Student Disciplinary and Grievance Actions

The vast majority of medical students will pass through the medical education system without any difficulty. Most never become known to the Student Promotions and Evaluation Committee (SPEC) except as they are routinely promoted to the next level of study. A few students, however, will have problems that bring them before the Honor Council or SPEC. These problems consist of (1) academic difficulties (deficient academic grades including acquisition of clinical skills), (2) unprofessional behavior and (3) Honor System violations. Since the procedures used to handle these problems somewhat differ, they will be described separately.  

Students who believe that a rule, procedure or policy was applied to them in an unfair or inequitable manner, or that they have been treated unfairly by a faculty member or administrator, can file submit a grievance. The Student Grievance Procedure is used to review the complaint of unfair treatment. In a situation such as an allegation of unfair assignment of a grade, the Grievance Panel must review the allegation first and make a recommendation to the Dean. SPEC can make a recommendation on progress and promotion of a student only after receipt of final, uncontested grades.

 

  

4.1.1 Reasons for Disciplinary Action

4.1.1.1 Academic Deficiency

Overview in brief

4.1.1.2 Clinical Skills Deficiency

Overview in brief

4.1.1.3 Unprofessional Behavior

Overview in brief

4.1.1.4 Honor Code Violations

Overview in brief

     

4.1.2 Grievance Action and Hearing

 

Overview in brief

*Within seven (7) working days of the date of the recommendation notice, the student may contest, in writing, to the Associate Dean of Medical Education and Student Affairs, the Chairman of SPEC, or the Honor Council that (1) a substantial mistake of fact occurred; (2) a fundamental misinterpretation of official policies is evident; or (3) a significant procedural defect took place. These are the only bases for contesting the decision. If the decision of SPEC or the Honor Council is contested by a student, the group will reconvene to review the student’s contentions. If the group concurs with the student, it will correct the procedural defect, reinterpret the policy as appropriate, or review the fact which was originally presented in error, and then review its recommendation and revise it if appropriate.

 

 

5.1.1 The SPEC meets regularly to review the records of all students as soon as possible after final grades are assigned by the faculty. When a student does not meet cognitive or noncognitive standards as defined in the Academic Standards, the SPEC will review that student’s record in detail and make a recommendation to the Dean. The SPEC may meet anytime during the calendar year upon receipt of a finding by the Honor Council that a student has violated the Honor Code, or for other reasons described in the Academic Standards. If the issue being considered involves professionalism, (while technically part of the “academic evaluation”) the matter may be handled as a disciplinary procedure if referred by the Associate Dean of Medical Education and Student Affairs.

 

5.1.2 The members of the SPEC and student(s) whose situation(s) will be considered in detail will

be notified, orally and/or in writing, of the meeting by the Associate Dean of Medical Education and Student Affairs. If deemed appropriate by the Associate Dean of Medical Education and Student Affairs, a notice will be hand delivered to the student(s) or delivered by Certified Mail to his/her last known address. The notice will include the date, time and place of the meeting, the issues which will be considered, and the possible consequences.

5.1.3 The student may submit a written statement to the Chairman of the SPEC prior to the

meeting, which provides reasons why the determination of the committee should be in his/her favor. The student may also submit written statements from others in his/her behalf, and may appear in person, make an oral statement, and answer questions from members of the Committee. This interaction shall be in the nature of an informal discussion rather than a formal evidentiary hearing. Legal counsel may not be present. The student may not present witnesses without prior consent of the chairman and the Associate Dean of Medical Education and Student Affairs.

5.1.4 The recommendation of the SPEC will be made after careful and deliberate discussion, based upon the professional judgment of the committee members. Students may not be present during the committee deliberations. The student shall be notified of the recommendation in writing.

5.1.5 Within seven (7) working days of the date of the recommendation notice, the student may

contest, in writing, to the chairman of the committee that (1) a substantial mistake of fact

occurred; (2) a fundamental misinterpretation of official policies is evident; or (3) a significant procedural defect took place. These are the only bases for contesting the decision. If the decision of the SPEC is contested by the student, the SPEC will reconvene to review the student’s contentions. If the Committee concurs with the student, it will correct the procedural defect, reinterpret the policy as appropriate, or review the fact which was originally presented in error, and then review its recommendation and revise it if appropriate.

5.1.6 The final recommendation will be forwarded to the Dean after the seven (7) day period for

contest has passed or at the conclusion of a contest. The student will be offered the opportunity to provide information to the Dean for consideration during his/her review of the committee’s recommendation.

5.1.7 The Dean may accept or decline the recommendation of the committee or may return it to

SPEC for reconsideration. The decision of the Dean is final and there shall be no appeal.

 

5.2.1 Cases involving disciplinary actions can arise from alleged infractions of the Honor Constitution or an alleged serious and significant breach of ethical or professional behavior. Examples – by way of illustration, not by way of limitation – of possible actions which would lead to initiation of disciplinary procedures include accusations of:

5.2.2 After receipt of an allegation of infraction of the Honor Code, a hearing before the Honor

Council will be conducted to determine the known facts. The Chairman or a designated member of the Investigation Committee shall prepare and present the case against the student. If the student is found to have committed a violation of the Honor Code by the Honor Council, any disciplinary action becomes an academic matter. An account of the investigation and hearing will be submitted to the Associate Dean of Medical Education and Student Affairs. The case shall be referred to the SPEC for determination of disciplinary action using the Academic Procedures (refer to 3.0-3.7). The SPEC shall not reconsider a determination by the Honors Council that a violation of the Honor Code or a serious breach of appropriate behavior has occurred. If the student is found innocent by the Honor Council, all records pertaining to the alleged infraction will be destroyed.

5.2.3 If it is alleged that a student has failed to meet minimal scholastic non-cognitive performance standards as defined in the Academic Standards, the SPEC will review the student’s record in detail using the Academic Procedures. However, if in the opinion of the Associate Dean of Medical Education and Student Affairs a serious and significant breach of appropriate behavior is alleged (e.g., arrested for stealing, fraud or other violations of law), the SPEC will hold a disciplinary hearing to evaluate the evidence and to make a determination. The Associate Dean of Medical Education and Student Affairs or his/her designee will appoint a faculty member to prepare and present the case before the SPEC.

5.2.4 Reasonably in advance of a hearing by the Honor Council or the SPEC, the student will be

provided notice in writing of the specific allegations, a list of witnesses and any sworn statements or exhibits, which will be used as evidence against him/her. The student will be

given a list of the members of the SPEC or Honor Council. The student may request that a designated alternate replace any member(s) of the Honor Council for the hearing. The hearing will be conducted in private. Witnesses will be admitted only for testimony and then be required to leave. The testimony will be recorded and transcribed, and the transcript of the proceedings kept on file in the Office of Student Affairs. However, the final deliberations of the SPEC or Honors Council to render a decision will not be recorded.

5.2.5 The student may have one (1) person present during the hearing, who may be an attorney,

to advise him/her. This person may not address the SPEC or Honor Council, speak on behalf

of the student, question witnesses, or otherwise actively participate in the hearing. The student may appear in person, make an oral statement, and answer questions from members of the committee or Council. Should the student choose to remain silent, no adverse inference will be raised against him/her. The student may submit sworn written statements and other exhibits and witnesses in his/her behalf. The student may hear and question all witnesses.

5.2.6 During the period of time prior to the disciplinary hearing, the Associate Dean of Medical

Education and Student Affairs may remove a student from his/her academic place (courses,

clerkship, or elective) if the student materially and substantially disrupts the educational process or constitutes a clear and present danger to the health and safety of any other persons, themselves, or property, or infringes on the rights of others.

5.2.7 The SPEC or Honor Council shall make its determination in writing based upon the relevant

evidence presented at the hearing. The student may not be present during the SPEC or Honor Council deliberations. The student shall be notified in writing of the determination.

5.2.8 Within seven (7) working days of the date of the determination notice, the student may

contest, in writing, to the Chairman of the SPEC or President of the Honor Council that a substantial mistake of fact occurred, a fundamental misinterpretation of official policies is evident, or a significant procedural defect took place. These are the only bases for contesting the determination. If the determination of the SPEC or the Honor Council is contested by a student, the SPEC or Honor Council will reconvene to review the student’s contentions. If the SPEC or Honor Council concurs with the student, it will correct the procedural defect, reinterpret the policy as appropriate, or review the information which was originally presented in error, and then review its determination and revise it if appropriate.

5.2.9 If the SPEC finds a serious breach of behavior occurred, the SPEC will follow the process for

SPEC review of academic deficiency (sections 3.0-3.7) to recommend action to the Dean. A determination by the Honor Council that a student violated the Honor Code shall be referred to the SPEC for consideration as a failure to meet academic standards under the academic procedures.

5.2.10 The final recommendation will be forwarded to the Dean after the seven (7) day period for contest has passed or at the conclusion of a contest. The student will be offered the opportunity to provide information to the Dean for consideration during his/her review of the committee’s recommendation. The Dean may accept the recommendation, reverse it, or refer it back to the SPEC for reconsideration. The decision of the Dean shall be final and there shall be no appeal. The student shall be notified in writing of the decision.

5.3.1 Intent

5.3.1.1 The student Grievance Procedure represents a formal mechanism whereby a student may obtain a review of a complaint of unfair treatment. The Grievance Procedure shall not be used to question a rule, procedure or policy established by an authorized faculty or administrative body. Rather it shall be used for a hearing and due process for those who believe that a rule, procedure or policy has been applied in an unfair or inequitable manner or that there has been unfair or improper treatment by a person or persons.

5.3.2 Process

5.3.2.1 A student with a grievance must submit a written statement outlining the specific concern within three (3) working days following the incident, which forms the basis for the complaint.

5.3.2.2 An attempt shall be made to resolve the grievance by referring the student to the departmental chairman or other appropriate administrative official. If the grievance cannot be resolved, and if it is deemed advisable by the Associate Dean of Medical Education and Student Affairs, a Grievance Panel will be convened for the purpose of conducting a hearing to determine the facts.

5.3.2.3 The process for selecting a Grievance Panel of six (6) members will be as follows: The person filing the complaint and the Associate Dean of Medical Education and Student Affairs will review The College of Medicine Executive Council, removing from consideration any member who may with reason be considered inappropriate for the hearing (e.g., a faculty member directly involved in the issue being appealed should not sit on the Panel for that complaint). The names of the remaining members will then be written on tabs of paper and folded; these tabs will be jumbled in a container and the complainant will draw names from the container. The first six (6) names will constitute the Grievance Panel, provided that they are available at the time of the Hearing. The seventh name drawn is the first alternate; the eighth name is the second alternate, etc., until all names are listed in a priority hearing sequence.

5.3.2.4 The Hearing will occur no sooner than three (3) working days and not later than ten (10) days after the drawing unless there is a specific reason why another time must be selected (e.g., inability of an attorney to be present within the prescribed period). At a prearranged time prior to the Hearing the six (6) members of the Panel, the administrator or faculty member most directly involved in the issue being appealed and the complainant will meet briefly with the Dean to be given the charge (i.e., whether the complainant has been treated fairly and equitably), plus all relevant background data. The Dean, complainant and faculty/administrator involved will then withdraw and the Panel will elect a chairman to preside at the subsequent hearing.

5.3.2.5 The hearing will be conducted in private. The complainant must be present, and the administrator/faculty member most directly involved in the issue under appeal may elect to be present during the hearing. Witnesses will be admitted for testimony only and then asked to leave. The testimony will be recorded, and a transcript will be kept on file in the Office of Student Affairs. The final deliberations of the panel will not be recorded.

5.3.2.6 The student may have one (1) person present during the hearing, who may be an attorney, to advise him/her. This person may not address the Panel, speak on behalf of the student, question witnesses, or otherwise actively participate in the hearing. The student must appear in person, make an oral statement, and answer questions from members of the Panel. The student may submit sworn written statements and other exhibits and witnesses in his/her behalf. The student and the administrator/faculty member most directly involved in the issue being appealed may hear and question all witnesses testifying before the Panel (including each other).

5.3.2.7 The Panel shall make its determination of whether the student was treated fairly or unfairly based upon the evidence presented at the hearing, which is relevant to the issue or issues before the Panel. The determination will be made to the Dean in writing by the end of the next working day. The Panel may make recommendations for resolution of the dispute. Neither the student nor the administrator/faculty member most directly involved in the issue being appealed may be present during the Panel deliberations. The student shall be notified by the Dean in writing of the Panel’s determination.

5.3.2.8 Within seven (7) working days of the date on the Dean’s notification to the student of the Panel’s determination, he/she may contest, in writing, to the Dean that a substantial mistake of fact occurred, a fundamental misinterpretation of official policies is evident or a significant procedural defect took place. These are the only bases for contesting the determination of the Panel. If the determination of the Panel is contested by a student, the Panel will reconvene to review the student’s contentions. If the Panel concurs with the student, it will correct the procedural defect, reinterpret the policy as appropriate, or review the fact which was originally presented in error, and then review its determination and revise it if appropriate. The Panel will present its determination in writing to the Dean or his designee.

5.3.2.9 After receipt of a determination from the Panel and after the seven (7) day period has elapsed the Dean may accept it, reverse it, or refer it back to the Panel for reconsideration. The student shall be notified in writing of the Dean’s decision.