Ordinance on the Disciplinary Committee of Dubrovnik International University

The Disciplinary Committee, on behalf of the Senate, considers and investigates the adequacy of all rules regarding the conduct of resident members of the University community, and the adequacy of the procedures for making and applying such rules. The Committee furthermore hears and decides, in the first instance or on referral by another member or body of the University, cases that involve alleged violations of those established rules and regulations of conduct which apply, in at least substantially the same form, to all resident members of the University community, and whose violation constitutes a serious infringement of the recognized rights of members of the University community, a serious offense against the University’s mission, a threat to the ability of the University to carry on its essential operations, or a substantial impairment of the common and legitimate interests of the University community.
Jurisdiction over violations of academic rules and regulations rests with the Disciplinary Committee. The committee shall deal with all cases involving, but not limited to, cheating, plagiarism, academic dishonesty, academic misconduct and failure to complete a course and behavioral problems within an academic or lecture setting.
Members of the Disciplinary Committee are appointed by the Senate with confirmation from the University President. The President shall reserve the right to veto any decision of the Senate on which University members may serve on the Disciplinary Committee. The Committee must have at least three members, of which one must be the vice president. The Senate may grant the Disciplinary Committee the power to elect its future members, as necessary. The Senate furthermore confirms the powers of the Disciplinary Committee; however, in the interest of fairness and impartiality, Committee actions and decisions shall remain independent of the Senate, and the Senate shall not have the right to influence procedures in front of the Committee.
The entire Senate, however, may decide to hear appeals from persons found guilty of violating established rules and regulations by the Disciplinary Committee, when it has been alleged by such persons that the proceedings against them have not been fair and reasonable.

Membership

Members of the University Disciplinary Committee are appointed by the Senate of Dubrovnik International University. At least three (3) members must permanently serve on the Committee. The vice president of the University shall serve as the Committee Chair, although he/she may appoint other members of the Committee to fulfill that function. Except in extraordinary circumstances, students are banned from participating as Disciplinary Committee members.

Disciplinary Committee Action

1. The procedures of the Disciplinary Committee, which are outlined below, are designed to enable the Committee to fulfill its charge, and to guarantee to each person charged the following rights in the interest of ensuring procedural fairness:
a) To receive in writing in advance of a formal hearing a statement of the charges against him or her, together with a list of the witnesses and of the material evidence which the person bringing charges intends to make available to the Disciplinary Committee.
b) To testify if he or she desires and to answer questions if he or she desires without prejudice for failure to testify or answer questions.
c) To supply to the committee material evidence and a reasonable number of witnesses to be called in his or her own defense.
d) To question all witnesses called by the committee, and to challenge the evidence.
e) To have an adviser of his or her choice from the resident members of the University community at any hearing, open or closed, who may speak on his or her behalf.
f) To receive upon request a record of the proceedings at the hearing. The procedures of the committee also ensure that all persons involved in disciplinary hearings have the right to orderly procedures.
Any individual involved in proceedings is entitled to be protected from harassment, or fear of harassment, by other participants or by observers. In addition, the University community is entitled to have the members of the Disciplinary Committee protected from the influence of threats, harassment, or unruly mob behavior.
2. The procedures of the Disciplinary Committee provide the Committee the opportunity:
a) to ascertain the facts surrounding an alleged violation of University regulations;
b) to explore issues related to such charges, in order to determine possible mitigating circumstances which should be taken into account in the levying of the penalties, if any.
They aim therefore to facilitate the disposition of matters brought to the Disciplinary Committee with the greatest degree of justice and fairness for all concerned. The committee assumes that all members of the Dubrovnik International University community participating in proceedings will observe generally accepted principles of honesty and fair play.

I) Procedure in Cases before the Disciplinary Committee

1. Charges
a) Persons wishing to place a case before the committee shall file a complaint with a member of the committee or with the University Secretary within a reasonable time, stating the nature and circumstances of the alleged violation of University regulations.
b) The Secretary or committee member will immediately forward the complaint to the chair of the committee, who will make a preliminary determination of jurisdiction, subject to review by the full Committee. The chair may refer the case to another authority or agree to put the case before the committee.
c) If the case is to come before the committee, the chair will obtain from the person making the complaint a formal statement of the charges being made against a specific person or persons, identifying the University regulation or regulations alleged to have been violated, together with an outline of the case to be presented.
2. Notification. Upon receipt of this information the chair will immediately send a copy of the information described in the paragraph above to each person so charged, informing him or her of the date and place of a pre-hearing conference, to be held within one week of the date of the notification.
3. Pre-hearing conference. The committee may choose to hold a pre-hearing conference in certain cases. However, the committee further retains the right to waive the pre-hearing conference. The purposes of the pre-hearing conference are the following:
a) To give the committee sufficient information for it to determine whether or not a hearing is necessary to determine the facts. If the matter of jurisdiction is at issue, and if a hearing is necessary, the determination of jurisdiction will be the first order of business in the hearing.
b) To make sure that the persons charged fully understand their rights, the charges against them, and the nature of the supporting evidence.
c) To clarify for all parties the procedures to be followed by the committee in hearing and deciding upon a case.
d) To determine whether the persons charged wish to request an administrative determination on the charge. Persons against whom charges have been made may request, and at its discretion the committee may approve, an administrative disposition of the case by an appropriate officer of the University. Under these circumstances the persons charged must sign a statement indicating that they understand the charges against them and their right to a hearing before the Disciplinary Committee, but that they waive this right and the right to an appeal to the Senate. The administrative officer will dispose of the case, sending to the persons charged and to the committee a record of the disposition of the case. Administrative disposition of a charge in no way denies the right of an appeal to the president of the University.
e) To determine whether the persons charged desire an open or a closed hearing and to discuss the scheduling of the hearing.
f) To determine whether any member of the committee chooses not to hear this case because the member finds that he or she cannot in good conscience apply established rules and standards in this case. The pre-hearing conference will be closed. It will be attended by the committee and its staff, the persons charged or their representative, the persons bringing charges or their representative, and any other persons invited by the committee. Each party to the case may be accompanied by an adviser from within the University community. If after proper notice the persons charged do not appear, the committee will proceed to make its own determination in the case. At least three members of the committee shall be present. After the pre-hearing conference, the committee will meet privately to determine on the basis of what it has heard whether a hearing is required and to set a date for the hearing. Parties to the case will then be informed of the decision of the committee.
If the case is to be heard, the committee will obtain from all parties involved:
(1) a list of the witnesses prepared to give testimony if called by the committee, with an indication of the relevance of the testimony of each to the charges being made;
(2) a description of the material evidence available to the committee, with an indication of its relevance.
The committee will distribute to all parties involved a list of all witnesses and material evidence to be presented.
4. Hearings. Hearings will be closed unless the persons being charged request an open hearing. At any point during an open hearing, the persons charged may request permission to close the hearing. The committee will rule on any such requests. In exceptional circumstances, the committee reserves the right to hold a portion of the hearing in closed session.
a) At a closed hearing only the persons bringing charges and their advisers, the persons being charged and their advisers, witnesses called by the committee, members of the committee, and the committee staff may be present. The names of the persons charged will not be released by the committee, and the records of the case will be considered confidential.
b) At an open hearing, in addition to the persons mentioned in the paragraph above, spectators from the University community may be admitted up to the normal seating capacity of the room.
c) The chair of the Disciplinary Committee is responsible for maintaining conditions which are consistent with the orderly conduct of hearings. In carrying out this responsibility, the chair is obligated to prevent and deter hostile, threatening, or unduly disrespectful remarks or behavior by any individuals present and also to prevent and deter prolonged or emphatic audience response to testimony or argument.
d) The committee will call a reasonable number of witnesses requested by the persons bringing charges and the persons being charged. Normally, these witnesses will be called from lists provided before the opening of the hearing by the persons involved and made available to both parties, but the committee may call any witnesses it pleases. Normally, witnesses shall not be present at the hearing until they present their testimony.
e) The committee may permit additions to lists of witnesses or evidence when it is convinced that the availability or relevance of such witnesses or evidence could not have been foreseen before the hearing began. Advance notice of such additions shall always be given to all parties, and the committee shall allow such delay as it may consider necessary to prepare for the questioning of added witnesses or the examination of added exhibits.
f) All witnesses may be questioned by all parties in a case and their advisers and by any member of the committee. The chair may rule any question out of order.
g) All material evidence and documents shall be formally introduced as presented in the hearing, lists of the exhibits proposed for presentation as evidence and copies of documentary evidence having been made available in advance to all parties in a case. The committee may introduce additional materials during the course of the hearing.
h) The credibility of any evidence which is introduced may be challenged by any parties in a case.
i) The judgment of the committee shall be based entirely upon testimony and evidence presented formally during the course of the hearing. The persons charged shall be presumed innocent until the committee is convinced beyond a reasonable doubt by the evidence presented during the hearing that they are guilty. In determining their guilt or innocence the committee will disregard any previous history of disciplinary action with respect to the persons charged. If the persons charged are found guilty, the committee may, in determining a penalty, take into account any previous disciplinary action.
j) The persons charged and the persons bringing charges may be questioned by the members of the committee and by the other parties in the case. The persons charged may decline to answer questions without prejudice.
k) A verbatim record of the hearing shall be made and kept under the supervision of the secretary of the committee. This record shall be supplied to the persons being charged and the persons bringing charges upon request.
5. Judgment
a) After the parties in the case have had a reasonable opportunity to present their arguments and to question opposing witnesses, and the committee has completed its questioning, the committee shall meet in private to reach a decision and, if it finds the charges to have been sustained, to assign an appropriate penalty.
b) Three members, including the chair, shall constitute a quorum. All decisions shall be made by a majority of those present.
c) When the committee has reached its decision, the chair will notify the parties and all other necessary members of the University Community. The committee’s report will include the result of its vote and a majority opinion, together with minority opinions, if any. If the hearing has been closed, the committee in making its public report will be guided by the principles concerning the confidential nature of student records.

II) Procedure in Appeals of Cases Previously Heard
by the Disciplinary Committee

1. According to the charter of the council, the University Senate may decide to hear appeals from persons found guilty of violating established rules and regulations by the Disciplinary Committee, when it has been alleged by such persons that the proceedings against them have not been fair and reasonable.
a) The person wishing to have a judgment against him or her reviewed shall, within one week (during which the University is in session) of the original judgment, file a request for review with the secretary of the Senate, stating the authority that made the judgment and the date, and indicating the reasons for requesting a review.
b) The secretary will immediately forward the request to the chair of the Senate, the Rector, or to the Provost.
c) The Senate will immediately notify the original authority that the request for review has been made and will as promptly as possible obtain from the Disciplinary Committee the record of the proceedings in the case. A copy of this record will be furnished by the committee to the person making the request.
d) The person making the request will file with the Provost within one week of receiving the record a memorandum stating in what specific respects he or she alleges that the procedures or the determination of the penalty against him or her have not been fair and reasonable. In preparing this memorandum, the person requesting review has the right to seek any advice he or she chooses.
2. Preliminary determination. The Senate will meet in closed session and decide on the basis of the appeal memorandum whether there are sufficient grounds to hold a formal hearing. It may at its discretion call the person making the appeal for questioning in closed session, but if it does, the Disciplinary Committee which made the original judgment shall be invited to have a representative present, in addition to the vice president who serves in both bodies, who may participate in the questioning. Note that the only grounds for appeal are that the original proceedings “have not been fair and reasonable.” The Senate WILL NOT hear appeals when a person is merely displeased with the outcome of the Disciplinary Committee’s ruling.
3. Hearing. If the committee decides that a reasonable doubt exists that the original proceedings were fair and reasonable, a formal hearing will be conducted, with proceedings same as those outlined for the Disciplinary Committee.
4. Judgment. The judgment will be given according to the same procedures as with the Disciplinary Committee. The Senate may decide to uphold the previous judgment, to reverse or alter the previous judgment, or to return the case to the earlier hearing authority. The ruling of the Disciplinary Committee will be upheld unless convincing argument is presented to the contrary. Members of the Disciplinary Committee who likewise serve on the Senate may not participate in the judgment, although they may advise the Senate Board of their opinions.

Responsibilities of the Rector

1. The Rector shall preside at all hearings. If the Rector must be absent during part of a hearing, he or she may designate another member of the Senate to act in the Rector’s place as deputy chair for the period he or she is absent. If, in extraordinary circumstances, an entire hearing must be conducted in the absence of the Rector, the Senate shall elect a chair pro tem from among its members by a majority vote so long as the chair shall be absent. The student representative(s) on the Senate may not be elected chair for such proceedings.
2. The Rector, as the chair of the Senate, is responsible for procedural correctness. The chair
a) makes an initial determination of any procedural question which arises during the course of a hearing;
b) rules on the propriety of any questions asked by members of the committee, persons charged, or persons bringing charges.
3. The chair is responsible for maintaining conditions which are consistent with the right to orderly conduct of hearings. When persons attending the hearings as observers engage in acts which violate this right, the chair may, after due warning, require the withdrawal of such persons from the hearing room. The chair may also, after due warning, adjourn the hearing and reconvene, barring all observers. The chair may also initiate, on consultation with the committee, charges against observers who are disrupting the hearing.
In cases where the violation of this right stems from acts of persons charged or persons bringing the charges, the committee shall normally adjourn the case and begin hearings within 48 hours on the charge of violating the rights to an orderly hearing. If such persons persist in their disruptive actions, the committee may, after due warning in exceptional instances, continue these proceedings in their absence.
a) Any decision of the chair may be challenged by a member of the Senate. The Senate will meet, if necessary, in executive session to consider the decision and vote on it. A majority of the Senate is required to reverse the chair’s decision.
b) In hearing cases involving the violation of the right to orderly hearings, the Senate shall normally restrict itself to hearing arguments concerning mitigating circumstances involved in the alleged violation. The Senate shall then meet to discuss the case and to decide upon appropriate penalties, if any, by majority vote. Penalized individuals wishing to appeal such decisions must address their appeals to the president of the University.
4. The chair shall have no vote in decisions related to the adjudication of charges or the conduct of hearings except to resolve a tie.

Order of Proceedings in Cases

1. The chair shall first call upon the persons bringing charges or their representatives to outline the substantive basis of the charges. They may introduce additional material evidence at this time.
2. Members of the Senate may then question persons bringing charges.
3. The chair of the Senate shall then call upon persons charged to outline their case.
4. Members of the Senate may then question the persons charged.
5. Witnesses will then be called by the Senate in an order to be determined by the chair.
a) Witnesses normally will first be questioned by members of the Senate, then by the persons bringing charges, and, finally, by the persons charged. Each group may, in the same order, then re-question each witness and the members of the Senate may ask final questions of witnesses before they are dismissed. (Since all witnesses are called by the Senate in order to facilitate its investigation and adjudication of charges, there are no friendly or hostile witnesses, and cross-examination, redirect examination, and re-cross-examination procedures are not germane.)
b) Witnesses will normally not be present before giving their testimony. After they have been questioned, they may remain at an open hearing and may be called for further questioning by the Senate.
c) Persons charged and persons bringing charges will always have an opportunity to speak in direct rebuttal of evidence or the testimony of witnesses when it is their turn to address themselves to the Senate.
d) In asking questions of witnesses, persons bringing charges and persons charged may address themselves to the substantive basis and validity of testimony. The Senate will make every effort to protect each witness from undue harassment during a hearing.
6. After all witnesses have been called, persons bringing charges and persons charged may question the evidence and documents and raise additional questions. These parties may address their questions directly to one another, unless the chair rules otherwise.
7. Members of the Senate may at any time question the persons bringing charges and the persons charged. The latter may decline to answer without prejudice.
8. The chair shall then call upon the persons bringing charges and the persons charged to summarize their positions and to make concluding remarks.
9. At the completion of concluding remarks, the chair may make summary remarks on behalf of the Senate and shall close the hearing. The Senate shall then meet in executive session in order to make its judgment and to impose penalties, if any.

Procedural Requests

1. The parties to a case may request a ruling by the chair concerning procedural correctness at any time during the hearing.
2. The parties to a case may request that the Senate add witnesses to be called before it or that the Senate call witnesses in a specified order.
3. At any point during an open hearing, the persons charged may request permission to close the hearing. The Senate will rule on any such requests.
4. Any member of the Senate may request a recess of the hearing so that the Senate can meet in executive session at any time during the hearing.

Evidence

1. Normally, evidence accepted by both parties at a pre-hearing conference will be labeled before the hearing opens.
2. Other evidence, not accepted by one party, may be introduced and challenged during the hearing. After arguments are given, the chair shall make a ruling on the issue of its admissibility.
3. Photographic evidence introduced:
a) Persons who took photographs used as evidence are subject to questioning by the Senate and both parties to a case as to the circumstances under which the photographs were taken.
b) Witnesses who used photographs for purposes of identification prior to the hearing are subject to questioning as to how such photographs were used.
All documentary evidence will be retained in the permanent records of the Senate.

Reports

1. The University Senate shall submit a written report on the disposition of each case, which shall include:
a) a chronology of the case from the receipt of charges to final disposition;
b) a statement of actions taken by the Senate pertaining to the case;
c) a statement of the findings which were significant and relevant to the disposition of the case and the selection of any penalties; and remarks on procedural questions raised during the hearing.

III) Appeals from Decisions of the Senate

In extraordinary circumstances, the president of the University may review decisions of the Senate and may reduce any penalties imposed by the Senate but may not increase them. An appeal to the president serves chiefly as an opportunity for an individual to seek clemency by explaining special circumstances that might be taken into account with respect to penalties imposed upon him or her. The purpose of an appeal to the president is not to initiate a rehearing of substantive issues of fact or a new determination of innocence or guilt.
Appeals will not normally be considered unless lodged with the president within one week after the Senate’s decision, unless otherwise specified in the decision.

IV) Records of Proceedings

Confidential records of all proceedings of the University Senate and of the actions of the Disciplinary Committee and the deans are maintained in the offices of the Secretary of the University. The use of these documents is restricted according to the rules and procedures concerning the confidential nature of student records.
Disciplinary procedures normally involve only the student and the University. Generally, the student’s family is not informed while disciplinary procedures are under way. When, however, in the judgment of the University the welfare of the student or the community warrants communication, family members may be contacted during the disciplinary process. All disciplinary decisions resulting in serious penalties (especially, but not exclusively, withholding of degree, suspension, required withdrawal, and expulsion) will be communicated to the student’s family or other legal guardian, unless the student has before the commencement of the term in question filed a statement certifying that he or she is not financially dependent as defined by the federal tax laws.