant evidence or hearsay evidence is offered without objection, the Hearing Officer should recognize it as such and disregard it in arriving at a decision.

  3. Control of the Hearing

    There may be occasions when witnesses are disruptive or refuse to stay within the scope of the issues in the case. The Hearing Officer has the authority in those circumstances to require that the testimony be excluded from the record and to act to ensure that the witnesses’ behavior is appropriate.

    Although the parties and witnesses are usually cooperative and respectful, Hearing Officers may occasionally have to contend with an over-zealous or over-controlling individual. To avoid problems, Hearing Officers must establish authority early in the hearing process and continue to exercise it throughout the hearing. The best way to establish and maintain control in the hearing process is to be prepared. At a minimum, the Hearing Officer should be familiar with the Regents’ Rules and Regulations relating to student discipline and the charge letter, since those two documents essentially set the limits of both the form and substance of the proceeding. The Hearing Officer should not tolerate behavior that he or she considers inappropriate by either the parties, their advisors, or the witnesses. The hearing may be stopped, if necessary. The unacceptable behavior should be identified on the record with the Hearing Officer informing the person who is engaging in it to stop. Rude, hostile or abusive conduct by anyone during the hearing should not be condoned and the Hearing Officer should stop such behavior if it occurs.

  4. Final Statements of the Parties

    After the presentation of the evidence has been concluded by both parties, each party may make a closing statement to the Hearing Officer that summarizes the evidence admitted and states the conclusions the Hearing Officer is requested to reach. As the party with the burden of proof, the Dean has the right to make the first closing statement and may also make a final statement after the closing statement of the accused student. The Hearing Officer should establish a time limit for closing statements and require the parties to observe the time limits. The Dean’s first closing statement may include a recommendation regarding the penalty to be imposed in the event the Hearing Officer finds the student guilty of the alleged misconduct. The Dean's recommendation may be based upon past practice for misconduct of a similar nature, the past disciplinary record of the student, or other factors deemed relevant by the Dean. The accused student is entitled to respond to the recommendation of the Dean in the student’s closing statement.

E.     DECIDING THE CASE

The Hearing Officer is required to render a written decision that makes findings of facts and a determination of the guilt or innocence of the accused student. If it is concluded that the accused student is guilty, an appropriate penalty will be assessed by the Hearing Officer from those penalties authorized in the Regents' Rules and Regulations and the rules of the component institution. If the penalty is probation or suspension, the Hearing Officer should specify the beginning date, ending date, the conditions applicable during the period of probation or suspension, and the penalty that will be imposed if the conditions are violated. A copy of the decision must be delivered to the accused student and the Dean. (See Attachment 8.)

  1. Burden of Proof

The Dean has the burden of proving the allegations of misconduct by the greater weight of the credible evidence. Credible evidence is evidence that is believable. The burden is met if there is more believable evidence that supports the truth of the charges than there is evidence that supports their falsity. The mere number of witnesses who testify for a party or who testify as to a particular issue is not controlling in determining whether this burden has been met.

  1. Credibility of Witnesses

The Hearing Officer is the sole judge of the credibility of a witness. A witness is credible when he or she is believable. In determining the credibility of a witness, the Hearing Officer may consider the demeanor of the witness, the opportunity of the witness to observe events or to acquire knowledge that is the subject of the testimony, any interest that the witness may have in the determination of the charges, or any other factor that is relevant to determining whether the witness is believable.

  1. Direct and Indirect Proof

    2. The facts at issue may be proven by direct or indirect evidence. Direct evidence is testimony by a witness who saw the events occur or who heard words spoken that establish the fact in question. Indirect evidence includes testimony or documents that establish collateral facts or circumstances from which the fact at issue may be inferred from common knowledge or experience.

F.     APPEAL

The role of the Hearing Officer is completed upon transmission of the decision to the parties unless, upon appeal, the case is returned for the hearing to be reopened for the presentation of additional evidence. Either party may appeal the decision to the President of the component institution within fourteen (14) days after the appealing party has been notified of the decision or, if mailed, within fourteen (14) days of the date of mailing of the decision.

V. GUIDE FOR THE PRESIDENT:

APPELLATE DECISIONS

The Regents' Rules and Regulations vest final appellate authority in the President of the component institution. The President should become familiar with the Regents' Rules and Regulations applicable to student discipline. Appeals from punishment imposed by the Dean pursuant to a signed waiver of hearing are limited to the issue of appropriateness of penalty only and no transcript is required. The decision of a Hearing Officer on the issue of guilt or innocence and on the issue of the penalty may be appealed by either the Dean or the student.

A.     NOTICE OF APPEAL

A written notice of appeal must be delivered to the President within fourteen (14) days after the appealing party is notified of the penalty assessed by the Dean or of the decision of the Hearing Officer. If the Dean's notice of penalty or the Hearing Officer's decision is sent by mail, the date the notice or decision is mailed initiates the fourteen (14) day period.

B.     DOCUMENTATION AND STANDARD OF REVIEW

To be considered by the President, the official record from the hearing and any written argument of the parties must be filed with the President within fourteen (14) days after notice of appeal is delivered to the President.

  1. Appeal of Penalty Assessed by Dean

    An appeal by a student of the penalty assessed by the Dean is reviewed by the President solely on the basis of the written argument of the student and the Dean. Oral argument is not allowed and the appeal is limited to the issue of appropriateness of penalty.

  2. Appeal of Hearing Officer's Decision

An appeal by a student or the Dean of the Hearing Officer's decision is reviewed by the President solely on the basis of the official record from the hearing. The official record consists of the recording of the hearing, the documents received in evidence, and the decision of the Hearing Officer. This record will be forwarded to the President by the Dean.

The President may request the recording of the hearing be transcribed for purposes of appeal. If the recording is transcribed, a copy will be furnished to the student.

The President may invite oral argument from the parties. Oral argument should be limited to a discussion of the evidence presented at the hearing and the conclusions to be drawn from that evidence. The President must base his or her decision solely on the record, not the oral argument, but may find oral argument a useful tool in understanding the facts and the issues. (A sample invitation for oral argument is included as Attachment 9.)

 

C.     DECISION

The President should discuss the case only with legal counsel. It is important that the President understand the effect of the penalty being reviewed, the alternative penalties that are available, and the consequences that may result from assessing an alternative penalty. The President is encouraged to seek advice from the U.T. System Office of General Counsel on these issues as well as any related legal issues prior to making a decision on appeal. Within thirty (30) days after the appeal and official record are received, the President will issue a decision on the appeal. The President may approve, reject or modify the decision in question or may require that the original hearing be reopened by the Hearing Officer for the presentation of additional evidence and reconsideration of the decision. (Sample determination letters are included as Attachments 10 and 11.)

VI. ATTACHMENTS

Attachment 1

Sample Complaint

SAMPLE COMPLAINT FORM

Name of Student: ____________________________________

Address: ___________________________________________

Date of Birth: _______________ Classification: _________

SSN: ______________________________________________

COMPLAINT

It is alleged that the above named student violated (Section number) of the (Regents’ Rules and Regulations or rules of the component institutions) which states: [e.g. "Cheating" includes (1) copying from another students test paper; (2) using test materials not authorized by the person giving the test; (3) possession during a test of materials which are not authorized by the person giving the test, such as class notes or specifically designed "crib notes"; and (4) collaborating with or seeking aid from another student during a test or other assignment without authority.]

The facts supporting this allegation are as follows: ________________________________________________________________________.

Name of individual(s) who filed complaint:

____________________________________
Signature of Dean of Student

____________________________________
Date

Attachment 2

Sample Summons Letter

Date

Student Name
Address
_____________________
_____________________

CERTIFIED MAIL
RETURN RECEIPT REQUESTED

Dear Mr./Ms. ______________:

It has been alleged that you have (describe conduct) ____________________________________________..

Such alleged conduct is in violation of (reference the applicable Regents' Rules and Regulations and/or rules of the component institution) and may result in disciplinary action against you.

It is important that you come to my office at ___________ __.m. on ____________ _____ for a detailed discussion of these allegations. You will have the opportunity at that time to make such explanation or response to these allegations as you think appropriate and I will make a determination as to whether to proceed with the disciplinary process.

Sincerely,

 

_____________________________
Dean of Students

Attachment 3A

Sample Waiver of Hearing Form

WAIVER OF DISCIPLINE HEARING

BEFORE A HEARING OFFICER

With regard to the pending discipline case against me, I hereby certify that I understand the allegation(s) of misconduct with which I am charged, admit the facts upon which the charge is based, acknowledge a violation of institutional or Regents' Rules and Regulations, waive my right to a hearing before a Hearing Officer, and authorize the Dean, or his or her delegate, to assess a penalty.

I further understand that I will be notified of the assessed penalty by U. S. mail at the address given below and that my notice of an appeal of such penalty, if any, must be filed in writing with the President within fourteen (14) days after the date the notice of the assessed penalty has been mailed.

Signed:___________________________________________

Date:_____________________________________________

Address:_____________________________________________________________

__________________________________________Zip: ______________

 

Attachment 3B

Sample Penalty Assessment by Dean Letter

Date

Student Name
Address
_____________________
_____________________

CERTIFIED MAIL
RETURN RECEIPT REQUESTED

Dear Mr./Ms. ______________:

I am in receipt of the attached WAIVER OF DISCIPLINE HEARING BEFORE A HEARING OFFICER that you signed and dated on ______________. You have certified that you understand the allegation(s) with which you are charged, admit the facts upon which the charge is based, acknowledge violation of institutional or Regents’ Rules and Regulations, waive your right to a hearing before a Hearing Officer, and authorize me to assess a disciplinary penalty against you.

I have assessed the following penalty: _______________________________________________ _______________________________________________________________________________

You have the right to appeal this penalty to the President of the University. The appeal must be filed with the President no later than fourteen (14) days from the date this notice has been mailed.

Sincerely,

 

_____________________________
Dean of Students

Attachment: WAIVER

Attachment 4

Sample Hearing Notice

Date

Student Name
Address
_________________________
_________________________

CERTIFIED MAIL
RETURN RECEIPT REQUESTED

Dear Mr./Ms. __________________:

As you have been advised, an allegation of misconduct has been made that you:

          (describe conduct)                                                                         
                                                                                                                    .

This is a violation of _____________________ (reference Handbook of Operating Procedures or Catalog) and also violates Section ____, Series 50101 of the Rules and Regulations of the Board of Regents of The University of Texas System.

The allegations have been investigated and I met with you and explained the allegations, the evidence supporting the allegations, and listened to your response. I considered your response and informed you that I had determined that the allegations are supported by the evidence. You requested a hearing before a Hearing Officer.

You are hereby notified that:

  1. A hearing has been set for _____________________________.

  2. A copy of the Complaint Form is enclosed.

  3. The person designated as Hearing Officer is __________________________________ (office address and phone number).

  4. If you desire to challenge the impartiality of the Hearing Officer, you may do so by giving written notice of the basis of such challenges to this office at least three (3) days prior to the hearing date.

  5. The witnesses who may appear to give testimony supporting the allegations are: (list names and summary of testimony; include Dean of Students if appropriate).

  6. You may appear in person at the hearing and be assisted by an advisor of your choice.

  7. You may present witnesses, present documentary and other evidence, and argue in your behalf.

  8. You may cross-examine witnesses who appear in support of the allegations and witnesses who appear on your behalf will be subject to cross-examination by me.

  9. The hearing will be recorded.

  10. Copies of the documentary evidence that may be offered in support of the allegations are enclosed.

  11. By ________________, 19____, you should send me:

    1. The name and summary of the testimony of each witness you may present at the hearing.

    2. A copy of all documentary and other evidence you may offer at the hearing.

    3. Any objection which, if sustained, would be reason for postponing the hearing date.

    4. The name of your advisor, if any, who will appear with you and whether the advisor is an attorney.

Sincerely,

 

__________________________
Dean of Students

Enclosures:

Complaint Form
Copies of Documentary Evidence
Copy of Part One, Chapter VI, Section 3, Regents' Rules and Regulations
Copy of ___________, Handbook of Operating Procedures

Attachment 5

Sample Interim Suspension Notice
(Appropriate Use is Limited)

DATE

Student Name
Address

CERTIFIED MAIL
RETURN RECEIPT REQUESTED

Dear Mr./Ms.____________:

This letter is to inform you that effective immediately interim disciplinary action of ________
_____________________________________________________ is imposed pending a hearing on allegations that you (describe conduct) ___________________________________________.

This alleged conduct violates ____ (cite provision of Handbook of Operating Procedures or Catalog)____________ and also violates ______________ of the Regents' Rules and Regulations.

A copy of the relevant provision of the Regents' Rules and Regulations regarding the authority to impose interim disciplinary action is attached.

A hearing on these allegations will be held within the next ten (10) days from the date you receive this Notice and you will be informed of the time and the location of the hearing. Prior to the hearing, you will be provided the name of the hearing officer, the names of witnesses and provided a summary of their testimony, and a copy of any documents that may be offered.

If you have any questions concerning the action taken or the disciplinary procedures, you may contact me by calling ______________.

Sincerely,

_________________________
Dean of Students

Attachments:   (Regents' Rules and Regulations)
                            (Institutional Rules)

Attachment 6

POLICY ON SCHOLASTIC DISHONESTY

Students are expected to be above reproach in all scholastic activities. Students who engage in scholastic dishonesty are subject to disciplinary penalties, including the possibility of failure in the course and dismissal from the university. "Scholastic dishonesty includes but is not limited to cheating, plagiarism, collusion, the submission for credit of any work or materials that are attributable in whole or in part to another person, taking an examination for another person, any act designed to give unfair advantage to a student or the attempt to commit such acts." Regents' Rules and Regulations, Series 50101, Section 2.2.

Since scholastic dishonesty harms the individual, all students, and the integrity of the university, policies on scholastic dishonesty will be strictly enforced.

Attachment 7

Suggested Hearing Officer Outline

  1. Introduction

"I am ___________________, ________________________ at The University of Texas at ____________________ and I will be the Hearing Officer for this disciplinary hearing."

(Optional) "I will be advised by _____________________of the Office of General Counsel of The University of Texas System, who will be present during this hearing."

  1. Identification of Parties/Advisors

"Would the parties identify themselves for the record?"

"Please provide me with your addresses for future correspondence."

(Optional) "Will each party identify their advisor for the record?"

  1. Format of Hearing

"We will use the procedures specified in Section 3, Chapter VI, Part One of the Regents' Rules and Regulations."

"The following is a brief overview of this hearing's format."

"Dean ________________ and ___________________ have the right to present testimony by witnesses; to cross examine witnesses presenting testimony on behalf of the other party; to introduce exhibits, and to present a brief closing argument."

"The University bears the burden of proving the allegations of misconduct by the greater weight of the credible evidence. As a result, the Dean will present his/her case first after which ___________________ will present his/her case."

"The form of cross-examination will be as follows: after each witness has been questioned by the presenting party the other party will have the right to question the witness, which may be followed by a redirect examination, and a recross examination. I may limit the redirect or recross if it becomes redundant or irrelevant. Further, I may ask questions of each witness. The witness may then be excused but is subject to recall."

(Optional) "The parties may confer with their advisor during the hearing if necessary. The advisor may not question witnesses, introduce evidence, make objections, present argument, or be a witness."

"I will rule on the admissibility of all testimony and other evidence and on all objections regarding admissibility of testimony and other evidence in the hearing. Generally, I will admit into evidence all information and material I determine to be relevant to the issues to be decided in this hearing. I will not allow irrelevant evidence or evidence that is repetitive. Because the hearing is informal, the rules of evidence as used in courts do not apply."

"This hearing will be documented by a tape recording which will be the official recording of the hearing."

"Following the presentation of all evidence, the Dean and _______________ will be allowed to make closing statements. The Dean shall have the right to make the initial statement, which may include a recommendation for a penalty and to make a rebuttal statement following the statement by _____________."

"After the hearing is adjourned, I will provide both parties with a written decision that will contain findings of fact and a conclusion as to guilt or innocence of __________________ . If _____________________ is found guilty, I will assess a penalty or penalties authorized in the Regents' Rules and Regulations and the University's Handbook."

  1. Invoking "The Rule"

"At this time, I ask that any person who is to testify as a witness in the proceeding, other than the Dean and ______________, to leave the room until such time as he or she is called to testify. Witnesses are instructed not to discuss their testimony with other witnesses."

  1. Opening Statements

(To Dean) "Is the University ready?"

(To student) "Are you ready?"

(To Dean) "Please read the charge into the record and have it marked as an exhibit."

(To Dean) "Will you have any opening remarks?"

(To student) "Will you have any opening remarks?"

  1. Direct and Cross Examination of University Witnesses

(To Dean) "Will you call your first witness?"

(The Dean calls witness. Witness is questioned by Dean).

(Witness passed for cross-examination by student.)

  1. University Rests its Case

  2. Direct and Cross Examination of the Student's Witnesses

    3. (To student) "Will you call your first witness?"

(Student calls witness. Witness is questioned by student.)

(Witness passed for cross-examination by Dean.)

  1. Closing Statements

(To Dean) "You may make your closing statement and a recommended penalty in the event I find ______ guilty of the charge."

(To student) "You may make your closing statement and response to the recommended penalty."

(To Dean) "You may make your rebuttal statement."

  1. Concluding the Hearing

"This hearing is concluded."

 

Attachment 8

Sample Hearing Officer's Findings and Conclusions

In the Matter of the Disciplinary
Charges against Tom Thomas

A hearing was held on December 15, 1997 concerning the allegation that Tom Thomas (Thomas) requested admission to The University of Texas at Austin for the fall semester of 1995 and that at that time falsified the admission application by failing to list attendance at the University of Houston and the University of Georgia. It was also alleged that Thomas failed to provide the Registrar with official transcripts from these institutions until he had completed 16 semester hours. Thomas personally appeared at the hearing and was assisted by an advisor. H. Harris, Dean of Students, represented The University.

Bob Baker, Registrar, was called as a witness for the University and testified that Thomas visited his office in July, 1997 and at that time Thomas stated that he had attended University of Georgia prior to his admission to The University of Texas at Austin in 1995. Mr. Baker stated that he verified the social security number of Thomas to ascertain that the signed application submitted was indeed his. That application was submitted as Exhibit 1. Mr. Baker also testified that during that meeting he asked Thomas to read items on the application which requests disclosure of post-secondary schools attended and studies in progress, both of which were blank on Thomas’ application. In addition, Baker testified that he called Thomas’ attention to item 307 on the application which asks the applicant to declare circumstances that may possibly influence the admission of the applicant and to the signature block which requires the applicant to certify that the application is correct and informs the applicant that "false or incomplete information may result in dismissal from the university." Baker reported that Thomas’ response to his question of why Thomas had not listed all post-secondary institutions attended was that Thomas did not think that he had to submit transcripts. Mr. Baker stated that he called Thomas’ attention to the admissions requirements stated in the 1995-96 catalog, submitted as Exhibit 2, regarding the admission of transfer students (p. 1), requirements for admissions (p. 2), procedures to be followed (p. 4) and the declaration of previous college work attempted (p. 5).

Thomas’ transcript from the University of Houston was presented as Exhibit 3 and Thomas’ transcript from the University of Georgia became Exhibit 4. Mr. Baker testified that Thomas had attempted 24 semester hours prior to the fall of 1995 with a cumulative GPA of 1.53 and that Thomas was on academic probation at both The University of Houston and University of Georgia. Such academic probation would have resulted in Thomas not being in good standing at the last institution attended. Either of those conditions disqualified Thomas from being admitted to The University of Texas at Austin.

Sue Sands, Assistant Registrar, testified that she had prepared the memorandum to the Dean of Students, admitted as Exhibit 5. The memorandum states that if Thomas had given all the true information requested on the application, he would not have been granted admission because he was not in good academic standing at the last school attended and did not have a 2.0 GPA on all previous work attempted.

Thomas called Jane Brown to testify. She stated that she had many occasions to work with Thomas. Thomas asked her to testify about admissions policies at Oxford University regarding cases of this nature. The question was not allowed because I consider hearsay evidence on the admissions policies of another institution to be inappropriate and irrelevant to this hearing.

Bill Wilson testified, as a professor who worked with Thomas, that Thomas is a good student, that he is conscientious, active, and inquisitive, and that he demonstrated the ability to improve his academic performance during the sequence of classes taught by him. He said that he considers Thomas to be an exemplary student. In response to this testimony, I wish to note that the scholarly activities of Thomas, however meritorious, are not an issue in this case. The issue is the falsification of the admissions application as it pertains to eligibility for enrollment.

Thomas testified next that he spent one year at the University of Houston and then attended the University of Georgia. In 1995, Thomas filled out the application that is Exhibit 1. He explained that he did not declare his work at those two institutions because he did not wish to transfer credits from either school. The admissions application does not give such an option. It is explicit in its requirement to list all prior post-secondary academic work.

Thomas stated that he did not intend to mislead The University when he filled out the application. However, during the years he attended The University of Texas at Austin, Thomas made no effort to provide a true and complete record to the Registrar. In response to Mr. Baker's question about whether the information on the application was true and complete when it was signed in 1995 and today, Thomas stated that it was not complete then or now.

Dr. Harris, Dean of Students, testified about university policy in cases where a student falsifies an application for admission and the student signs a waiver admitting to the charges. He responded that in cases where a student has falsified an application and did not meet admission requirements, the student has been permanently expelled from the university and any semester hours completed while the student was fraudulently enrolled have been stricken from the record. As the disciplinary officer of the university, Dean Harris stated that students are not permitted to profit from course work they have not legally had the right to take.

The Dean of Students made the point that because Thomas did not supply all information required by the Office of Admissions and Registrar when making application for admission and because he signed the application form which states that he certifies that all information given is correct, he has been fraudulently enrolled since the fall term of 1995. Dean Harris argued that the university is not an open admissions university and that Thomas did not meet all requirements for admission. If all the information required for application had been provided, Thomas would not have been admitted. Therefore, he argued, Thomas was not entitled to enroll in any courses at the university and should not receive academic credit for courses completed.

Given all the pertinent evidence presented at the hearing of December 25, 1997, I find that Thomas’ application for admission to the University was incomplete and therefore incorrect in 1995. Mr. Baker's testimony that Thomas would not have been admitted to The University if the required transcripts had been submitted further confirms my belief that Thomas had reason to withhold this information at the time of application. However, there is reasonable doubt in my mind that Thomas’ intention was to deceive the University. But motive, while helpful in determining facts, is not the basis for deciding a fraudulent enrollment case. I was impressed by the fact that Thomas voluntarily informed the Registrar of his prior academic work and supplied the required transcripts in 1997. That is important because it suggests that Thomas recognized and attempted to correct the error. Such action does not, however, relieve Thomas of responsibility for falsifying his application for admission.

After carefully weighing all the testimony presented at the hearing, the evidence is irrefutable that Thomas did falsify his application in 1995. Thomas testified under oath that he thought it unnecessary to declare prior course work that he did not wish to transfer, yet he also testified that he thought he might get into trouble for not providing the information. As University Hearing Officer, I have ruled on other similar cases of fraudulent enrollment over the past several years. In those instances, when students have falsified their applications and would not have been eligible for admission if all information had been supplied to the Office of Admissions at the time of application, students have been permanently expelled. Admission policies must be consistently applied to all students admitted to the university.

In recognition of Thomas’ voluntary submission to the Registrar of transcripts and his service to the University while a student, I find that the semester hours that Thomas earned be allowed to stand. However, my decision is that Thomas is guilty of fraudulent enrollment and that he is permanently expelled, effective at the conclusion of the Fall 1997 semester.

Thomas has the right to appeal this decision to the President of the University. The appeal must be filed with the President no later than fourteen (14) days from the date of this decision.

Entered this 14th day of January, 1998.

 

__________________________________________
Hearing Officer

Attachment 9

Sample President's Letter
(invitation for oral argument)

Date

Mr./Ms. ______________
______________________
______________________

Dean _________________
______________________
______________________

Dear Mr./Ms. _____________ and Dean ________________:

On _____________________, I received written notice of (student’s name or Dean’s name) appeal of the disciplinary decision of _____________________, Hearing Officer (optional: with a request for oral argument).

You are invited to present oral arguments to me on ____________________, 19___ at _____ __.m. in _______________________________. (The party who filed appeal) shall present his/her argument first after which _____________________________ will present his/her argument. Arguments are limited to fifteen (15) minutes per party. You may be accompanied by an advisor, although the advisor may not argue on your behalf. Your argument should be limited to a discussion of the evidence presented at the discipline hearing and the conclusions to be drawn from that evidence. I will not consider any testimony or document that is not in the official record of the hearing.

Sincerely,

 

President

Attachment 10

Sample President's Decision
(overrules or modifies decision)

Date

Mr./Ms. ______________
______________________
______________________

Dear Mr./Ms. _____________:

I received your letter dated _____________ giving notice of appeal of the decision of the Hearing Officer dated ____________ suspending you for one academic year from The University of Texas at ________________.

After review of your notice of appeal, written argument presented by you and the Dean, and the official record of the hearing, I believe the Hearing Officer erred in failing to consider on the issue of penalty. Therefore, I am upholding the decision of the Hearing Officer on the issue of guilt of the offense charged but overruling the decision with reference to penalty.

I impose a penalty of suspension from The University of Texas at _____________________ for six (6) months.

Sincerely,

 

President

xc: Dean

Attachment 11

Sample President's Letter
(upholds decision)

Date

Mr./Ms. _______________
_______________________
_______________________

Dear Mr./Ms. ______________:

I received your letter dated _____________ indicating your appeal of the decision dated ______________ related to your disciplinary case. I have reviewed the official record of the hearing and concur with the decision of the [Hearing Officer] [Dean]. Therefore, you are hereby permanently expelled from The University of Texas __________________ beginning with the __________ semester.

Sincerely,

 

President

xc: Dean

 

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