Handbook of Operating Procedures

I. POLICY AND GENERAL STATEMENT

All students are required to obey federal, state, and local laws and to comply with the University of Texas System (“UT System”) Board of Regents' Rules and Regulations, the rules and regulations of The University of Texas Health Science Center at Houston ("University"), and directives issued by administrative officials of the University or UT System in the course of their authorized duties.  Students are also required to obey standards of conduct appropriate for an academic institution.

Any student who engages in conduct that violates the Regents' Rules and Regulations, University or UT System rules, or federal, state, or local laws is subject to disciplinary action. A student is subject to disciplinary action for prohibited conduct as enumerated in Appendix A that occurs on or off campus (where applicable), including but not limited to while participating in any activities sponsored by the University, such as field trips, study abroad programs, inter- and/or intramural athletic activities, student organizations, and laboratory and other rotations or clinical assignments, regardless of whether civil or criminal penalties are also imposed for such conduct. 

When a student is alleged to have violated HOOP 59, Prohibition of Sexual Harassment and Sexual Misconduct, the procedures governing the investigatory and disciplinary processes are outlined in HOOP 59.

Freedom of speech and principles of academic freedom are central to the mission of institutions of higher education. Constitutionally protected expression cannot be considered prohibited conduct under this policy.  See also, HOOP 174, Speech and Assembly.

II. DEFINITIONS

Administrative Disposition:  A document signed by the student and the Dean that includes a statement of the disciplinary charges, the disciplinary penalty, a waiver of the disciplinary hearing procedures described in Appendix B, and a waiver of all appeals, except as otherwise provided in this policy.

Business Day: Any day, Monday through Friday, except for an official holiday (including Skeleton Days) or a day when the University is officially closed.

Complainant: The individual who complains about a violation of this policy, including, but not limited to, an alleged victim of or witness to any prohibited conduct under this policy.

Day: A calendar day. For purposes of calculating any period of days in this policy, if the last day of the period falls on a Saturday, Sunday, or an official holiday (including Skeleton Days), or is a day when the University is officially closed, the period continues to run until the next day that is not a Saturday, Sunday, an official holiday (including Skeleton Days), or a day when the University is officially closed.

Dean: The administrative officer(s) responsible for the administration of the disciplinary process at each school. Primary responsibility and authority for student discipline lies with the Dean of each school, who is responsible for coordinating an investigation of charges of misconduct and assessing disciplinary actions, if appropriate, within his or her own operating unit, notwithstanding any action taken by other authorities.  The Dean may delegate the authority for the student disciplinary process at a school to one or more school administrative officers or a standing school committee as the Dean’s designee.  All references to “Dean” herein also include the Dean’s designee, if any. 

Disciplinary probation: A penalty which involves observation and monitoring of a student’s conduct for a period of time.

Expulsion:  Permanent separation of a student from the University.

Hearing Officer:  A fair and impartial individual selected by the Executive Vice President & Chief Academic Officer or designee to hear disciplinary charges, make findings of fact, and, upon finding a violation of rule or policy, to impose one or more appropriate disciplinary penalties.

Interim Disciplinary Action: Disciplinary action taken against the Respondent before a finding of responsibility for a policy violation. Interim Disciplinary Action may include suspension, suspension of a right or privilege, or a prohibition from entering campus or any part of campus. 

Respondent: The student accused of an alleged policy violation.

Student: A person who (1) is enrolled or registered at the University, (2) is accepted for admission or re-admission to the University, (3) was previously enrolled at the University in a prior semester or summer session and is eligible to continue enrollment in the semester or summer session that immediately follows, or (4) who engaged in prohibited conduct at a time when he or she met any of these criteria.

Suspension:  A temporary interruption in a student’s enrollment and participation in academic activities at the University for a specific period of time, after which the student would be permitted to register/enroll and participate in academic activities, subject to such conditions as may be imposed as part of the disciplinary action and/or as a condition of the student’s registration/enrollment and participation.

University Property: Any real property, buildings or facilities owned, leased, controlled or formally utilized by the University and/or UT System; also includes equipment and/or supplies owned and/or utilized by the University. For students enrolled or registered in the Graduate School of Biomedical Sciences, this may also include any real property, buildings, facilities or equipment owned, leased or formally utilized by UT M.D. Anderson Cancer Center.

III. PROCEDURE

A. Conduct

Conduct that would subject a student to disciplinary action includes, but is not limited to, the conduct described in Appendix A.

B. Student Conduct Investigations and Disciplinary Process

1. Investigation

The Dean is responsible for coordinating an investigation into allegations of misconduct, except in cases of sexual misconduct as defined in HOOP 59, Prohibition of Sexual Harassment & Sexual Misconduct.  In such cases, the Dean shall immediately refer the matter to the Title IX Coordinator and the investigation shall be conducted pursuant to HOOP 59, Prohibition of Sexual Harassment & Sexual Misconduct. Student violations of HOOP 174, Speech and Assembly will follow the procedures in this policy, HOOP 186. 

Any student may be contacted or may be summoned by written request of the Dean for purposes of the investigation and/or to discuss allegations of student misconduct. The written request shall specify a place for the meeting and a time at least 3 business days after the date of the written request if the request is sent by regular mail, or at least 2 business days after the date of the request if the request is sent by email or hand delivered. The written request may be mailed to the address appearing in the records of the Registrar, emailed to the email address on record with the University or hand delivered to the student. If the student fails to appear for such a meeting without good cause, as determined by the Dean, the Dean may bar or cancel the student's enrollment or otherwise alter the status of the student until the student attends the meeting. If the student failing to appear as requested by the Dean is the student against whom allegations are being reviewed, the Dean, in addition to the above, may proceed with disciplinary action based upon other available information using the disciplinary procedures described in Appendix B. A student's failure to maintain a current address with the Registrar, failure to read mail or email, or refusal to accept delivery of the notice are not considered good cause for failing to respond to the Dean's request for a meeting.

2. Reviewing the Evidence and Determining the Sanctions

The Dean will consider the available evidence, determine if it is sufficient to proceed with the disciplinary process, and, if so, determine one or more appropriate disciplinary actions.  Before proceeding with disciplinary action, the Dean will offer the accused student the opportunity to meet and provide a response to the allegations and, upon request, to review the available evidence supporting the charges.   If the student disputes the facts on which the charges are based, the Dean will initiate the hearing procedures described in Appendix B.

In cases involving potential criminal conduct, the Dean shall consult with the Office of Legal Affairs and The University of Texas Police - Houston and shall advise the alleged victim of his or her right to file a criminal complaint.

3. Interim Disciplinary Action

Pending a hearing or other disposition of the allegations against a Respondent, the Dean may take immediate Interim Disciplinary Action if the University determines circumstances warrant immediate action to ensure the safety of any person and/or the University community.

If Interim Disciplinary Action is imposed prior to the Respondent having an opportunity to respond to the allegations or to the concern of any potential threat, the University will provide the Respondent an opportunity to respond to the allegations and potential threat as soon as practicable after instituting the Interim Disciplinary Action. Following this opportunity to respond to the allegations and any potential threat, the Dean may remove the Interim Disciplinary Action if warranted.

If removal of the Interim Disciplinary Action is not warranted, a hearing of the charges against the Respondent will generally be held within 10 days in accordance with the procedures described in Appendix B, unless the Respondent agrees to an Administrative Disposition described in Section III.B.5.  However, at the discretion of the Dean, the 10-day period may be extended for a reasonable period. 

4. Withholding Transcripts, Grades and Degrees

Notwithstanding the above, the Dean may withhold the issuance of an official transcript, grade, diploma, or degree to a student alleged to have violated a rule or regulation of the University or of UT System which would reasonably allow the imposition of such action.

The Dean may take such action pending a hearing, resolution by Administrative Disposition, and/or exhaustion of appellate rights if the Dean has provided the student an opportunity to provide a preliminary response to the allegations and in the opinion of the Dean, the best interests of the University or UT System would be served by this action.

5. Administrative Dispositions

1. Uncontested Facts and Sanctions: In any case where the Respondent elects both not to dispute the facts upon which the charges are based and agrees to the finding of responsibility and disciplinary actions the Dean assesses, the student may execute a written waiver of the hearing procedures described in Appendix B. This Administrative Disposition shall be final and there shall be no subsequent proceedings regarding the charges.
2. Uncontested Facts Only: Alternatively, the Respondent may elect to sign an Administrative Disposition waiving the right to the hearing under Appendix B but reserving the right to appeal only the disciplinary actions assessed by the Dean. Such an appeal regarding the disciplinary action assessed will be made to the University President, as provided in Section III.B.8 below.

6. Hearing Process

In those cases in which the accused student disputes the facts upon which the charges are based, a disciplinary hearing will be conducted in accordance with the procedures described in Appendix B. 

7. Disciplinary Sanctions

The following disciplinary sanctions, either singularly or in any combination, may be assessed by the Dean or by a Hearing Officer:

• disciplinary probation;
• withholding of grades, official transcript, and/or degree;
• bar against re-admission, bar against enrollment, drop from one or more classes, and/or withdrawal from the institution;
• restitution or reimbursement for damage to or misappropriation of University or UT System property;
• suspension of rights and privileges, including participation in scholastic and/or extracurricular activities;
• an academic sanction, including assignment of a grade of zero for an examination or assignment or for a course, and/or cancellation of all or any portion of a prior course credit;
• denial of degree;
• suspension;
• expulsion;
• revocation of degree and withdrawal of diploma;
• other reasonable sanctions deemed appropriate under the circumstances.

If a student is suspended or expelled, he or she will be administratively withdrawn from all courses and refunds will not be issued.  Suspension is noted on the academic transcript with the term “Disciplinary Suspension.”  The notation can be removed upon the request of the student when all conditions of the suspension are met.  Expulsion creates a permanent notation on the student’s academic transcript.   

A student who receives a period of suspension as a disciplinary action is subject to further disciplinary action for prohibited conduct that occurs during the period of suspension. A student who is suspended or is expelled for disciplinary reasons is prohibited from being on any University or UT System property during the period of suspension or after expulsion without prior written approval of the appropriate student affairs officer of the academic unit at which the suspended or expelled student wishes to be present.

8. Appeal

A Respondent may appeal an Administrative Disposition in accordance with Section III.B.5(b).   Either the Dean or Respondent may appeal the decision of the Hearing Officer

The grounds for appeal are as follows: 

• The sanctions imposed are inappropriate and/or not commensurate with the circumstances (Note: this is the only appeal option available for Administrative Dispositions under Section III.B.5(b)); 

• A procedural irregularity affected the outcome of the matter; 

• There is new evidence that was not reasonably available at the time of the determination regarding responsibility that could affect the outcome of the matter; or 

• The Dean, investigator(s), or Hearing Officer had a conflict of interest or bias for or against a party (generally, or specifically in this matter) that affected the outcome of the matter. 

The appealing party shall submit to the President a written appeal stating the specific reasons for the appeal and any argument with a copy to the other party(ies). The appeal must be received by the President's Office no later than 14 days after the appealing party has been notified of the disciplinary action assessed by the Dean or of the decision of the Hearing Officer. The non-appealing party may, but is not required to, submit a response to the appeal which must be received by the President's Office by no later than 5 days after receipt of the appeal by the non-appealing party or the complaining witness/complainant, with a copy to the other party(ies). For purposes of calculating deadlines, the date that an appealing party has been notified of the sanction or the date the appealing party received a copy of the Hearing Officer’s decision is 3 days after the date the document was sent by mail to the recipient or, if emailed to the recipient, the day the email was sent.

An appeal of the Hearing Officer's decision will be reviewed solely on the basis of the record from the hearing, but at the discretion of the President, both parties may present oral arguments.  The Dean will submit the record of the hearing to the President as soon as it is available to the Dean.

The President may approve, reject, or modify the decision in question, or may require a reopening of the original hearing for presentation of additional evidence and reconsideration of the decision.

An appeal of the disciplinary action assessed by the Dean following the student's waiver of the disciplinary hearing procedures pursuant to Section III.B.5(b) will be reviewed solely on the basis of the documentation and written arguments provided to the President by the student and the Dean.

The action of the President will be communicated in writing to all parties to the appeal within 30 days after the President receives the appeal and related documents. The decision of the President is final.

C. Transcription Notations and Disciplinary Records

A permanent, written disciplinary record will be maintained for each student assessed a disciplinary action of suspension, expulsion, denial or revocation of degree, and/or withdrawal of diploma. A record of scholastic dishonesty will be maintained for at least five years, and disciplinary records required by law to be maintained for a certain period of time, i.e. Clery violations, shall be maintained for at least the time specified in the applicable law, unless the record is permanent in conjunction with the above-stated disciplinary actions. The academic transcript of a student suspended or expelled for disciplinary reasons (not academic or financial) shall be marked with “Disciplinary Suspension” or “Disciplinary Expulsion” as appropriate.  A notation should state whether the student is eligible to reenroll. If the student becomes eligible to reenroll in the institution or the institution determines that good cause exists to remove the notation, the notation can be removed upon the request of the student.

A disciplinary record will reflect the nature of the charge, the disposition of the charge, the disciplinary action assessed, and any other pertinent information. This disciplinary record will be maintained separately from the student's academic record by the applicable Office of Student Affairs. It shall be treated as confidential and will not be accessible to or available for use by anyone other than the Dean or University officials with legitimate educational interests except on written authorization of the student or otherwise in accordance with applicable state or federal laws, court order or subpoena, including legally required disclosure by the University to the alleged victim of a crime of violence or non-forcible sex offense (or to his or her next of kin if the alleged victim is deceased) of the report on any disciplinary action taken against a student for such offenses.

IV. CONTACTS

• • Office of the Executive Vice President & Chief Academic Officer
  • 713-500-3062
  • https://www.uth.edu/evpara/
• • Office of Legal Affairs
  • 713-500-3268
  • legal@uth.tmc.edu
  • https://www.uth.edu/legal/contact-us.htm

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