Student Discipline Procedures
| University Regulation 11.35.02 |
1. Introduction
This regulation (and its appendices) set forth the procedures that apply when a Student is alleged to have violated the Code of Student Conduct (“Code”). While the student conduct system at North Carolina State University (“NC State”) does incorporate some principles associated with the legal system (e.g. due process), it is fundamentally an administrative review process and is not a court of law. Neither the Rules of Civil Procedure nor the Rules of Evidence apply. NC State’s responsibility is to provide a safe environment for all members of the university community, to educate Students about appropriate conduct, and to provide a fair hearing process.
2. Definitions
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Definitions
When used in the Code and these Student Discipline Procedures (“Student Discipline Procedures” or “Procedures”) the following definitions shall apply:
2.1 “Academic Career” means through the completion of a Student’s currently enrolled academic program (including certificate or non-degree seeking status)
2.2 “Academic Misconduct” means conduct that is described in any provision of section 8 of the Code and shall be synonymous with the term “academic dishonesty” in N.C. Gen. Stat. § 116-40.11.
2.3 “Attorney” means any person licensed to practice law in the state of North Carolina. Consistent with the Code of Student Conduct and Student Discipline Procedures, an Attorney must complete specific documents prior to representing a Student in a University proceeding.
2.4 The terms Chancellor, Vice Chancellor and Dean of Academic and Student Affairs, Dean of the Graduate School, Dean of the College of Veterinary Medicine (“CVM”), and Director of University Housing include their designees.
2.5 “Complainant” means any person who submits a report alleging that a Student and/or a Student Group/Organization engaged in conduct that violates the Code.
2.6 “Consent” means an affirmative decision to engage in an activity given by clear action or words. It is an informed decision made freely, willingly, and actively by all parties. Behavior will be considered “without consent” if no clear consent, verbal or nonverbal, is given. Consent cannot be procured by physical force, threats, intimidating behavior, or coercion. A person cannot give consent if the person is Incapacitated as a result of alcohol or drug consumption (voluntary or otherwise), is unconscious, unaware or asleep during the act, is under the legal age to provide consent, or otherwise lacks the capacity to consent. In determining whether a person is Incapacitated, the analysis must include whether the Respondent knew or should reasonably have known that the person was Incapacitated. A lack of protest or resistance is not a valid form of consent. Silence is not a valid form of consent. A prior relationship or prior sexual activity is not sufficient to demonstrate consent for sexual activity. Consent can be revoked or withdrawn at any time, even during a sexual act. If consent is withdrawn, the act is no longer consensual.
2.7 “Course of Conduct” means two or more acts, including, but not limited to, acts in which the person directly, indirectly, or through third parties, by any action, method, device, or means, follows, monitors, observes, surveils, threatens, or communicates to or about a person, or interferes with a person’s property.
2.8 “Deliver” means sale, transfer, exchange or sharing of any kind.
2.9 “Director” means the Director of the Office of Student Conduct, or designee.
2.10 “Hearing Assistant” means an individual who provides guidance or consultation to a Respondent who is charged with a violation under the Code. The Hearing Assistant may be a Student assistant from the Conduct Board, another Student, or a faculty or staff member who is not an Attorney. Hearing Assistants do not act as representatives or advocates for a Respondent. A Respondent is responsible for presenting their case even when a Hearing Assistant is present.
2.11 “Hearing Officer” means a full time Office of Student Conduct staff member, or a trained external adjudicator appointed by the Director of Student Conduct for a particular case, at an Administrative Hearing or Mutual Agreement responsible for maintaining order, determining the admissibility of information, facilitating deliberations, and announcing decisions.member.
2.12 “Incapacitated” is a state beyond intoxication where a person cannot make rational, reasonable decisions because the person lacks the capacity to give knowing consent and to understand the who, what, when, where, why or how of a particular activity.
2.13 “Instructor” means any person with an NC State University designation of Professor, Associate Professor, Assistant Professor, Senior Lecturer, Lecturer, Instructor, any designation under REG 05.20.34 (Non-Tenure Track Faculty Ranks and Appointments) as well as personnel of the United States armed forces during the time they are assigned under military orders to a ROTC program of a constituent institution of the University of North Carolina as a permanent change of station. For the purposes of these Procedures, a graduate teaching assistant is considered to be an Instructor.
2.14 “Minor violation” means a violation of the Code for which the possible sanctions are less than suspension or expulsion.
2.15 “Non-Academic Misconduct” means conduct that is described in any provision of section 10 of the Code.
2.16 “Non-Attorney Advocate” means any person, who is not a licensed attorney in North Carolina, a Student selects to assist them in the Student conduct process. Consistent with the Code of Student Conduct and Student Discipline Procedures, this person must complete specific documents prior to assisting the Student in a University proceeding.
2.17 “Observer” means any person who the Student selects to play this role. The Observer is a non-speaking role and may not participate as an Attorney, Non-Attorney Advocate, or witness in the process.
2.18 “Possession or Possessing” means knowingly or intentionally physically holding or controlling the subject item (including, but not limited to, alcohol, controlled substances, drug paraphernalia, weapons, or stolen property), or owning or controlling a room, vehicle, or other area where the item is present and where the individual owning or controlling the room, vehicle, or other area knew or had reason to know that the item was present. The presence of the item in a room, vehicle, or other area creates a presumption that the individual owning or controlling the room, vehicle, or other area had knowledge of the item’s presence, unless sufficient information to the contrary is provided.
2.19 “Presiding Officer” means the person at a Conduct Board hearing responsible for maintaining order, determining the admissibility of information, facilitating deliberations, and announcing Conduct Board decisions to the Respondent. The Student Chief Justice will normally serve as the presiding officer at a hearing. If the Student Chief Justice is unable to serve, the Office of Student Conduct staff member advising the board will select another member of the Conduct Board as the Presiding Officer.
2.20 “Protected status” means a group of people who are protected from discrimination under federal law, state law, and/or University policy.
2.21 “Reckless” means conduct that a reasonable person should know creates a substantial risk of harm to persons or property, or substantially interferes with University or University-sponsored activities.
2.22 “Report of Academic Integrity Violation” (“RAIV”) is a document that is submitted to the Office of Student Conduct that reports alleged academic misconduct in violation of the Code.
2.23 “Respondent” means a Student(s) or Student Group/Organization alleged to have engaged in conduct that violates the Code.
2.24 “Serious violation” means a violation of the Code for which the possible sanctions include suspension or expulsion.
2.25 “Student” means any person from the time the person accepts admission to NC State up through the date of graduation. This includes, but is not limited to, new Students at orientation, persons not currently enrolled but who are still seeking a degree from NC State, persons not currently enrolled but who were enrolled at the time of the conduct at issue, and any other person enrolled in a credit earning course offered by NC State. For purposes of exercising jurisdiction for University discipline, it also includes any person who has graduated from NC State if the university determines that their graduation or receipt of credit may have involved misconduct while they were working toward a degree at NC State.
2.26 “Student Conduct Referral” (“SCR”) is a document, issued by University Police, given to a Respondent and the Office of Student Conduct that reports alleged misconduct by a Student and/or a Student Group/Organization in violation of the Code. Allegations of misconduct resulting from the SCR may be amended from that document to include additional misconduct or may be revised to provide a more accurate description of the misconduct.
2.27 “Student Group” means a number of Students who are associated with each other but have not met the University requirements for registration as a Student Organization.
2.28 “Student Organization” means a number of Students who have complied with University requirements for registration or recognition.
2.29 “University Premises” means buildings or grounds owned, leased, operated, controlled or managed by NC State.
2.30 “University Representative” refers to the University employee who presents at a hearing a summary of the information gathered during any investigatory process to the Hearing Officer or Conduct Board.
2.31 “University Program or Activity” means any activity or program on or off-campus which is hosted, sponsored, authorized, or supervised by the university.
2.23 “Weapon” means any object, instrument, or substance used, attempted to be used, or capable of inflicting a wound, causing injury, or incapacitating and may include, but is not limited to: all firearms, pellet guns, paintball guns, tasers or stun guns, switchblade knives, bowie knives, chemicals such as “mace” or tear gas (if used in an illegal manner), any explosive agents, or any other object as defined in N.C. Gen. Stat. § 14-269.2.
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3. Rights and Responsibilities
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3.1 Respondent’s Rights
Students whose conduct is under review based on the Code have the following rights:
3.1.1 To receive written notice of the charges as described in these Student Discipline Procedures. Written notice of the charges will be provided to the Student within thirty (30) calendar days from either (a) the receipt of the complaint by the Office of Student Conduct or University Housing or (b) the receipt of an investigative report from the Office for Institutional Equity and Diversity (“OIED”), unless extenuating circumstances require a longer time period. A designated University official may investigate such reports prior to determining whether a formal charge should be brought against a Student or Student Group/Organization. As outlined in Appendix G, OIED will investigate reports of Interpersonal Violence or Sexual Misconduct (as defined in sections 10.14, and 10.15 of the Code). Ultimately, the Office of Student Conduct will determine whether to issue formal charges accusing a Student or Student Group/Organization of violating the Code. The constitutional prohibition against double jeopardy in criminal cases does not apply to Student disciplinary proceedings. The university may impose disciplinary sanctions even where there has been a criminal proceeding disposing of the same matter. Accordingly, the university may pursue charges for a violation of the Code where corresponding criminal charges have been reduced, declined, or dismissed.
3.1.2 In cases that could result in a sanction of suspension or expulsion, to receive a written notice of hearing that includes information specific to the factual allegations and possible sanctions.
3.1.3 To have reasonable access, to the extent permitted by law, to the Respondent’s case file in the Office of Student Conduct.
3.1.4 To receive an explanation of the procedural alternatives available within the university disciplinary process.
3.1.5 To be presumed not responsible unless proven by a preponderance of the evidence to have violated the Code.
3.1.6 To respond to the information presented and to question witnesses, through a hearing board or Hearing Officer. Respondents in disciplinary proceedings are expected to answer questions concerning their conduct. Disciplinary proceedings are administrative in nature and the person or board reviewing the case needs to have all relevant information available in order to reach a result. If the Respondent refuses to answer questions, a decision will be made based upon the information present in the record. Students whose alleged misconduct may subject them to criminal proceedings should consult with their own legal counsel regarding their rights.
3.1.7 To deny responsibility (without being charged for lying in relation to that denial) if proven responsible. However, a Student may be charged, or be subjected to more stringent sanctions, for lying about the facts of the case.
3.1.8 To appeal an adverse decision as described below in section 7.
3.1.9 To review the Code and these Student Discipline Procedures.
3.1.10 When charged with or under investigation for non-academic misconduct, to be represented by a single Attorney/Non-Attorney Advocate at the Respondent’s own expense, during a Disciplinary Conference, Mutual Agreement, Administrative Hearing, or Interim Suspension hearing
3.1.11 To have a single Observer at the hearing for support.
3.1.12 To receive contact and referral information from staff in OIED, the Office of Student Conduct, University Police, or other appropriate University offices for University-based supportive measures.
3.1.13 To waive any of the above rights, provided that the waiver is made freely and in writing.
3.2 Responsibilities of Respondents, Complainants, and Witnesses
Participants in the student conduct process have the following responsibilities:
3.2.1 To know and adhere to the Code.
3.2.2 To be honest and complete in all information provided in this process.
3.2.3 To attend all meetings, conferences, or hearings in a timely fashion.
3.2.4 For Respondents, to complete any sanctions imposed for violating the Code and consistent with the decision and deadlines administered in their case.
3.2.5 To participate in a manner that is civil and respectful.
3.2.6 For Complainants and Respondents, to have the opportunity to present their case and secure the presence of any witnesses who will speak on their behalf.
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4. Referrals
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Referrals
4.1 The Office of Student Conduct, or University Housing where appropriate, will decide whether to formally charge a Student following a report of misconduct, and to initiate one of the appropriate conduct processes, outlined in section 5 below. Unless extenuating circumstances exist, formal charges will occur within thirty (30) calendar days from receipt of the report by the Office of Student Conduct or University Housing. Section 5 below describes the types of conduct processes.
4.2 When a Respondent is charged with violating the Code, and the Respondent’s case has been addressed in a criminal proceeding for the same or similar charges where they have either pled guilty or been found guilty, the Hearing Officer may consider this as significant substantive evidence when determining responsibility for a corresponding violation of the Code.
4.3 The Office of Student Conduct will refer all cases involving charges of Interpersonal Violence (section 10.14 of the Code), Sexual Misconduct (section 10.15 of the Code), or charges of misconduct that threaten the safety or well-being of the campus community to an Administrative Hearing, described in section 5.6 of these Procedures and/or Appendix G.
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5. Types of Conduct Processes
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5.1 Disciplinary Conferences through University Housing
In cases involving the review of charges for violations of the Code, or other University policies, regulations or rules, relating to housing, the options for addressing the charges include a Disciplinary Conference through University Housing.
See NCSU RUL 11.31.01 – University Housing Disciplinary Procedures for more detail.
5.2 Disciplinary Conference: Office of Student Conduct (Appendix A)
5.2.1 In cases involving the review of a Minor violation of non-academic misconduct, a Disciplinary Conference in the Office of Student Conduct may be conducted. The Disciplinary Conference is an informal process designed to resolve charges for minor violations that do not include the possibility of suspension or expulsion as sanctions. The Office of Student Conduct, within its discretion, decides whether the charge is a minor or serious violation based on the information available from the report.
*See Appendix A for Disciplinary Conference procedures.
5.3 Graduate and Veterinary Student Discipline
5.3.1 Graduate Students who are charged with academic misconduct involving the Student’s thesis or dissertation may have their cases reviewed under REG 11.35.03 – Graduate Student Discipline Procedures. The decision regarding which procedure will be used in that instance rests with the Dean of the Graduate School. All other alleged violations of the Code by graduate Students will be governed by these Procedures. Allegations of Interpersonal Violence or Sexual Misconduct (as defined in sections 10.14 and 10.15 of the Code) shall be governed by the Procedures in Appendix G of this regulation.
5.3.2 For Students enrolled in the College of Veterinary Medicine who are charged with any form of misconduct (except allegations of Interpersonal Violence or Sexual Misconduct as defined in sections 10.14 and 10.15 of the Code), the Dean of CVM will determine if the case will be reviewed using the CVM disciplinary procedures or resolved under these Procedures. Allegations of Interpersonal Violence or Sexual Misconduct shall be governed by the Procedures in Appendix G of this regulation.
5.4 Report of an Academic Integrity Violation: Office of Student Conduct (Appendix B)
5.4.1 The RAIV is used by an Instructor to record, and to attempt resolution of, a report of academic misconduct with a Student. As a result of a meeting with the Instructor, the Student may choose to sign this form, accepting responsibility for the specific academic misconduct and waiving their right to appeal the decision and sanctions. Instructors may recommend sanctions up to and including a failing grade for the course based on a Student’s signature on this form. The signed form and supporting case materials are forwarded to the Office of Student Conduct for review and a decision on the sanction.
A Student may also use the RAIV process to deny responsibility for the charges, reject the recommended sanctions, request a hearing, and preserve their right to appeal.
5.4.2 Depending on the circumstances of the case and whether the Student has any previous violations, the Office of Student Conduct may refer the case for a hearing, even if the Student has already accepted responsibility.
5.4.3 Occasionally, the Office of Student Conduct may need to make a technical correction on the RAIV to accurately reflect the appropriate definition of academic misconduct under the Code. While the technical correction may not affect the sanction imposed, the Respondent will be notified of the correction.
*See Appendix B for RAIV procedures.
5.5 Conduct Board: Office of Student Conduct (Appendix C)
The Conduct Board reviews academic and non-academic misconduct cases involving serious violations (except the Conduct Board shall not review cases involving charges of Interpersonal Violence or Sexual Misconduct, or charges of misconduct that threaten the safety or well-being of the campus community). The composition of the Conduct Board will vary depending on the nature of the charge. Hearings by the Conduct Board are monitored by a professional staff member from the Office of Student Conduct.
5.5.1 Academic Misconduct
For cases of academic misconduct, the Conduct Board shall be composed of two (2) faculty members or other University employees approved by the Director, two (2) full-time Students, and the Presiding Officer. The Presiding Officer will facilitate and participate in the discussion during deliberations, but will not vote except in the case of a tie. The Conduct Board will act as the designee for the Vice Chancellor and Dean of Academic and Student Affairs, the Dean of Graduate School, or the Dean of CVM in decisions resulting in a suspension. Recommendations for expulsion will be forwarded to the Vice Chancellor and Dean of Academic and Student Affairs for a decision on expulsion.
5.5.2 Non-Academic Misconduct
For cases of non-academic misconduct, the Conduct Board shall be a Student panel composed of four (4) full-time Students, and the Presiding Officer. The Presiding Officer will facilitate and participate in discussion during deliberations, but will not vote except in the case of a tie. The Conduct Board will act as the designee for the Vice Chancellor and Dean of Academic and Student Affairs, the Dean of the Graduate School, or the Dean of CVM in decisions resulting in suspension. Recommendations for expulsion will be forwarded to the Vice Chancellor and Dean of Academic and Student Affairs for a decision on expulsion.
*See Appendix C for Conduct Board procedures.
5.6 Administrative Hearing: Office of Student Conduct (Appendix D)
Students referred for an administrative hearing have their cases resolved before a professional staff member in the Office of Student Conduct who acts as the Hearing Officer. This type of hearing is an option for both academic and non-academic cases. The full range of sanctions, including suspension and recommendation of expulsion, may be imposed and all rights and responsibilities that apply in Conduct Board hearings also apply for Administrative Hearings. The Director may refer a case to an Administrative Hearing, at their discretion, when one of the following circumstances exists:
5.6.1 The case arises at a time when the Conduct Board cannot be convened (e.g. during holidays, semester breaks, or over the summer session);
5.6.2 A backlog of cases has developed and Administrative Hearings are necessary to assure prompt resolution of cases;
5.6.3 There is sufficient reason to believe, after consulting with the student, that an Administrative Hearing is the most appropriate process for resolution of the case;
5.6.4 The case involves charges of Interpersonal Violence or Sexual Misconduct; or
5.6.5 The case involves charges that threaten the safety or well-being of the campus community.
The basis for a case referral to an Administrative Hearing shall be provided to the respondent in writing.
*See Appendix D for Administrative Hearing procedures, (and, if applicable, see Appendix G for the procedures for Interpersonal Violence and Sexual Misconduct).
5.7 Interpersonal Violence and Sexual Misconduct Hearings (Appendix G)
Students referred for an Interpersonal Violence or Sexual Misconduct Hearing will have their cases resolved before either a professional staff member in the Office of Student Conduct or an external adjudicator appointed by the University to act as the Hearing Officer. The full range of sanctions, including suspension and recommendation of expulsion, may be imposed.
*See Appendix G for Interpersonal Violence and Sexual Misconduct Hearing procedures.
5.8 Mutual Agreement (Appendix E)
At any point in a Student conduct process a Respondent may sign a Mutual Agreement, whereby the Respondent waives a formal disciplinary conference or other hearing process by accepting responsibility for the alleged violations and any recommended sanctions. In choosing this option, the Respondent must participate in a fact-finding meeting designed to assess the validity of the allegations and any factors which may affect sanctioning. The agreement must be made voluntarily and be signed by both the Respondent and the administrator resolving the incident. For cases involving charges of Interpersonal Violence or Sexual Misconduct, the agreement must be made voluntarily and signed by the Respondent, Complainant, and the administrator resolving the incident. A Mutual Agreement is a final decision and cannot be appealed.
*See Appendix E for Mutual Agreement procedures.
5.9 Extraordinary Measure: Interim Suspension: Office of Student Conduct (Appendix F)
5.9.1 The Office of Student Conduct may suspend or remove a Student on an interim and emergency basis. An interim suspension or emergency removal may be imposed effective immediately, without prior notice, when, in the university’s judgment, there is a need to implement a timely and individualized response based on the seriousness of the alleged violation(s) of the Code, there is a potential for serious disruption or serious threat to the university community and that response requires the Student to be separated from the campus and all of its property. In cases asserting a violation of Section 10.15(a) of the Code, the university may remove a Student from its Education Program or Activity where the university has conducted an individualized safety and risk analysis and determined that the Student poses an immediate threat to the physical health or safety of any individual and the Student’s removal is justified.
5.9.2 The Director may require a Student to be evaluated by a mental health professional if the Director reasonably believes that the Student may meet the criteria set forth in section 12 of the Code or if a Student who has been charged with violations of the Code wishes to introduce relevant evidence of any mental health diagnosis. Students required to complete an evaluation in accordance with section 12 of the Code shall be so informed in writing in a manner where delivery can be verified. The evaluation must be completed within five (5) business days from the date of the written notice, unless an extension is granted by the Director. Any pending disciplinary action may be withheld until the evaluation is completed, at the discretion of the Director. A Student who fails to complete the evaluation may be suspended on an interim basis, or referred for disciplinary action, or both.
*See Appendix F for Interim Suspension procedures.
5.10 Howl for Help: Health and Safety Intervention
5.10.1 Howl for Help is a procedural intervention that will not result in disciplinary action by the Office of Student Conduct for underage possession and/or consumption of alcohol or possession and/or use of controlled substances (“Qualified Charges”). Initiation of Howl for Help is at the sole discretion of the Office of Student Conduct. While applicable to all Students, Student Organizations, and Student Groups, decisions to initiate the procedure will be made on a case-by-case basis. Instead of proceeding through a formal disciplinary process, a Student, Student Organization, or Student Group may be required to meet with a staff member in the Office of Student Conduct and complete recommended educational assignments or interventions. Failure to complete all recommendations may result in revocation of Howl for Help benefits and formal disciplinary action in response to the initial incident. Repeated incidents may prompt the University to revoke an individual or organization’s future ability to receive the benefits of Howl for Help.
5.10.2 Howl for Help is an available option under the following circumstances involving Qualified Charges:
(a) A Student who receives assistance from emergency personnel or a University official as a result of another person(s) seeking assistance on their behalf;
(b) A Student who seeks medical assistance from emergency personnel or University officials on their own behalf;
(c) A Student who seeks medical assistance from emergency personnel or University officials on behalf of another person(s) and remains on the scene to provide support to emergency personnel or University officials;
(d) A Student who is reporting a crime or incident to emergency personnel or University officials or is the alleged victim of a crime (including but not limited to physical or sexual assault, theft, vandalism);
(e) A Student Organization or Student Group hosting an event in which one or more representatives seeks medical assistance on behalf of another Student from emergency personnel or University officials and remains on the scene to provide support.
5.10.2 Howl for help is not available under the following circumstances:
(a) At the time of the Qualified Charge, the Student was also engaged in other prohibited conduct including, but not limited to, driving under the influence, acts of harm, harassment, Interpersonal Violence or Sexual Misconduct, vandalism, distribution of controlled substances, or aiding and abetting the possession and/or consumption of alcoholic beverages.
(b) Students, Student Organizations, or Groups who do not seek assistance from emergency personnel of University officials.
Records related to receiving Howl for Help assistance will be maintained consistent with the University’s records retention schedule. While this information is an education record, it is not a conduct record and will not be disclosed as part of a Student’s disciplinary history.
Please note: Howl for Help does not prevent Police or other law enforcement from reporting an alleged violation, filing a charge, or taking other action related to the possible criminal prosecution of any NC State Student.
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6. Representatives and Advisors
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6.1 Representation by an Attorney/Non-Attorney Advocate
6.1.1 Respondents charged with, or under investigation for, non-academic misconduct, may be represented by an Attorney or Non-Attorney Advocate in a Disciplinary Conference, Mutual Agreement, Administrative Hearing, or Interim Suspension Hearing (e.g. not before a Conduct Board). Except as otherwise provided in this Section 6 or in Appendix G, representation is not permitted in any University disciplinary proceeding. Representation or assistance by Attorneys/Non-Attorney Advocates is neither required nor encouraged and is at the party’s own expense. If a party is represented, the Attorney/Non-Attorney Advocate may not interfere with the hearing, disrupt or delay it. Full responsibility for understanding the procedures remains with the parties even where an Attorney/Non-Attorney Advocate provides representation.
6.1.2 Respondents who will be represented by an Attorney/Non-Attorney Advocate in the conduct process must, at least three (3) calendar days prior to the proceeding, notify the Office of Student Conduct in writing of this representation and provide the name and contact information of the Attorney/Non-Attorney Advocate.
6.1.3 Respondents being represented in a conduct process must complete and submit a signed FERPA release consenting to the Attorney/Non-Attorney Advocate to receive information and documents regarding the Respondent.
6.1.4 At least three (3) calendar days prior to the proceeding, Respondents being represented by an Attorney/Non-Attorney Advocate must submit a certification signed by the Attorney/Non-Attorney Advocate verifying that the Attorney/Non-Attorney Advocate has read and understood the Code, the Procedures and applicable appendices, as well as Section 700.4.1 of the UNC Policy Manual.
6.1.5 Respondents who fail to submit any of the above information by the deadline may not be allowed to have their chosen Attorney/Non-Attorney Advocate participate in the conduct process, and the conduct process will proceed as scheduled.
6.2 Hearing Assistant
6.2.1 When representation by an Attorney/Non-Attorney Advocate is not permitted, Respondents referred for a hearing may be accompanied by a Hearing Assistant, who must be a Student, Student assistant from the Conduct Board, or staff or faculty member who is not an Attorney. Respondents being represented by an Attorney/Non-Attorney Advocate are not permitted to also be accompanied by a Hearing Assistant. Full responsibility for understanding the procedures and presenting the case remains with the Respondent even where a Hearing Assistant provides assistance.
6.3 Observer
6.3.1 In addition to an Attorney/Non-Attorney Advocate (when allowed), Respondents may bring a single Observer to the hearing. An Observer may be a parent, friend, or other person of the Respondent’s choice. During the hearing, Observers may not confer with the Respondent, provide representation, actively participate, or disrupt or delay the hearing.
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7. Appeals
Each Student who has received a disciplinary sanction shall be notified in writing of their appeal rights. This notice must be given no later than the date the written decision is delivered to the Student (or the date delivery is properly attempted, in the event delivery is not successful). Students who have been found responsible for a conduct violation may appeal.
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7.1 Appeal Routes
7.1.1 Any disciplinary decision, other than expulsion decisions or where the Respondent has waived their right to appeal, may be appealed to the Vice Chancellor and Dean of Academic and Student Affairs, the Dean of the Graduate School (for graduate Students), or the Dean of CVM (for CVM Students), whose decision shall be final, and no further appeal of the decision is permitted.
7.1.2 Expulsion decisions may be appealed to the Chancellor. The Chancellor’s decision on appeal shall be the final decision.
7.2 Grounds for Appeal
7.2.1 An appeal of a disciplinary decision is limited to the following grounds:
(a) Violation of Procedural Standards, meaning that the Respondent was not provided the required notice or an opportunity for a fair hearing due to specified procedural errors or errors in interpretation of University policies or regulations that were so substantial as to effectively deny the appellant a fair hearing. Reasonable deviations from the procedures set out in this regulation will not invalidate a decision or proceeding unless the appellant can show that, but for the deviation or error, there likely would have been a different outcome in the case.
(b) Violation of Substantive Standards, meaning that the decision and/or sanction imposed was so lacking in record support that no reasonable person could have reached the conclusion on responsibility and/or could have imposed the issued sanction. This ground for appeal does not mean the information presented at the hearing can be re-argued on appeal; rather, it requires a showing that no reasonable person could have reached the same outcome.
(c) New evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made, that could affect the outcome of the matter.
7.3 Record on Appeal
In all cases resulting in an appeal, the decision, the complete record of the proceeding (including documentary evidence and any recording or transcript of testimony), the appeal materials filed by the Student, and any other relevant information, will be compiled by the Director and delivered to the person designated to review the appeal.
7.4 Deadline and Place for Delivery of Notice of Appeal
7.4.1 Student appeals must be received within ten (10) calendar days from the date that the written decision or sanctions is provided, or attempted to be delivered, to the Student through any delivery method where receipt can be verified. If the tenth (10th) calendar day falls on a Saturday, Sunday, or day that the University is closed (such as a holiday), the deadline for filing the appeal will be extended to the next University business day. Failure to submit the appeal within this time limit will render the original decision final and conclusive. An extension of time may be requested in writing within the ten-day limit, but it is within the discretion of the person deciding the appeal to grant or deny such requests. The appeal must be delivered to the Office of Student Conduct.
7.4.2 The appeal must contain the following:
(a) A copy of the decision being appealed;
(b) A detailed written statement specifying the grounds for appeal, a list of alleged errors in the decision or procedure, an explanation for why those decisions are in error, and the complete factual basis for the appeal;
(c) A requested remedy; and
(d) The signature of the appellant and date the appeal is being submitted.
7.5 Appeal Review
7.5.1 The imposition of sanctions may be deferred during the pendency of appellate proceedings, at the discretion of the person(s) reviewing the appeal, upon written request of the Respondent.
7.5.2 Where sanctions are deferred during the pendency of the appellate proceedings and the Student’s appeal is ultimately unsuccessful, Students may fail to receive grades or credit for courses or assignments already completed while awaiting a decision, or, in cases resulting in the sanction of suspension or expulsion, cause a Student to pay back previously received financial aid for the semester completed. Students are encouraged to consult with the Office of Student Conduct regarding the ramifications of any delay in the enforcement of sanctions before submitting a written request for such deferral.
7.5.3 Appeals will be decided on the record of the original proceedings. New hearings will not be conducted on appeal. However, if the hearing body is alleged to have violated these Procedures, a written response may be solicited from the hearing body or the Office of Student Conduct on its behalf. Any such written statements from the parties or the Office of Student Conduct must be drawn on information in the record; they cannot include new information or facts bearing on responsibility that were not presented at the hearing, unless the grounds for appeal is based on new information defined in 7.2.1(c). These written statements become part of the record. Any decision to allow new information in the appeals process will be made by the person(s) reviewing the appeal.
7.6 Appeal Decisions
7.6.1 Following their review, the person(s) reviewing the appeal may decide:
(a) To affirm the findings and sanction(s) imposed by the original Board/staff member.
(b) To reverse or modify the decision and/or sanction(s) of the Board/staff member.
(c) To remand the case to the Board/staff member or another Hearing Officer. Cases will only be remanded based on:
- Specified procedural errors or errors in interpretation of University policies or regulations that were so substantial as to effectively deny a fair hearing; or
- New and significant material information that has become available, and was not reasonably available previously, which could have affected the outcome of the proceeding.
(d) To dismiss the entire case. Dismissal will occur only if there is insufficient information to support a finding of responsibility.
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8. Disciplinary Files, Records, and Transcript Notations
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8.1 Record Retention
8.1.1 All conduct records related to a case will be kept in a conduct file in the name of the Respondent. Conduct records will be retained in the Office of Student Conduct consistent with the University Records Retention and Disposition Schedule.
8.1.2 Consistent with the Records Retention and Disposition Schedule, Student files with sanctions resulting in suspension or expulsion will be retained in the Office of Student Conduct on a permanent basis. After eight (8) years, only those items which are necessary to understand the factual allegations involved will be retained.
8.2 Disclosure of Records
8.2.1 Disciplinary records for Respondents who were found responsible may be reported to third parties, in accordance with University regulations and applicable laws, including but not limited to FERPA.
8.3 Transcript Holds and Notations
8.3.1 A temporary hold may be placed on a Student’s record while disciplinary proceedings are pending and not all sanctions have been completed. While on hold, a Student may not register for classes or receive an official copy of their transcript. Students may not graduate while a disciplinary action is pending
8.3.2 Notations will be made on a transcript whenever a Student is suspended or expelled, where a disciplinary proceeding is pending that could result in a sanction of a suspension or expulsion, or when there are outstanding sanctions to be completed. Notations for Suspension may be removed upon Student petition to the Vice Chancellor and Dean of Academic and Student Affairs. Factors to be considered in reviewing petitions for notation removal after suspension include:
(a) The present demeanor of the Student;
(b) The Student’s conduct subsequent to the violation; and
(c) The nature of the violation, including the issue of premeditation and/or the severity of any resulting damage, injury, or harm; and,
(d) Any other appropriate consideration.
8.3.3 Expulsions will result in permanent notations on a Student’s transcript which cannot be removed. The transcript of a Student who is successful in petitioning for approval of reinstatement will retain the expulsion notation and the phrase “Approved for Reinstatement” will be added to the transcript.
8.3.4 Students who have been suspended or expelled will have their names entered into the UNC System database for suspended/expelled Students. Students who have been expelled from NC State will not be admitted to another UNC System constituent institution.
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9. Reconsideration of Expulsion
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9.1 Timing of Petition
After an expulsion has become final, the former Student may submit a written petition to the Chancellor requesting approval for reinstatement. A petition for approval of reinstatement will not be considered prior to the expiration of two (2) calendar years after the effective date of the expulsion. In addition, repeat petitions will not be considered until at least one (1) calendar year has passed since the filing of the previous petition.
9.2 Contents of Petition
A petition for approval of reinstatement should list reasons why the former Student deserves to be readmitted to the university. The reasons should focus primarily on the former Student’s activities and behavior after the expulsion and why the Student believes that they should be given a new opportunity to pursue higher education. Re-argument of the merits of the expulsion is inappropriate unless exonerating information has become available that could not have been discovered at the time of expulsion.
9.3 Procedure for Review
9.3.1 The Chancellor will forward the petition for approval of reinstatement to the Vice Chancellor and Dean of Academic and Student Affairs. The Vice Chancellor and Dean of Academic and Student Affairs will coordinate the gathering of the information and disciplinary record for review. The Vice Chancellor and Dean of Academic and Student Affairs may request additional information from the former Student and/or the Office of Student Conduct when necessary.
9.3.2 The Vice Chancellor and Dean of Academic and Student Affairs will form a committee to review the petition. The committee may interview the former Student and/or ask for additional information from the appropriate resources pertinent to the petition and in evaluating the petition.
9.3.3 The committee will make a recommendation regarding the petition to the Chancellor, who will render a decision and notify the petitioner. The decision whether to approve the petition for reinstatement shall be entirely at the Chancellor’s discretion.
9.3.4 Any Student who successfully petitions for approval of reinstatement and returns to the university will be placed on disciplinary or academic integrity probation for the remainder of their academic career. In addition, the Student must comply with any additional requirements the Chancellor may impose for readmission. The transcript of a Student who is successful in petitioning for approval for reinstatement will retain the expulsion notation and the phrase “Approved for Reinstatement” will be added to the transcript.
9.3.5 No institutional appeal is available. However, the former Student may re-petition provided that one (1) year has elapsed from the denial of any previous petition.
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Appendices
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Appendix A: Disciplinary Conferences – Student Conduct and University Housing
A disciplinary conference will normally consist of an informal, non-adversarial meeting between the Respondent and a staff member from the Office of Student Conduct or University Housing. The following procedures will be followed for Disciplinary Conferences:
1. A Respondent shall receive written notice of the specific charge(s) at least five (5) University business days prior to the scheduled Disciplinary Conference. This written notification is generated from the office responsible for handling or processing the case and is typically sent to the Student via his or her University email account. Respondents who wish to expedite their conference and waive the five-day notice may do so by requesting to schedule the conference earlier and confirming the waiver of their notice in writing.
2. A Respondent shall have reasonable access to their case file maintained in the office responsible for deciding the case prior to and after the Disciplinary Conference. The case file consists of written materials received or generated by the Office of Student Conduct and/or University Housing and that are considered relevant to the misconduct charge.
3. A Respondent may accept responsibility to the charges against them. The university staff member who meets with the Respondent will assess the information provided from the Respondent and other sources relevant to sanctioning, and then determine a sanction.
4. A Respondent who denies responsibility shall have an opportunity to respond to the information presented to support the charges and to call relevant witnesses. Respondents are expected to answer questions concerning their conduct. If the Respondent refuses to answer questions, a decision will be made based upon the information available in the record.
5. The Respondent may be represented by an Attorney/Non-Attorney Advocate in accordance with section 6.1 of REG 11.35.02 (Student Discipline Procedures). Otherwise, the Respondent may be accompanied by an Observer, at their discretion, in accordance with section 6.3 of the Procedures. All Disciplinary Conferences involving representation will be conducted by a staff member from the Office of Student Conduct.
6. The decision to find a Respondent responsible for the charges will be based on a preponderance of the evidence standard, that is, whether the Respondent “more likely than not” engaged in the alleged misconduct.
7. The decision and sanctions, if any, issued by the staff member conducting the Disciplinary Conference shall be provided to the Respondent in writing and shall include a brief summary of the information upon which the decision is based. The written decision shall be provided to the Respondent no later than ten (10) calendar days from the date the decision is made. If the tenth (10th) calendar day falls on a weekend or University holiday, the deadline for the written outcome will be extended to the next University business day.
8. If the Respondent fails to appear for the Disciplinary Conference after receiving notice, the conference will proceed without the Respondent and a decision will be made based upon the information available in the record.
9. Charges against multiple Students involved in the same incident may be heard in a single Disciplinary Conference only if each Respondent consents to such a proceeding.
10. If the Respondent is found responsible for a violation of the Code, information on appeal procedures will be provided to the Student with the decision letter.
Appendix B: Report of an Academic Integrity Violation
A Student or University employee who believes a Student has committed academic misconduct or has information that reasonably leads to the conclusion that such an act will occur, should inform the Instructor teaching the class, the teaching assistant or the Director.
An Instructor who believes that a Student has attempted or committed academic misconduct shall investigate the matter. If the Instructor concludes that an academic misconduct violation has occurred, they should follow the procedures for a Report of an Academic Integrity Violation:
1. The Instructor who believes that a Student has attempted or committed academic misconduct shall investigate the matter. If the Instructor concludes that an academic misconduct violation has occurred, they should follow the procedures for a Report of an Academic Integrity Violation:
2. The Instructor should meet with the Student in question. In the meeting, the Instructor should present the information that supports the alleged academic misconduct and discuss the Student’s conduct.
3. The Instructor should review the allegation of misconduct with the Student and allow the Student to respond. Where the Student accepts responsibility for the academic misconduct, the instructor should determine a recommended sanction for the violation. Instructors should include the recommended sanction on the RAIV before the Student signs the form. Instructors may recommend sanctions up to and including a failing grade for the course. Educational sanctions may be recommended in addition to grade penalties. Students should not sign the form if they have additional questions or want to consult a staff member in the Office of Student Conduct. Students are not required to sign the form at the initial meeting, but are afforded two (2) University business days to consider their options. Students may sign the form accepting responsibility or select to have their case resolved in a hearing.
4. If the Student chooses not to sign the RAIV, or if the instructor is unable to meet with the Student, the instructor should forward the unsigned form and copies of all supporting documentation to the Office of Student Conduct. The instructor and Student will then be contacted by staff in the Office of Student Conduct to discuss hearing options and procedures.
5. Students shall not be allowed to drop a course, or change the course registration to audit or credit-only, for a course in which academic misconduct allegations have been made. After the resolution of the case, Students may seek a withdrawal from the course, or change their course registration to audit or credit-only, except in cases where the sanction of “no credit for the course” has been imposed.
6. If the Student chooses to sign the RAIV form, accepting responsibility, agreeing to the sanction(s), and waiving their right to appeal, the signed RAIV form must be made available to the Student upon request. Instructors will then forward the original form and all supporting documentation (summary of the allegations, course syllabus, applicable academic materials) to the Office of Student Conduct. If a Student denies responsibility, rejects sanctions, or does not waive their right to appeal on the RAIV form, the instructor shall forward the form and all supporting documentation to the Office of Student Conduct.
7. The Office of Student Conduct will either accept the sanction or refer the case to a hearing if it finds any of the following:
- The Student has previous academic misconduct history;
- The sanction recommended by the faculty member is not consistent with sanctions imposed in similar cases; or
- The Instructor may not be aware of aggravating circumstances that could impact sanctioning (see, e.g. section 9 of the Code of Student Conduct).
8. Students will retain all rights associated with a hearing if the signed RAIV form is forwarded to the Office of Student Conduct and the case is referred to a hearing. If the Office of Student Conduct determines that a referral represents a Minor violation, the Student may be provided with the option to have their case resolved in accordance with Appendix A (Disciplinary Conference) of these Procedures.
Appendix C: Conduct Board Hearings
The following procedures will be followed for Conduct Board Hearings.
1. Once information supporting a report of misconduct is provided to the Office of Student Conduct, its staff will have thirty (30) calendar days to determine if formal charges will be brought against the Student. Formal charges may be brought against a Student after thirty days if extenuating circumstances exist as determined by the Director. Respondents shall be given notice of the hearing date and the specific charges against them at least ten (10) calendar days in advance. The Respondent shall be accorded reasonable access to the case file, including a list of potential witnesses. The case file will be retained in the Office of Student Conduct and a copy of the file will be provided to the Respondent. Respondents who wish to expedite their hearing and waive the ten-day notice may do so in writing.
2. A University Representative shall present the information supporting the charge(s) to the Conduct Board on behalf of the University. The University Representative may be a University Police Officer (typically where a Student Conduct Report was issued), a faculty member (typically for academic misconduct charges), or a University administrator or staff member.
3. Although it is the responsibility of the Complainants and Respondents to secure the presence of their witnesses, the Presiding Officer or Director may request attendance of witnesses. Witness attendance notices must be approved by the Director and be delivered by a delivery method that can verify receipt of the notice
4. If a Respondent fails to appear at the hearing after proper notice, the University Representative will proceed with presenting the information regarding the alleged violation. The case will be decided on the basis of the information in the record.
5. Hearings will be closed to the public. The Respondent may bring a Hearing Assistant and/or Observer in accordance with the section 6 of REG 11.35.02 (Student Discipline Procedures). However, the Respondent may not be represented by an Attorney/Non-Attorney Advocate.
6. The Presiding Officer shall exercise control over the proceedings to avoid needless consumption of time and to achieve orderly completion of the hearing. The Presiding Officer may recess the hearing if the Conduct Board determines that the presence of additional information or witness testimony is needed to make a decision (with consultation of the Office of Student Conduct hearing advisor). Any person, including the Respondent, who disrupts a hearing may be excluded by the Presiding Officer or by the hearing advisor.
7. Hearings shall be recorded by the Office of Student Conduct. No other recordings or broadcasts shall be permitted. The recording will be maintained with the Respondent’s case file and will be available to the Student as part of their Student record, with appropriate redaction of information related to other Students unless such information is a necessary part of an appeal.
8. The names of the Conduct Board members will be provided to each party prior to the hearing. Any party may challenge a Conduct Board member for cause. However, the Respondent and Complainant, or anyone acting on their behalf, may not speak to or contact a Conduct Board member prior to the hearing. Decisions as to whether a Conduct Board member should be removed for cause will be made by the Director. Conduct Board members who have information that may affect their ability to remain neutral must recuse themselves from the hearing.
9. Witnesses shall be asked to affirm or swear that their testimony is truthful. Witnesses who intentionally provide false information may be subject to University disciplinary action.
10. Prospective witnesses, other than the Complainant and Respondent, will be sequestered at the beginning of the hearing and excluded from the hearing during the testimony of other witnesses. In addition, all parties and witnesses shall be excluded during Conduct Board deliberations. The Office of Student Conduct hearing advisor will observe deliberations, and may inform Conduct Board members of applicable University policies, regulations and rules, as well as the range of sanctions that can be implemented, but will not participate in discussions or attempt to influence the outcome of the hearing.
11. The Conduct Board’s determination shall be made on the basis of the preponderance of the evidence, that is, whether the information available demonstrates that it is “more likely than not” that the Respondent violated the Code. The Respondent’s past disciplinary record will be available during the sanctions portion of the hearing only.
12. Formal rules of evidence or civil procedure shall not apply in Student disciplinary proceedings. Unduly repetitious or irrelevant information or witnesses may be excluded by the Presiding Officer. Hearsay information may be presented unless the Presiding Officer determines it is unreliable. The opposing party shall have an opportunity to rebut any hearsay information.
13. Conduct Board members may take notice of commonly known information within the general experience of University Students and faculty members, provided that the Respondent is informed of any such information and given an opportunity to address it at the hearing.
14. Written witness statements are the Student disciplinary equivalent of affidavits, but without the formalities. They shall not be admitted into evidence unless signed by the witnesses as observed by a staff member in the Office of Student Conduct. Exceptions to the observed requirement may be approved by the Office of Student Conduct staff for good cause. Written statements from others regarding insight into the Respondent’s decision-making and character introduced at the sanctioning portion of the hearing need not be witnessed.
15. Upon timely request by a party or a witness and for good cause, the Presiding Officer may allow for testimony to be presented through closed-circuit or web-based technology (particularly where a party or witness would otherwise be unable to participate in the hearing). Testimony through this mode is at the sole discretion of the Presiding Officer.
16. Charges against multiple Students involved in the same incident may be heard in a single hearing only if each Respondent consents to such a proceeding.
17. The sequence of a Conduct Board Hearing shall be as follows:
(a) The Presiding Officer shall read statements regarding the expectations for truthfulness and confidentiality, then sequester the witnesses in the case, except as provided in the Procedures.
(b) The Presiding Officer shall read the charge(s) and record whether the respondent admits or denies responsibility for the charge(s).
(c) The University Representative shall present the case, including any witnesses. The Conduct Board and Respondent may question the Complainant and witnesses during the presentation.
(d) The Respondent shall present his or her case including any witnesses. The Conduct Board and University Representative may question the Respondent and witnesses during the presentation.
(e) Questions from the parties shall be directed through the Conduct Board. The Presiding Officer may limit questioning that is redundant, irrelevant, or abusive
(f) The University Representative, Complainant and Respondent may make a closing statement. A closing statement is a short summary of the information previously presented, and conclusions the speaker wishes the Conduct Board to draw from the information.
(g) The Conduct Board will enter into a period of deliberation. A decision will be made by majority vote. Only the Conduct Board members and the Office of Student Conduct hearing advisor may be present at deliberations. Deliberations are not recorded.
(h) The Conduct Board will announce its finding on each charge. Decisions of the Conduct Board may be “responsible” or “not responsible.”
(i) A determination of responsibility shall be followed immediately by a sanctions portion of the hearing in which either party may submit information, including written statements from character witnesses, or make statements concerning the appropriate sanction to be imposed. The past disciplinary record of the Respondent shall not be supplied to the Conduct Board prior to this portion of the hearing, except in cases where the charge includes failure to follow through on previous sanctions, recommendations, directives or violations of behavioral contracts. In those instances, the allegations of the complaint would already reflect the past disciplinary record of the Respondent.
(j) The Conduct Board will enter into a period of deliberation for sanctioning. A decision will be made by majority vote. Procedures for this deliberation are the same as for deliberation of responsibility on the charge(s).
(k) As the designee for the Vice Chancellor and Dean of Academic and Student Affairs, the Dean of the Graduate School or the Dean of the CVM, the Conduct Board has authority to impose sanctions up to and including suspension from the university. If the Conduct Board determines that expulsion is the appropriate sanction, the Conduct Board will forward a recommendation of the Respondent’s expulsion to the Vice Chancellor and Dean of Academic and Student Affairs, who will then issue a decision on the sanction of expulsion.
(l) Any determination of responsibility and sanctions may be provided verbally to the Respondent at the conclusion of the hearing. A written decision that includes an explanation of the findings and reasoning supporting the Conduct Board’s decision will be sent to the Student within ten (10) calendar days of the decision through a means where delivery can be verified. If the tenth (10th) calendar day falls on a weekend or University holiday, the deadline for the written outcome will be extended to the next University business day. The time limit for filing an appeal begins upon delivery or attempted delivery of the written notification of the decision to the Student.
Appendix D: Administrative Hearings
Administrative Hearings
1. All the rights, responsibilities, and procedures applicable to a hearing before the Conduct Board outlined in Appendix C also apply in an Administrative Hearing except that the Hearing Officer is a staff member from the Office of Student Conduct.
2. The Office of Student Conduct will send a notice to the Respondent identifying the Administrative Hearing Officer. An Administrative Hearing Officer who has information that may affect their ability to remain neutral must recuse themselves from the hearing. The Respondent must notify the Office of Student Conduct within five (5) days if they believe the Administrative Hearing Officer assigned to the case has a conflict of interest or bias such that the Administrative Hearing Officer could not conduct a fair hearing. The Office of Student Conduct shall have the discretion to remove an Administrative Hearing Officer if deemed necessary to address a reported conflict of interest or bias.
3. Cases involving charges of misconduct that threaten the safety or well-being of the campus community will only be heard in an Administrative Hearing.
4. Cases involving charges of Interpersonal Violence or Sexual Misconduct in violation of sections 10.14 and 10.15 of the Code will only be heard in an Administrative Hearing and are also subject to the processes and procedures as outlined in Appendix G.
Appendix E: Mutual Agreement
A Respondent may choose to waive their right to a disciplinary conference or hearing, to accept responsibility for violations of the Code of Student Conduct, and to accept a sanction determined by a staff member in the Office of Student Conduct. The following procedures will apply for resolution by Mutual Agreement::
1. Upon being presented with the information regarding the charge(s), and providing a response to the charge(s), the Respondent may accept responsibility and engage in a discussion about any factors that could impact sanctioning.
2. The staff member in the Office of Student Conduct will take into consideration any factors affecting possible sanctions and will determine appropriate sanctions to be presented to the Respondent.
3. The Respondent will be allowed to ask questions of the Hearing Officer regarding the suggested sanctions and will be permitted two (2) University business days to consider the agreement. The Respondent may be represented by an Attorney/Non-Attorney Advocate in accordance with section 6.1 of REG 11.35.02 (Student Discipline Procedures), and seek any outside counsel in making a decision to sign the Mutual Agreement.
4. The Respondent may sign the Mutual Agreement, indicating an acceptance of responsibility for the allegation(s) and the sanctions. As a condition of entering into the agreement, a Respondent waives their right to appeal the decision and sanctions.
5. For cases involving alleged violations of Interpersonal Violence (10.14) and/or Sexual Misconduct (10.15), the Mutual Agreement may be used, and the procedures outlined in points 1-4 above will be applied to both parties.
6. The Respondent or Complainant may decide against signing the Mutual Agreement and may continue with the resolution of their case through the completion of another appropriate conduct process.
Appendix F: Extraordinary Intervention – Interim Suspension
In certain circumstances, an extraordinary intervention in the form of an interim suspension may be necessary to separate a Student from the campus community who may pose a serious risk of danger to, disruption or interference with another member(s) of the university community.
Upon receiving a referral, the Director may contact the Respondent to inform them that the conduct at issue is under review for interim suspension. The Director may request that the Respondent provide additional perspective or information within a designated time period. In the event that the conduct at issue requires a more immediate response, the Director may exercise discretion and issue the interim suspension without first requesting additional information from the Respondent. In cases in which a student is interimly suspended, the Office of Student Conduct will provide the suspended Student with notice and an opportunity to appeal the decision immediately following the interim suspension in an informal hearing.
Students subject to interim suspension may appeal the suspension through an informal hearing before the Vice Chancellor and Dean of Academic and Student Affairs within five (5) University business days from the effective date of the interim suspension. The Director may observe and answer questions the Vice Chancellor and Dean of Academic and Student Affairs may have regarding the interim suspension. Any appeal hearing regarding an interim suspension will be limited to the following issues:
- The reliability of the information concerning the Student’s behavior;
- Whether the conduct and surrounding circumstances reasonably indicate that the continued presence of the Student on the university campus and/or in the Residence Halls poses a threat as listed in section 12 of the Code; and/or
- In cases where an interim action directs that a Student be evaluated by a mental health professional, whether or not the Student has completed the evaluation through the NC State Counseling Center or a health professional of their choice and any recommendations from the mental health professional.
The following procedures will be followed for an interim suspension:
1. Students will be informed of the time, date, and location of the informal hearing, in writing, delivered by means through which receipt can be verified, at least two (2) University business days in advance. This notice period may be waived in writing by the Student. The Student will remain suspended/removed from campus on an interim basis pending completion of the informal hearing, but will be allowed to enter the campus to attend the hearing, or for other necessary purposes as authorized in writing by the Director.
2. The interim suspension order may require the Student to be evaluated by a mental health professional. In those cases, the informal hearing will be held within five (5) University business days after the Director has received a copy of the Student’s evaluation.
3. To the extent allowed by state and federal law and University regulations, the entire case file (including the names of prospective witnesses and any mental health professional who has evaluated Respondent in conjunction with the interim suspension, and any recommendations of such mental health provider) will be available for inspection by the Student in the Office of Student Conduct, during normal business hours.
4. The informal hearing shall be conversational and non-adversarial. Formal rules of evidence and civil procedure will not apply. The Vice Chancellor and Dean of Academic and Student Affairs shall exercise control over the proceedings to avoid needless consumption of time and to achieve the orderly completion of the hearing. Any person who disrupts the hearing may be excluded.
5. The Student may choose to be accompanied by an Observer, in accordance with section 6.3 of REG 11.35.02 (Student Discipline Procedures), and a mental health professional, or, in lieu of a mental health professional, by a University faculty or staff member. The Student may also be represented by an Attorney/Non-Attorney Advocate in accordance with section 6.1 of the Procedures.
6. Those persons assisting the Student will be given reasonable time to ask relevant questions of any individual appearing at the informal hearing, as well as to present relevant information.
7. For an appeal hearing arising from alleged Interpersonal Violence or Sexual Misconduct, the Complainant(s) may submit a written impact statement to be entered into the record for consideration by the Vice Chancellor and Dean of Academic and Student Affairs.
8. A Student is expected to answer questions concerning their conduct. If the Student refuses to answer questions, a decision will be made based upon the information available and may result in continued or indefinite suspension from the institution.
9. The informal hearing may be conducted in the absence of a Student who fails to appear after proper notice.
10. Where a psychiatric or psychological evaluation is required in the interim suspension order, the provider who prepared the evaluation or NC State Counseling Center staff member who prepared the recommendation may be expected to appear at the informal hearing, and to respond to relevant questions, upon request of any party, if the Vice Chancellor and Dean of Academic and Student Affairs determines that such participation is essential to the resolution of a dispositive issue in the case. The provider may be asked to provide a written statement. The Student will be asked to sign a release allowing the individuals to present any medical information protected by privacy laws.
11. The informal hearing shall be recorded. The recording will be kept with the pertinent casefile.
12. A written decision shall be rendered by the Vice Chancellor and Dean of Academic and Student Affairs within five (5) University business days after the completion of the informal hearing. The written decision will contain a statement of reasons for any determination to continue interim suspension. For an appeal hearing arising from alleged Interpersonal Violence or Sexual Misconduct, Complainant(s) shall receive a copy of the written decision simultaneously.
13. The decision of the Vice Chancellor and Dean of Academic and Student Affairs regarding interim suspension shall be final and not subject to appeal.
14. University Student disciplinary proceedings shall be scheduled as soon as practicable following the interim suspension, unless the Student requests a deferral until after any criminal proceedings or medical treatments. A request for deferral must be filed with the Director within two (2) University business days from receipt of the initial interim suspension order or the informal hearing decision by the Vice Chancellor and Dean of Academic and Student Affairs. In reviewing the request the Director shall consider the following:
- Whether the interests of the university will be served by postponing the campus proceedings until after the criminal process or medical treatment has been resolved;
- The amount of time the resolution might take; and
- The likelihood that witnesses necessary to provide for a full and fair hearing on campus will or will not be available at a later date.
Appendix G: Relationship or Interpersonal Violence and Sexual Misconduct
Procedures Governing Matters Involving Interpersonal Violence and Sexual Misconduct
1. Introduction
In order to comply with Title IX of the Higher Education Amendments of 1972 (20 U.S.C. § 1681 et seq. (“Title IX”)) and the Violence Against Women Reauthorization Act of 2013, and other laws, regulations or University policies, reports of conduct involving alleged violations of sections 10.14 (“Interpersonal Violence”) and 10.15 (“Sexual Misconduct”) of the Code are subject to specialized and/or additional processes and procedures, which are described as follows:
2. Additional Definition(s)
2.1 “Advisor” means an individual who accompanies a Respondent or Complainant to any interview, meeting, hearing, or proceeding and participates in the complaint resolution process for cases involving allegations of Interpersonal Violence and/or Sexual Misconduct. Parties are allowed to have, at their own expense, an Advisor of their choice, who may be, but is not required to be, an Attorney. After the final investigative report is prepared and the University and parties are preparing for a hearing, if a party has not yet secured an Advisor of their choice, the University will provide an Advisor to the party. The role of an Advisor is more fully explained in section 9.3 of REG 04.25.08 Title IX Sexual Harassment Complaint Resolution Procedures and section 3.5 of this Appendix.
2.2 “Student” for the purposes of alleged violations of Section 10.15(a) of the Code means an individual who participates in a University Program or Activity and over whom NC State exercises substantial control.
3. General Provisions
3.1 Reporting and Investigations. Reports of Interpersonal Violence or Sexual Misconduct should be submitted to the Title IX Coordinator or the Office for Institutional Equity and Diversity (“OIED”) in accordance with REG 04.25.08 (Title IX Sexual Harassment Procedures) or REG 04.25.02 (Discrimination, Harassment or Retaliation Procedures) for review and initiation of supportive measures. The procedures describing reporting, filing a Formal Complaint, the provision of supportive measures, the investigation process, and optional informal resolution procedures are described in REG 04.25.08 (Title IX Sexual Harassment Procedures) and REG 04.25.02 (Discrimination, Harassment or Retaliation Procedures).
3.2 Criminal Investigations and Charges. A person reporting the conduct also has the right to file a criminal complaint with University Police or other appropriate law enforcement authority. The processing of a report pursuant to the Student Discipline Procedures is independent of any criminal investigation. In cases involving potential criminal conduct where the affected person has not pressed criminal charges, the University will determine, consistent with federal and state law, whether appropriate law enforcement should be notified. The constitutional prohibition against double jeopardy in criminal cases does not apply to Student disciplinary proceedings. The university may impose disciplinary sanctions even where there has been a criminal proceeding disposing of the same matter. Accordingly, the university may pursue charges for a violation of the Code where corresponding criminal charges have been reduced, declined, or dismissed.
3.3 The university encourages its community to report misconduct. Sometimes, Complainants and witnesses are hesitant to report misconduct or to participate in a conduct process because they fear that they may be in violation of certain policies, such as the improper use of alcohol or drugs at the time of the incident. Respondents may also hesitate to be forthcoming during the process for the same reasons. It is in the best interests of the university community that parties and witnesses report misconduct and are truthful and forthcoming during the process. Therefore, it is not the practice of the university to pursue disciplinary action against a party or witness for a Minor violation of the university’s drug or alcohol expectations, provided that such Student is acting in good faith in reporting and participating in any conduct process related to Interpersonal Violence or Sexual Misconduct. For more serious violations, the university retains the discretion to address the conduct and safeguard the campus.
3.4 Advisors.
(a) Throughout the Interpersonal Violence and Sexual Harassment complaint resolution process, including through the investigation, informal resolution, hearing, and appeal processes, parties are allowed to have, at their own expense, an Advisor of their choice, who may be, but is not required to be, an Attorney or Non-Attorney Advocate.
(b) If a Complainant or Respondent has not engaged an Advisor of their choice to assist them, once the matter is referred from OIED to the Office of Student Conduct, at no expense to the Complainant or Respondent, the Office of Student Conduct will appoint (and require) an Advisor to assist the party for matters relating to alleged violations of Title IX Sexual Harassment (section 10.15(a) of the Code) up to and through any hearing and will also make available (but not require) an Advisor for matters relating to alleged violations of sections 10.14 and 10.15(b) and 10.15(c) up to and through the hearing.
(c) The role of an Advisor during the Conduct Process is as follows:
(i) The role of an Advisor is to assist and to advise the party.
(ii) Each party may be accompanied by their Advisor to any meeting, hearing, or proceeding they have during the conduct process.
(iii) The party’s Advisor may inspect and review any evidence directly related to the allegations raised in the charge and formal complaint and any investigative report prepared.
(iv) At a hearing, each party’s Advisor is permitted to ask the other party and any witnesses relevant questions using the applicable protocol described in sections 5.14 and 5.15 below.
(v) If the Advisor is an Attorney/Non-Attorney Advocate pursuant to N.C.G.S. section 116-40.11, the Advisor may fully participate during any disciplinary procedure relating to the alleged violation.
(vi) Each party will be provided with information concerning hearing procedures at least ten (10) days in advance of a hearing. These procedures will outline expectations for conduct of a party and that party’s Advisor during the hearing, including but not limited to, expectations with regard to confidentiality, decorum, prohibitions on interruptions of testimony, the procedure for conferring with a party and/or Advisor and/or requesting a break, and/or order of presentation of evidence. The University reserves the right to remove an Advisor and/or party from a hearing should they fail to abide by the hearing procedures.
(d) The University will not intentionally schedule meetings or hearings on dates where the Advisor for a party is not available, provided that the party’s Advisor acts reasonably in providing available dates and works collegially to find dates and times that meet all schedules. To resolve these issues in a reasonably prompt manner, the University cannot agree to extensive delays solely to accommodate the schedule of an Advisor. The determination of what is reasonable shall be made by the Office of Student Conduct. The University will not be obligated to delay a meeting or hearing under this process more than five (5) days due to the unavailability of an Advisor, and may offer the party the opportunity to obtain a different Advisor or use one provided by the University.
(e) Parties being represented by a non-University Advisor (including an Attorney or Non-Attorney Advocate) in the conduct process may be required to complete and submit a signed FERPA release consenting to the Advisor receiving information and documents regarding the issues at hearing.
(f) At least three (3) calendar days prior to the hearing or prior to the Advisor participating in any meeting relating to the conduct process, the Advisor must submit a certification verifying that the Advisor has read and understood the Code, the Procedures and applicable appendices, as well as Section 700.4.1 of the UNC Policy Manual. Advisors must also sign a confidentiality agreement, agreeing to uphold the confidentiality of the proceedings.
3.5 Emergency Removal.
(a) At any point following the filing of a report of an alleged violation of section 10.15(a) of the Code, the university may remove a Respondent from its Education Program or Activities on an emergency basis when an individualized safety and risk analysis has determined that there is an immediate threat to the physical health or safety of any individual arising from the allegations of Title IX Sexual Harassment. The Director of Student Conduct, in consultation with the Behavioral Assessment Team, will perform the analysis using the team’s violence risk assessment procedures.
(b) In cases in which an emergency removal is imposed, the Office of Student Conduct will provide Respondent with notice and an opportunity to challenge the decision immediately following the removal in an informal hearing. Students wishing to challenge the removal must notify the Office of Student Conduct within five (5) days from the effective date of the emergency removal. The Office of Student Conduct will as soon as practicable set a hearing date for the challenge to the emergency removal and provide the Respondent with the time, date, and location of the informal hearing at least two (2) University business days in advance. The notice period may be waived in writing by the Respondent.
(c) The hearing will be before the Vice Chancellor and Dean of Academic and Student Affairs.The purpose of the hearing is to determine whether the emergency removal is appropriate. The Respondent may be accompanied by an Advisor of their choice, which may be an Attorney or Non-Attorney Advocate. The Complainant and their Advisor will also be permitted to participate in the hearing. The University will provide the Complainant and Respondent with access to a written summary of the basis for the emergency removal prior to the hearing to allow for adequate preparation.
(d) The Vice Chancellor and Dean of Academic and Student Affairs has discretion to implement or stay an emergency removal and to determine the conditions and duration. A written decision shall be rendered by the Vice Chancellor and Dean of Academic and Student Affairs within five (5) University business days after the completion of the informal hearing. The written decision will contain a statement of reasons for any determination. Complainant(s) shall simultaneously receive a copy of the written decision.
(e) There is no appeal process for emergency removal decisions.
3.6 Interim Suspension. At any point following the filing of a report of an alleged violation of section 10.14, 10.15(b), or 10.15(c) of the Code, the Office of Student Conduct may determine that an interim suspension may be necessary to separate a Student from the campus community who may pose a serious risk of danger to, disruption or interference with another member(s) of the university community. The procedures describing the interim suspension process are described in Appendix F.
3.7 No Retaliation. Parties and witnesses participating in the case shall be free from retaliation (including threats, harassment, discrimination, intimidation or coercion) because they either reported conduct alleging a violation of 10.14 or 10.15, filed a formal complaint alleging a violation of 10.14 or 10.15 of the Code, or participated as witness or party in an investigation, proceeding, or hearing or requested a reasonable accommodation relating to such allegations.
4. Charges, Pre-Hearing Procedures and Notifications
4.1 Upon completion of the investigation and final report, OIED will provide the final investigative report and evidence file to the Office of Student Conduct. Unless extenuating circumstances require a longer time period, within thirty (30) calendar days of receipt of the final investigative report from OIED, an Office of Student Conduct representative will determine whether the information presented supports a charge under the Code relating to Interpersonal Violence, Sexual Misconduct, and/or any other provision of the Code. If no charge is brought, the matter will be dismissed and the Office of Student Conduct will simultaneously notify the Complainant and Respondent of the decision, the rationale and the right to appeal that determination.
4.2 If Code charges are brought against the Respondent, the Office of Student Conduct representative will provide written notice of the charges to the Complainant and Respondent, including but not limited to information about the specific factual allegations and possible sanctions.
4.3 An Office of Student Conduct representative will explain the procedural alternatives available within the university disciplinary process to the Complainant and Respondent, including:
(a) The Respondent’s right to deny responsibility for the charges and proceed with a live hearing for a determination of responsibility on the allegations;
(b) The Respondent’s right to accept responsibility for the charges and proceed with consideration and implementation of disciplinary action;
(c) The Complainant’s right to withdraw the Formal Complaint and discontinue the hearing proceedings or to proceed with a formal resolution and live hearing; and
(d) The parties’ ability to engage in an informal resolution process with a University facilitator.
4.4 The Office of Student Conduct, in consultation with the Title IX Coordinator, will appoint a Hearing Officer to hear the matter and, prior to appointment, will confirm the Hearing Officer does not have a conflict of interest that would prevent them from hearing the case. The Office of Student Conduct will send a notice to the parties identifying the Hearing Officer. The parties must notify the Office of Student Conduct within five (5) days if they believe the Hearing Officer assigned to the case has a conflict of interest or bias such that the Hearing Officer could not conduct a fair hearing. The Office of Student Conduct shall have the discretion to remove or re-appoint a Hearing Officer if deemed necessary to address a reported conflict of interest or bias and will make any such decision within five (5) days of a challenge by one of the parties.
4.5 The Office of Student Conduct will assign a University Representative to the case. The University Representative will assist with scheduling meetings and the hearing, advise the parties about the Office of Student Conduct procedures, help prepare the matter for hearing, and present a summary of the information gathered during any investigatory process to the Hearing Officer at the hearing.
4.6 At least ten (10) days prior to the hearing, the parties will receive written notice of the allegations of Interpersonal Violence or Sexual Misconduct to be reviewed at the hearing, the name of the Hearing Officer, and the date(s) of the hearing.
4.7 Upon receipt of the notice, either party must notify the Office of Student Conduct within five (5) days of delivery of the notice if they believe the Hearing Officer assigned to the case has a conflict of interest or bias such that the Hearing Officer could not provide for a fair hearing. The Office of Student Conduct shall have the discretion to remove or re-appoint a Hearing Officer if deemed necessary to address a reported conflict of interest or bias.
4.8 The Respondent, Complainant, Attorney/Non-Attorney Advocate, and Advisor should not communicate with the Hearing Officer prior to the hearing. Rather, any questions about the process or hearing procedures should be directed to the University Representative assigned to the case.
4.9 The Office of Student Conduct will provide the parties with reasonable access to the case file in the Office of
Student Conduct, including the OIED investigative report and evidence (both inculpatory and exculpatory) collected that is directly related to the allegations at issue.
5. The Hearing
5.1 Each party shall have the opportunity to present their case at the hearing, including an opportunity to present fact and expert witnesses and any inculpatory and exculpatory evidence.
5.2 If a Complainant or Respondent fails to appear at the hearing after receiving the appropriate notice and there are no extenuating circumstances that explain the failure to appear, the Hearing Officer may proceed with the hearing, but the Hearing Officer will not draw any inferences about the party’s responsibility from their failure to appear at hearing.
5.3 The determination of responsibility will be made based on the allowable information contained in the record and presented at the hearing. There is a presumption that the Respondent is not responsible for the alleged conduct until a determination of responsibility is made at the conclusion of the hearing.
5.4 The Investigator for the case and/or University Police or other law enforcement may be called as a witness by the Hearing Officer or either party and may provide witness testimony as allowed regarding their investigatory fact findings.
5.5 The parties and/or the Hearing Officer may request the attendance of witnesses. No witness may be compelled to provide testimony.
5.6 The Hearing Officer shall exercise control over the proceedings to maintain decorum, to avoid redundancies, and to achieve the orderly completion of the hearing. The Hearing Officer may recess the hearing if they determine that the presence of additional information or witness testimony is needed to make a decision. The Hearing Officer may exclude any person, including a party, who disrupts a hearing or fails to follow procedures.
5.7 Hearings shall be recorded by the Hearing Officer. No other recordings or broadcasts shall be permitted.
5.8 Witnesses shall be asked to affirm or swear that their testimony is truthful. Witnesses (faculty, staff or Students) who intentionally provide false information may be subject to University disciplinary action.
5.9 Witnesses, including either party, will be provided the opportunity to provide additional or clarifying information pertaining to the investigative report at the hearing. The Witnesses should not restate information previously provided in the investigative report.
5.10 Witnesses, other than the parties, will be excluded from the hearing during the testimony of other witnesses. Witnesses may not discuss the testimony they provided with other witnesses.
5.11 The University will make all directly related evidence available to the parties at the hearing.
5.12 Formal rules of evidence or civil procedure shall not apply in hearings.
5.13 The Hearing Officer will consider all relevant evidence presented. Relevant evidence and questions do not include the following:
(a) Evidence and questions about the Complainant’s sexual predisposition or prior sexual behavior, unless offered to prove that someone other than the Respondent committed the alleged conduct or concern specific incidents of the Complainant’s prior sexual behavior with the Respondent and are offered to prove consent;
(b) Evidence and questions that constitute or seek disclosure of information protected under a legally-recognized privilege such an attorney-client privilege or medical professional-patient privilege; and
(c) Any party’s medical, psychological, and similar records unless the party has given voluntary, written consent.
5.14 For hearings in which there is an alleged violation of Section 10.15(a) of the Code concerning Title IX Sexual Harassment, in considering the violation of that section of the Code:
(a) The Complainant and Respondent must have an Advisor, which can be an Attorney/Non-Attorney Advocate of the party’s choice or a University-appointed Advisor;
(b) At the live hearing, only the Hearing Officer and the Advisor may direct questions to the other party and witnesses. Before a witness or party answers a question directed to them by an Advisor, the Hearing Officer must first determine if the question is relevant. The Hearing Officer will exclude any irrelevant information or testimony (including duplicative questions), and when excluded, the Hearing Officer will provide an explanation for the decision to exclude the information or question. The Hearing Officer reserves the right to provide additional reasons for the exclusion of information after the hearing concludes. The Hearing Officer will also supervise the proceedings to ensure that the Advisor adheres to the rules of decorum and is respectful and not abusive; and
(c) If a party or witness is not present at the hearing or refuses to submit to cross examination at the hearing, any statement provided by the witness as part of the investigation cannot be considered by the Hearing Officer.
5.15 For hearings in which there is an alleged violation of Section 10.14, 10.15(b) or 10.15(c) of the Code (but not an alleged violation of 10.15(a)):
(a) The Complainant and Respondent may have an Attorney or a Non-Attorney Advocate or a university-appointed Advisor appear with them at hearing;
(b) The Hearing Officer may direct questions to all parties and witnesses;
(c) The party and/or an Attorney, a Non-Attorney Advocate, or an Advisor may also direct questions to other parties and witnesses, but only through the Hearing Officer who has sole discretion to determine if the question is relevant, not abusive and not duplicative.
(d) If a party or witness is not present at the hearing or refuses to submit to cross examination at the hearing, the Hearing Officer may exercise discretion in determining whether any statement provided by the witness as part of the investigation can be considered by the Hearing Officer.
5.16 Witnesses, including the parties, must participate in the hearing face-to-face or via video conferencing technology. At the request of either party, the live hearing (including cross-examination) may occur with the parties located in separate rooms with technology enabling the parties to see and hear each other.
5.17 At the discretion of the Office of Student Conduct, allegations involving multiple Complainants or Respondents which arise from the same facts and circumstances may be consolidated and considered in a single hearing. However, to consolidate a case against multiple Respondents, all Respondents must first agree to the consolidated proceeding.
5.18 The sequence of a Hearing shall be as follows:
(a) The Hearing Officer shall facilitate the Administrative Hearing, inform the parties of the Hearing Officer’s expectations for the hearing, including expectations regarding truthfulness, confidentiality, and decorum during the process, and summarize the charges and allegations as listed in the notice which are to be considered at the hearing.
(b) The University Representative (typically a person from the Office of Student Conduct) will present the information alleged in the Formal Complaint, the Respondent’s position and evidence gathered through the investigation process.
(c) The Complainant will have the opportunity to make an opening statement and present their case, including any witnesses. The Hearing Officer and Respondent’s Advisor may question the Complainant and witnesses following each of their respective testimonies, using the applicable process described in Sections 5.14 or 5.15.
(d) The Respondent will have the opportunity to make an opening statement and present their case, including any witnesses. The Hearing Officer and Complainant’s Advisor may question the Respondent and witnesses following each of their respective testimonies, using the applicable process described in Sections 5.14 or 5.15 of this Appendix.
(e) The Hearing Officer may enforce the rules of decorum, requiring all parties and Advisors to participate respectfully and non-abusively.
(f) The Witnesses, including the parties, shall wait to be informed by the Hearing Officer whether the question is permitted in the hearing before responding.
(g) The parties may make a closing statement. A closing statement is a short summary of the information previously presented and conclusions the speaker wishes the Hearing Officer to draw from the information.
(h)Following closing statements, the hearing will be considered closed.
6. Determinations of Responsibility
6.1 The Hearing Officer’s determination of responsibility shall be made on the basis of the preponderance of the evidence, that is, whether the information presented has shown that it is “more likely than not” that the Respondent engaged in the alleged conduct and violated the Code.
6.2 The Hearing Officer will orally announce the decision on responsibility, and if there is a finding of responsibility, the hearing will immediately commence the sanctioning phase. During the sanctioning phase of the hearing, the Complainant may present an impact statement (either verbally or in writing) for the Hearing Officer’s consideration. The impact statement may include a request for a specific sanction or remedy, though the Hearing Officer is not bound by such request. The Respondent will be allowed to respond to the impact statement.
6.3 Within ten (10) days of the conclusion of the hearing, the Hearing Officer will issue a written decision. The Hearing Officer’s written decision, including an explanation of the findings and reasoning to support the decision, whether any remedies will be provided to the Complainant, and any disciplinary action against the Respondent will be simultaneously sent to the parties through a means where delivery can be verified. The parties’ University email address will be the official primary mode of communication. A copy of the decision will also be provided to the Title IX Coordinator.
6.4 The time limit for filing an appeal begins upon delivery or attempted delivery of the written notification of the final decision to the parties.
7. Appeals
7.1 The parties shall be notified in writing of their appeal rights when provided with the Hearing Officer’s written decision. Either party may appeal from a Hearing Officer’s determination regarding responsibility or from a dismissal of a Formal Complaint (or any allegations therein) based on one or more of the following grounds:
(a) Procedural irregularity that affected the outcome of the matter (reasonable deviations from the procedures set out in this regulation will not invalidate a decision or proceeding unless appellant can show that the procedural irregularity affected the outcome of the case);
(b) New evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made that could affect the outcome of the matter;
(c) The Title IX Coordinator, investigator(s), or Hearing Officer had a conflict of interest or bias for or against Complainants or Respondents generally or an individual Complainant or Respondent that affected the outcome of the matter; and
(d) Violation of substantive standards, meaning that the decision on responsibility and/or the reasonableness of the sanction was so lacking in record support that no reasonable person could have reached the conclusion on responsibility. This last ground does not mean that information presented at the hearing can be re-argued on appeal; rather, it requires a showing that no reasonable person could have reached the same outcome.
7.2 Any appeal must be received within ten (10) days from the date that the written decision is issued to the parties through any delivery method where receipt can be verified. If the tenth (10th) calendar day falls on a Saturday, Sunday, or day that the University is closed, the deadline for filing the appeal will be extended to the next University business day. If no timely appeal is filed, the Hearing Officer’s written decision will be final. An extension of time to file an appeal may be requested in writing within the ten-day limit, but it is within the discretion of the Appeal Officer to grant or deny such requests.
7.3 The appeal should be filed through the Office of Student Conduct and must contain the following:
(a) A copy of the decision being appealed;
(b) A detailed written statement specifying the grounds for appeal, a list of alleged errors in the decision or procedure, an explanation for why those decisions are in error, and the complete factual basis for the appeal;
(c) A requested remedy; and
(d) The signature of the appellant and date the appeal is being submitted.
7.4 The Office of Student Conduct will notify the other party in writing when an appeal has been filed. The opposing party shall have ten (10) calendar days from receipt of the notification of appeal to provide a written response to the appeal.
7.5 The Office of Student Conduct, in consultation with the Title IX Coordinator, will designate an Appeal Officer to consider the appeal. The Appeal Officer may be a University employee or external third party at the discretion of the University. The Office of Student Conduct will send a notice to the parties identifying the Appeal Officer. The parties must notify the Office of Student Conduct within five (5) days if they believe the Appeal Officer assigned to the case has a conflict of interest or bias such that the Appeal Officer could not conduct a fair review of the appeal. The Office of Student Conduct shall have the discretion to remove or re-appoint an Appeal Officer if deemed necessary to address a reported conflict of interest or bias.
7.6 The Office of Student Conduct will provide the documents submitted on appeal to the Appeal Officer.
7.7 The imposition of sanctions may be deferred during the pendency of appellate proceedings, at the discretion of the person(s) reviewing the appeal, upon written request of the Respondent.
7.8 Where sanctions are deferred during the pendency of the appellate proceedings and the Student’s appeal is ultimately unsuccessful, Students may fail to receive grades or credit for courses or assignments already completed while awaiting a decision, or, in cases resulting in the sanction of suspension or expulsion, cause a Student to pay back previously received financial aid for the semester completed. Students are encouraged to consult with the Office of Student Conduct regarding the ramifications of any delay in the enforcement of sanctions before submitting a written request for such deferral.
7.9 Appeals will be decided on the record of the original proceedings. New hearings will not be conducted on appeal. However, the Appeal Officer may choose to ask the parties to submit additional information about their positions on appeal, beyond the information in the appeal notice. If the Hearing Officer is alleged to have violated these procedures, the Appeal Officer may ask the Hearing Officer or the Office of Student Conduct to submit a written response to the appeal. Any written statement submitted must be drawn on information in the record and cannot include new information bearing on responsibility that was not presented at the hearing, except to the extent that new information pertains to the grounds for appeal, was not reasonably available prior to the hearing, and could affect the outcome of the matter. These written statements become part of the record.
7.10 Following their review, the Appeal Officer may:
(a) Affirm the findings imposed by the Hearing Officer;
(b) Reverse or modify the decision;
(c) Remand the case to the Hearing Officer based on:
i. Procedural errors that affected the outcome of the proceeding; or
ii. New and significant material information that has become available and was not available previously to a person exercising reasonable diligence, which information could have affected the outcome of the proceeding.
(d) Remand the case to a new Hearing Officer if the Appeal Officer finds that the Hearing Officer, investigator or Title IX Coordinator had a conflict of interest or bias for or against Complainants or Respondents generally or an individual Complainant or Respondent that affected the outcome of the matter.
7.11 The Appeal Officer will review the appeal documentation and any other information required (i.e. investigative report, hearing transcript, new evidence identified) to render a decision on the appeal. The Appeal Officer will issue a written decision on the appeal and the rationale for the result within twenty-one (21) days of assignment of the Appeal Officer, but that deadline may be extended for good cause. The decision on appeal will be provided simultaneously to both parties.
Appendix H: Student Organization or Group Misconduct
Student Organization or Group Misconduct
At the request of any registered Student organization, staff member, faculty member or Student; or based on a complaint about the Student organization or its members; or based on alleged policy violations, a preliminary investigation may be initiated. Grounds for conduct review include, but are not limited to, alleged violations by the Student Organization as listed in Section 9 and Section 10 of the Code of Student Conduct, and applicable policies, regulations, and rules governing Student organizations or groups.
Determining Student Organization or Group Conduct
Any Student Organization or Group may be held accountable for the actions of its members or the actions of those affiliated with the Student organization or group. In determining if a Student Organization or Group may be referred to the Student conduct process, all of the available factors and circumstances surrounding the incident will be reviewed and evaluated. Including, but not limited to:
1. An alleged violation of the Code of Student Conduct by one or more of its members (active or inactive), former members, alumni, guests, or any person acting as an agent of the organization. There is no minimum number of group members who must be involved in an incident to determine group conduct.
2. An alleged violation of the Code of Student Conduct occurs during activities not sponsored by the Student Organization or Group where the majority of the persons present or responsible for the activity are members or guests of members of the Student Organization or Group.
3. When one or more officers or members of an organization are present at a Student Organization sponsored, Student Organization-financed, or otherwise supported activity or event, or has knowledge of the event, planned unlawful conduct and/or conduct in violation of the Code of Student Conduct before it occurs and fails to take preventative or corrective action or fails to stop unlawful behavior while it is occurring at such event.
4. An alleged violation of the Code of Student Conduct occurs on premises and/or transportation owned, operated, or rented exclusively by the Student Organization or Group.
When determining what constitutes Student Organization or Group conduct, the following factors will be considered:
1. Is the activity being hosted or planned by one or more members/affiliates of the Student Organization or Group and supported by the members/affiliates?
2. Is the activity being financed by the Student Organization or Group and/or being hosted on property owned, operated, or rented by the Student Organization or Group?
3. Is the activity being hosted or planned and supported by one or more members/affiliates?
4. Is the activity listed or advertised on the Student Organization’s or Group’s website or social media accounts [e.g. Facebook, Twitter, etc.]?
5. Do online invitations refer to the Student Organization or Group [e.g. Facebook events]?
6. Is the activity listed on a Student Organization or Group calendar [public or private]?
7. Was the activity announced at a Student Organization or Group meeting?
8. Were members/affiliates of the Student Organization or Group in attendance?
9. Was the activity marketed over the Student Organization or Group listserv?
10. Are members attempting to rename the activity in order to give the appearance that it isn’t associated with the Student Organization or Group?
11. If guests were stopped on their way to the activity, would they say they were going to the Student Organization or Group’s activity?
12. Is the activity endorsed by a majority of the members in the Student Organization or Group?
General Provisions for Processing Reports of Student Organization or Group Misconduct
Reports of misconduct involving Student Organizations or Groups may be filed directly to the Office of Student Conduct or to the department or office within the university responsible for the oversight of the Student Organization or Group. When a report has been filed alleging that a Student Organization or Group has engaged in conduct that violated the Code a preliminary investigation into the allegations may be conducted.
Investigation & Review Process
1. If the nature of the allegation requires an investigation for conduct review, members of the Student Organization or Group will be contacted to meet with the Student Organization Investigative Team. Student Organization or Group members who are contacted by the Student Organization Investigative Team are expected to participate in all investigative meetings.
2. The Student Organization Investigative Team may also notify the Student Organization or Group’s advisor or inter/national governing office, if applicable.
3. At the conclusion of the investigation, an investigative report will be written and submitted to the Office of Student Conduct for review.
4. In accordance with section 12 of the Code, interim actions may be assigned during the investigation process, in order to safeguard the university community before a Student conduct process begins or is completed. An interim action may be implemented by the Office of Student Conduct or the department or office within the university responsible for oversight of the Student Organization or Group. The Student Organization or Group will receive a written notice of the interim action, which will outline all parameters and restrictions. Failure to adhere to all parameters and restrictions may result in additional charge(s) of the Code of Student Conduct.
5. An Office of Student Conduct representative will review the investigative report to determine whether information presented supports a charge under the Code. If Code charges are brought against the Student Organization or Group, the Office of Student Conduct representative will notify the President or similar position representing the Student Organization or Group of their rights and responsibilities under the Code and this regulation.
6. The President or similar position will serve in the role as Respondent on behalf of the Student Organization or Group, as it pertains to the Code and Procedures, unless another Student member is designated for that role.
7. Retaliation against anyone who makes a complaint or participates in an investigation or hearing against a Student Organization or Group is prohibited by University policy. Instances of retaliation will be investigated and may result in charges from the Code of Student Conduct and sanctions against an individual under the Code of Student Conduct and/or against a Student Organization under the REG 11.35.02- Student Discipline Procedures.
Hearing Procedures:
1. The procedures for a Disciplinary Conference (Appendix A), Conduct Board Hearing (Appendix C), an Administrative Hearing (Appendix D), and Mutual Agreement (Appendix E) will be followed, except with the following adjustments as noted below.
2. A University Representative (typically a person from Student Conduct representing the Student Organization Investigative Team) will present the information related to the alleged violation(s) and a summary of the Respondent’s position. The Complainant (if applicable) and Respondent will be provided the opportunity to present information to the hearing officer or conduct board.
3. The Student Organization or Group may be represented by an Attorney/Non-Attorney Advocate in accordance with section 6.1 of REG 11.35.02 (Student Discipline Procedures). Otherwise, the Respondent may be accompanied by an Observer, at their discretion, in accordance with section 6.3 of the Procedures. A Student Organization or Group’s advisor may serve in a Non-Attorney Advocate role for all disciplinary proceedings.
4. Where the Student Organization or Group is found to be “Responsible” for the charge(s), a staff member from a university department or office with oversight of the Student Organization or Group may be asked to present information related to the Student organization’s progress towards completing any programs, academic reports, community service initiatives, etc. prior to sanctioning. The Student Organization or Group will be allowed to respond to the information presented.
Records:
Information related to any conduct cases for a Student Organization or Group may be shared with governing university offices and/or departments who may directly oversee the organization’s operations. The outcomes of Student Organization or Group cases may be made available to the public as deemed necessary by the university. Individual Student records related to a Student Organization or Group investigation are confidential records in accordance with the Family Educational Rights and Privacy Act (FERPA).
Students will retain all rights associated with a hearing if the signed RAIV form is forwarded to the Office of Student Conduct and the case is referred to a hearing.
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