7.11 Disciplinary Records

  1. Case File – Contents. A case file shall be developed and maintained in connection with each complaint filed against a student. It shall include and be limited to the following:

    1. The complaint.
    2. The PAO notice to the student and the documentation of the PAO’s disposition of the complaint (dismissal, referral to the Student Conduct Director for sanction, or referral to the Student Conduct Board or Hearing Officer)
    3. All documents filed in connection with an appeal at the Preliminary Action stage
    4. All pre-hearing documents (or copies thereof) exchanged between Student Conduct personnel and the accused student and complainant.
    5. From the hearing, a list of any special rules of procedures adopted, all documentary evidence accepted, any written argument submitted, the verbatim hearing record (in audio or written form), the synopsis of any disciplinary record of the student considered, and the final report of the Student Conduct Board
    6. Any notice(s) of appeal and position statement(s) received on appeal, together with the decision(s) on appeal.
    7. All documents pertaining to a student’s interim suspension.
    8. No other material should be added to or included with the case file.

  2. Case File – Official Record. Materials in the case file shall constitute the official record of the disciplinary proceeding, and the case file shall be forwarded to the appropriate person at each successive stage in the process. For disposition above the preliminary action level, only materials and information in the case file shall be considered

  3. Disciplinary Record. At the completion of the disciplinary process the case file, and any other materials not included in the file but that were accumulated in connection with the case, shall be maintained as a part of the student’s disciplinary record at the institution. The disciplinary record shall be maintained separate and apart from the student’s academic record. The Dean of Students shall have control over the student’s disciplinary record and shall see that it is kept secure, complete, and confidential, in compliance with institutional policy and the requirements of the federal Family Educational Rights and Privacy Act

  4. Case Synopsis. A synopsis of each case shall be prepared by the Dean of Students (or designee). The synopsis shall be taken from the case file and shall include, depending on the history of the case, a summary statement of all charges filed, the disposition at the Preliminary Action stage, the determination of the Board, and the disposition of the case on appeal from the Board’s determination. A synopsis shall be made of any instances of academic misconduct that have been handled by faculty outside the disciplinary process and reported to the Dean of Students.

  5. Disclosure – Disciplinary Authorities. Information about a Respondent’s past disciplinary record provided to the Director and the Board prior to selection of a sanction shall be generally in the form of the case synopsis.

  6. Disclosure – Third Parties.

    1. General. A Respondent’s request for an open hearing shall constitute authorization for public access to the hearing and public disclosure of its outcome, including action by subsequent reviewing officials. In such a case the Dean of Students shall have the discretionary right to release the case synopsis or information from it to third parties. In the event of a closed hearing, the Dean of Students may release such information as is permitted by law pertaining to the confidentiality of an educational record.

    2. Minor Student’s Alcohol/Drug Violation. If a student under the age of 21 is found, under the procedures set forth in this Code, to be responsible for misconduct by virtue of having violated federal, state, or local law or institutional policy governing the use or possession of alcohol or a controlled substance, the Dean of Students may disclose to the student’s parents information from the case synopsis pertaining to such misconduct.

    3. Misconduct Involving Violence or Non-forcible Sex Offense.

      1. To the Public. The Dean of Students may disclose to the public generally the final results of a proceeding involving charges that the accused student engaged in behavior that would constitute a crime of violence or a non-forcible sex offense. This disclosure may only be made, however, if it is determined under the procedures set forth in the Code that the accused student is responsible for misconduct with respect to those charges.
      2. To the Victim. The Dean of Students may disclose to the victim of misconduct involving violence or a non-forcible sex offense the final results of the disciplinary proceedings conducted under this Code. This disclosure will be made regardless of whether the accused student is found responsible for the misconduct or not.
      3. Final Results. The final results that may be disclosed under the foregoing provisions include generally the information in the case synopsis, except that the name of the Complainant and any students other than the accused student may not be disclosed without their consent.