Procedures Concerning Review of Professional Integrity

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At the discretion of the Associate Dean for Student Affairs, in cases of serious or repeated breaches of professionalism raising concern about a pattern of behavior, the Associate Dean for Student Affairs will convene a meeting with the Associate Dean for Admissions, the Associate Dean for Medical Student Education or the Senior Associate Dean for Medical Education to review the complaint(s) and to decide whether further action is necessary.

If further inquiry is deemed necessary, the Associate Dean for Student Affairs and either the Associate Dean for Medical Student Education or Admissions, or the Senior Associate Dean for Medical Education will discuss the complaint with the student. If the two Associate Deans deem that further action is warranted, the Associate Dean for Student Affairs will follow the procedures below:

A. The Associate Dean for Student Affairs will convene a meeting of the CAPES. If the person bringing the complaint is a member of CAPES, he or she will not vote but may participate in the discussion. If the person bringing the complaint is not a member of CAPES, he or she will be asked to present the complaint and will then be excused. The CAPES chairperson will be responsible for overseeing the procedure of the meeting. The Registrar will attend the meeting to record the minutes. The CAPES shall, whenever possible, convene within one to two weeks after the initial meeting between the student and the Associate Dean for Student Affairs.

B. The purpose of the CAPES meeting is to provide fair and prompt review of the inquiry. The Committee is not positioned in an adversarial role against the student, but simply serves to review the evidence as presented and determine its decision regarding disciplinary action, if necessary.

C. Prior to the meeting, the Associate Dean for Student Affairs will forward information concerning the matter to the Committee. In addition, the Associate Dean for Student Affairs will inform the student in writing regarding the time, date and place of the meeting. A copy of the complaint will be provided to the student. Such notification shall also state that the proceedings are confidential, and that the student may bring a faculty member, staff member or fellow student of the School of Medicine for guidance and support. If this person is not a fact witness to the complaint he/she may not address the committee.

D. Any student to be considered at a CAPES meeting will be asked to be available to appear before the Committee to provide additional information relevant to the concern. If the student fails to be available for the meeting, the Committee may postpone the meeting or may conduct the meeting and impose sanctions without the student present. Failure of a student to appear or provide information requested by the CAPES may result in the committee’s drawing adverse conclusions. Meetings may be rescheduled at the discretion of the CAPES Chair.

E. The CAPES will consider evidence which tends to prove or disprove the alleged conduct. If the CAPES finds that the student engaged in misconduct, it may consider additional evidence of prior conduct, evidence as to the charged student’s character, the student’s entire academic and disciplinary record, or any other evidence which could assist the CAPES in determining an appropriate sanction. The Chair of the CAPES will rule on whether or not evidence or testimony will be considered. The CAPES has neither the advantages nor limitations inherent in a court of law.

F. During the meeting the student will have access to the written evidence presented and may present evidence and fact witness(es) on his or her own behalf. The student should be prepared to discuss the circumstances of the complaint after which the CAPES will excuse the student from the room.

G. The decision as to whether the student committed the alleged act will be made solely on the basis of evidence and testimony presented at the meeting. Innocence of the student will be presumed. A CAPES member must find in favor of the student unless the member is persuaded that it is more likely than not that the student engaged in the misconduct alleged.

H. Action taken by the CAPES for breaches of professional integrity may include dismissal. Sanctions short of dismissal from the School include but are not limited to advancement with academic warning, other warning, probation, defined penalty, suspension, fine and restitution. Additional consequences may include a program of remediation or additional oversight. The CAPES may also rule that the MSPE/ Deans letter should include a citation regarding the matter. Contingencies for continued enrollment on probationary status and for return to good standing will be specified by the CAPES in each individual case.

I. A simple majority will prevail, except when the motion is to dismiss from the School where three-fourths majority will be required.

J. After the meeting and decision of the CAPES, the Associate Dean for Student Affairs will inform the student verbally of the result. The Registrar will inform the student in writing of the result within ten  working days.

K. The record of such proceedings will be held confidentially with access restricted to Committee members, the student involved, and relevant members of the Administration.

L. The University does not tolerate retaliation against individuals who bring forward complaints or who participate in the CAPES process.

M. Unless it is determined by the Associate Dean for Student Affairs that extraordinary circumstances exist, the student will be permitted to continue in the usual academic activities during the CAPES proceedings. However, if there is a reasonable basis for believing that the continued presence of the student on campus or in clinical rotations poses a substantial threat to the student, to patients or to the rights of others to engage in their normal University functions and activities, the procedure outlined under section B of Leave of Absence Policy applies.

N. Should a student be referred to the CAPES for an issue(s) involving both academic performance and professionalism concerns, the procedures for Professionalism Concerns will be followed.