Student Conduct
Community Standards
Community standards refer broadly to how we relate to one another. The foundations of community standards at Caltech are integrity, safety, community, education, and accountability, values upheld in the Caltech Code of Conduct. The Caltech Honor Code uniquely centers community while emphasizing personal responsibility, requiring students to consider their actions and decisions in the context of the community around them. Community standards are further articulated in the Honor Code Handbook, which outlines academic integrity and student conduct violations as well as resolution processes for when violations occur. Any prohibited conduct described in the Handbook is listed because it is at odds with one or more of these values.
The Undergraduate Deans' Office oversees these resolution processes and provides training, oversight, advising, and guidance to student leaders and staff who administer them.
Resolution Options
When student conduct violations occur, it is necessary to address the incident while centering student learning and community accountability. Resolution processes are managed and overseen by the Director of Conduct and Community Standards. Depending on the severity of the incident and policy violation, the incident will be addressed through one of three processes: a resolution meeting with student affairs staff, a Conduct Review Committee (CRC) investigation, or a Dean's Investigation.
Resolution meetings are held to address most first-time Resident Guide or Honor Code Handbook policy violations, including first- and second-time alcohol policy violations. During the resolution meeting, a student affairs staff member will meet with the student to discuss the incident, related Institute policies, understanding of the Honor Code, and expectations for student conduct. Students who are found responsible for a policy violation will be issued a written warning following the resolution meeting and may be assigned additional educational sanctions. Resolution meetings may also result in the issue being dismissed if there is evidence that the student was not involved in a policy violation.
Resident Life Coordinators will typically meet with students to discuss alcohol policy violations, housing policy violations, and other lower-level conduct concerns. Other student affairs staff, including the Director of Conduct and Community Standards and the Associate Deans of Undergraduate Students, may also meet with students to address more significant violations or repeat violations. If during the resolution meeting the staff member determines that the incident involved additional policy violations that were not included in the initial report, the case may be referred to the Director of Conduct and Community Standards for further investigation and adjudication through the Conduct Review Committee or Dean's Investigation process.
Possible sanctions following a resolution meeting include a warning, educational sanction, restorative sanction, fine, or restitution owed to the Institute for property damage.
The Conduct Review Committee (CRC) manages the resolution process for social and behavioral conduct cases when the alleged policy violation is more severe than what can be addressed in a Resolution Meeting. The CRC is also the resolution process most commonly used when the respondent is a group of students or a student organization (i.e. House, club, or other campus organization).
The CRC resolution is outlined as follows:
- Review and Notifications
The CRC co-chairs review the incident to identify respondents and possible policy violations. The Director of Conduct then notifies the respondents of the charge and requests the respondents meet with the CRC co-chairs.
The co-chairs may determine that preliminary sanctions may be warranted. Recommendations for preliminary sanctions will be made to the Dean of Undergraduate Studies for individual respondents and to the Assistant Vice President for Student Affairs for student organizations as respondents. Preliminary sanctions may be imposed prior to the resolution of any conduct case. - Investigation
The co-chairs investigate the incident by interviewing respondents and witnesses. The co-chairs may gather additional information and evidence from campus partners including but not limited to Campus Security and Student Affairs staff.
The co-chairs then compose a report summarizing the investigation and make a recommendation for a finding of responsibility based on the preponderance of the evidence. The report is then shared with the respondent/s for their review. - Preliminary determination of responsibility
If the respondent agrees with the findings of the CRC co-chairs and accepts responsibility for a policy violation, the case is referred to the CRC student representatives for sanctioning recommendations. The sanction recommendations are then added to the preliminary report and submitted to the Dean or AVP.
If the respondent does not accept responsibility or agree with the preliminary findings of the CRC co-chairs, the case is referred to the CRC for a full hearing.
If the co-chairs determine that there is not sufficient evidence to determine whether a policy violation occurred, they may refer the case to the Dean or AVP for dismissal. - CRC Hearing
In cases when the respondent does not accept responsibility or agree with the preliminary findings of the CRC co-chairs, the case may be referred to the CRC for a full hearing.
The full committee consists of three members (one student, one faculty, one staff). During the full hearing, the committee will convene, review the evidence, interview the respondent and relevant witnesses, and make a recommendation for responsibility and sanctions. The CRC co-chairs then submit a report including a summary of the case and the decision of the CRC committee to the Dean or AVP. - Response
The respondent is notified of the decision by the CRC co-chairs. The respondent has an opportunity to review and respond to the report by writing a letter and submitting it to the Dean or AVP. The respondent will be given the opportunity to meet with the Dean or AVP, within seven calendar days of receipt of the decision, to discuss the report and recommendations. - Decision
The Dean or AVP will inform the respondent of their final determination, including any sanctions that may be imposed, in writing. That notice will also include information regarding the respondent's ability to appeal the Dean or AVPs determination and the process for doing so.
In the CRC process, the final decision in cases involving individual students as respondents will be made by the Dean of Undergraduate Studies. In cases when a student organization is the respondent, the Assistant Vice President of Student Affairs (AVP) will make the final decision regarding finding of responsibility and sanctions. Appeals in either case may be considered by the Vice President of Student Affairs.
The Undergraduate Deans' Office retains the discretion to refer matters to a Dean's Investigation instead of the CRC. The Dean may choose this option for a number of reasons, including but not limited to when the matter is highly personal or sensitive, requires an expedient review and resolution, or when convening a full CRC board is impractical due to the availability of enough trained board members to make up a full panel. The Dean's Investigation process is also used for cases of alleged hazing.
The process of a Dean's Investigation is as follows:
- Investigation
The Director of Conduct and Community Standards assigns two investigators to conduct the investigation. The co-investigators interview respondents and witnesses and may gather additional information and evidence from campus partners including but not limited to Campus Security and Student Affairs staff. - Determination of responsibility
The investigators draft a report, including a summary of the case and recommendations for the finding of responsibility and sanctions. The report is then shared with the respondents. - Response
The respondent has an opportunity to review and respond to the report by writing a letter and submitting it to the Dean. The respondent will also be given the opportunity to meet with the Dean, within seven calendar days of receipt of the decision, to discuss the report and recommendations. - Decision
The Dean will inform the respondent of their final determination, including any sanctions that may be imposed, in writing.
In the Dean's Investigation process, the final decision in cases involving individual students as respondents will be made by the Dean of Undergraduate Studies. In cases when a student organization is the respondent, the Assistant Vice President of Student Affairs (AVP) will make the final decision regarding finding of responsibility and sanctions. Appeals in either case may be considered by the Vice President of Student Affairs.