CALENDAR

ADMISSIONS AND EDUCATIONAL PROGRAM

DEPARTMENTS

ALVIN J. SITEMAN CANCER CENTER

TEACHING AND RESEARCH DIVISIONS AND PROGRAMS

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OFFICERS AND COMMITTEES OF THE FACULTY

REGISTER OF STUDENTS

MAP

SCHOOLS OF WASHINGTON UNIVERSITY

ALL FACULTY

Responsibility of the Committee

Overall academic and professional evaluation of medical students at the Washington University School of Medicine will be made by the Committee on the Academic and Professional Evaluation of Students (CAPES). The deliberations of the CAPES are generally positive in approach and are committed to the ultimate aim of assisting students to successfully complete the courses of study required by the School. The principle that careful selection of students will minimize attrition from the School is strongly endorsed by the CAPES. The CAPES has several important roles, including:

A. Approving promotion of students to a subsequent year of study;

B. Recommending to the Executive Faculty those students who have successfully completed all the prescribed requirements of the School and are qualified to receive the Doctor of Medicine degree;

C. Requiring entry of a student into an individualized program of study (ISP); and

D. Deciding upon matters of disciplinary action including instances of unprofessional behavior brought to the CAPES.

It is also the ultimate responsibility of the CAPES to decide whether each student meets the academic and ethical standards necessary to enter the profession of medicine.

The rules governing operation of the CAPES apply to students in the
following categories:

A. Students who are engaged in the preclinical and clinical education requirements for the M.D. degree;

B. Students in dual degree programs including the M.A./M.D. and the M.D./Ph.D. (MSTP) program taking the pre-clinical or clinical
portion of their M.D. education.

C. Students in all years of the Five-Year M.D. program.

Membership of the CAPES

A. Appointed and ex officio membership — There will be 12 voting faculty members of the CAPES, and members will be appointed for a four-year term by the Dean of the School of Medicine following nomination of suitable individuals by the department heads and Associate Deans. Initial appointments will be staggered for periods of one-, two-, three- or four-year terms.

A faculty member may be reappointed to serve on the CAPES. Membership will include both clinical and preclinical departments. In addition, the CAPES membership will include, in ex officio
capacity, the Registrar (non-voting) and the Associate Dean for Student Affairs (non-voting). The Associate Deans for Medical Student Education, Admissions, Diversity Programs and the Director of the Student Health Service may attend the CAPES meetings as non-voting observers.

B. Guests — A course master who is not a member of the CAPES but who has submitted a Fail/Incomplete grade for a student which is to be discussed at a meeting of the CAPES will be present at the meeting to provide information concerning the student’s performance. Alternatively, a course master may send a designated representative or may submit additional information in writing. In the event that
a course master or designated representative is not present or
sufficient information has not been forwarded, final action for that student will be deferred until adequate information concerning the student’s performance is available. Similarly, when the committee is addressing issues of professionalism, the individual filing the professionalism concern form will be present for the meeting or in some instances may instead be allowed to submit information in writing.

C. Chair — A faculty member will be appointed by the Dean from within the CAPES committee to serve as chair. The term of the chair will be four years.

Meeting Frequency

The CAPES meetings must occur in a timely manner after final examinations or re-examinations (i.e., as soon as practical after grades are submitted to the Registrar). Generally grades will be submitted to the Registrar within 10 days of the completion of an examination or within four days of a re-examination. A meeting of the Committee also may be convened at any time such that timely review of student performance and action thereupon is provided.

Quorum for the CAPES Meetings

Seven voting members must be present to consider academic or
disciplinary actions.

Procedures for Making Changes to this Document

Major revisions in this document will be approved by the
Academic Affairs Committee.

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The Academic and Professional Evaluation of Students

A. In order to continue their studies at the Washington University School of Medicine, students must demonstrate the ability to synthesize and apply knowledge and the capability of becoming a safe and effective physician. In addition, they must demonstrate the principles of professionalism including sound judgment, honesty and integrity, responsibility, a sensitivity and compassion for individual needs, and compliance with applicable laws, policies and regulations. Serious or repeated breaches of these principles will be referred to the CAPES for review. See the section called Guiding Principles of Professionalism.

B. It is the responsibility of students who feel that personal concerns, health problems, or any other factors may be adversely affecting their academic performance to bring such matters to the attention of the Director of the Student Health Service or the Associate Dean for Student Affairs for possible accommodations.

C. Students are required to take all examinations at the specified time. A student may be excused from this rule for extenuating circumstances at the discretion of the Associate Dean for Student Affairs, who will inform the course master. Extenuating circumstances are defined as sudden personal illness, extreme family circumstance, or significant professional obligation. Doctor appointments of a routine nature or vacation time are not considered to be extenuating circumstances for which students can be exempted from the regularly scheduled exam date. In the event of a student’s inability to attend a scheduled examination due to sudden illness, extreme family circumstance or significant professional obligation, the student is required to inform the Associate Dean for Student Affairs prior to the examination. If the issue is sudden illness, the student must also be evaluated by the Student Health Service. In the event that the student cannot reach the Associate Dean for Student Affairs, the student should contact the relevant course master.

At his or her discretion, the Associate Dean for Medical Student Education may occasionally approve an exam date change for the entire class if the need arises, but this is an exception, as the complete schedule is reviewed prior to the start of each academic year by course masters and student representatives.

D. At the conclusion of each academic year students receive a grade report which indicates the grade achieved in each course. When all the official grades have been received, the official transcript, in addition to listing courses and grades achieved, lists the grade distribution in each course (with the exception of selective and elective courses).

E. At the annual end-of-year CAPES meeting, the Committee will vote to recommend promotion of students who have successfully completed all the requirements of the current academic year to the studies of the subsequent year.

F. Prior to graduation, students are required to complete and pass all required coursework and examinations. Occasionally students are permitted to complete equivalent coursework at other institutions with the permission of the responsible department and written notification to the Registrar.

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Grading System

A. First Year

Courses in the first-year curriculum are evaluated on a Pass (P) or Fail (F) basis. For purposes of the official grade records of the School of Medicine, grades used for the first year are:

P = Pass, indicating satisfactory performance

F* = Fail

E = Temporary grade, makeup of failed exam pending

I** = Incomplete, temporary grade pending completion of course requirements, replaced with an F if not removed within one year

L = Successful audit

NG = Course credit earned, students not graded

W = Withdrawal from a course

Z = Unsuccessful audit

Failure of any examination which comprises a significant portion of the final grade (typically 20% or more) must be reported by the course master to the Associate Dean for Student Affairs. In the event of a failure of a single exam within the course, the course master may allow one attempt at remediation of this examination. The scheduling of a remedial examination will be agreed upon by the course master and student but in general should not extend beyond 30 days after the end of the course or academic year, whichever occurs first. Days of recess for Winter Break or Spring Break will not be counted in the 30 days. A grade of E will be submitted by the course master if the remedial examination is not accomplished within the course dates. This grade will stand on the academic record until it is replaced with a valid final grade of Pass or Fail. Grades of E that are not resolved within 30 days will be replaced with a grade of Fail (F). If the student successfully remediates the examination, and has otherwise passed the course, a Pass (P) will be recorded by the Registrar. A student may remediate only one examination in any course.

*Any grade of F remains on the student’s academic record. When the course is repeated or remediated the new grade will appear as a separate entry in addition to the failing grade.

**Incomplete (I) indicates that, because of a delay excused by the course master, the student has not completed the requirements to pass a course.

B. Second and Subsequent Years

For purposes of the official grade records of the School of Medicine, the following grades are used for subsequent years:

H = Honors, reflecting a truly outstanding performance

HP = High Pass, awarded for excellent/very good work

P = Pass, indicating satisfactory performance

F* = Fail

E** = Temporary grade, makeup of failed exam pending

I*** = Incomplete, temporary grade pending completion of course requirements, replaced with an F if not removed within one year

Cr#/NCr# = Credit/No Credit for some second-year courses

L = Successful audit

NG = Course credit earned, students not graded

W = Withdrawal from a course

Z = Unsuccessful audit

*Any grade of F remains on the student’s academic record. When the course is repeated or remediated the new grade will appear as a separate entry in addition to the failing grade.

A failing grade for clinical clerkships will be recorded on the official
educational record when a student fails the subject examination (defined as scoring at less than the 10th percentile as reported by the NBME) for the second time. A failing grade will be recorded when a student fails the clinical portion of the clinical clerkship or elective. In both events, the failing grade remains on the student’s official educational record. When the course is remediated the new grade will also appear on the student’s official educational record.

**In clinical clerkships which have a subject examination, students must score at or above the 10th percentile of the national pool of students taking the examination to pass the clerkship. If a student fails the subject examination once, the grade of E will be recorded. Upon successfully retaking the subject examination the new grade will replace the grade of E on the permanent academic record. If the shelf examination is failed a second time, the grade of F is recorded on the permanent academic record.

***Incomplete (I) indicates that, because of a delay excused
by the course master, the student has not completed the requirements to pass a course.

C. Grade Reporting

Final grades will be submitted to the Registrar by course masters within ten (10) working days of the final examination or final class meeting for the first two years. For third and fourth years, grades are due within ten (10) working days of the receipt of standardized examination scores or the last day of the rotation if no examination is given. A web-based University system, WEBSTAC, provides timely access to grades for the first two years. Grades and evaluations of student clinical performance are submitted on a standardized form and are available for review in the Office of Student Affairs throughout the academic year. Final grades for the clinical clerkships and electives are recorded in the University student information system at the end of the academic year and are subsequently available on WEBSTAC, which is updated quarterly. A paper copy of final grades is available upon request from the Registrar’s Office.

D. Grade Point Average, Class Ranking and Grade Distributions

The School of Medicine does not calculate grade point averages. Hours of credit appearing on the transcript reflect clock hours scheduled for the course or clinical rotation. For the purpose of residency applications only, students are placed in the upper, middle or lower third of the class according to a formula which considers weighting of courses and each academic year. This ranking is not recorded on the permanent academic record and therefore does not appear on transcripts. It may appear in the student’s dean’s letter. At the conclusion of the academic year, when all the official grades have been received, the official transcript, in addition to listing courses and grades achieved, gives the grade distribution in each course with the exception of elective and selective courses.

E. Grade Appeals

A student who wishes to appeal his/her grade with the course master should file his/her request for review by completing the grade appeal form which includes the basis for the appeal. This should be filed within 30 days of the course completion. If reasons beyond the student’s control delay the resolution of the appeal past the 30-day deadline, the Registrar must be notified so that the final transcripts, grade distributions and class rankings for match can be held pending resolution of the matter. If this notice is not filed with the Registrar prior to the deadline, the new grade cannot be accepted. Students participating in the residency match should also notify the office of career counseling that a grade appeal is in process. The resolution of the appeal will be noted on the grade appeal form and forwarded to the Registrar and Associate Dean for Student Affairs. A copy of the grade appeal form is available in the Registrar’s Office and is also included in this document.

NO GRADE CHANGES ARE PERMITTED FOR THE ACADEMIC YEAR AFTER JULY 15.

Grade Appeal Form

Please see Appendix A in the "Rules Governing Review of Student Performance" booklet.



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Individual Study Program

The educational program is designed to assist the specialized needs of all medical students in an individualized and personalized manner. Tutorial assistance is available to any student at any time as detailed below. Occasionally students who have difficulty in handling the normal academic course load will enter an Individual Study Program (ISP), requiring five years to complete rather than four years.
The following rules govern students engaged in an ISP:

A. The intent of an ISP is to optimize the prospect that the student will successfully complete the curriculum.

B. Entry into an ISP may occur in one of three ways: 1) a student may request an ISP, or after careful consideration of the student’s academic performance at intervals throughout the curriculum, the CAPES may either 2) recommend or 3) require entry into an ISP.

C. The specific program of any ISP (i.e. the content and sequences of courses) will be determined by the student and the Associate Dean for Student Affairs with input from relevant course masters and the CAPES. The specific recommendations of the CAPES will generally be adopted. The plan for execution of an ISP, once established, will be recorded in the student’s file in the Registrar’s office and a copy provided to the student.

D. Unless extenuating circumstances exist, ISP students are required to take the examinations for a particular course in their usual temporal relationship to the coursework. Requests for consideration of unusual circumstances should be recorded in the student’s file in the Registrar’s office.

E. In the event that a single Fail or Incomplete grade is recorded for a student after entry into an ISP, the CAPES will again review the student’s record. The consequences may include remediation, repeat of the course or dismissal.

F. At the completion of the time for their ISP, ISP students who have not successfully completed and received a grade of Pass or above in the usual courses of the first- and second-year curricula by the start of the second six-week period in the year of the clinical clerkship will be dismissed from enrollment in the School.

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Tutorial Assistance Program

Students experiencing difficulty in any course may request tutorial assistance. Such requests should initially be directed towards the course masters and thereafter to the Associate Dean for Student Affairs. Students who are repeating courses will be offered the opportunity for tutorial assistance. The CAPES may also require it. There is no charge to the student for tutorial assistance.

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Indications for Review of Academic Performance

General

“Indications for Academic Review” refers to guidelines used at the School in the event that a student fails a course or fails to complete a course in the requisite time.

A. In the event of any initial failure of a course offered at the School, the student will meet with the Associate Dean for Student Affairs to formulate a plan to remediate such failure.

B. If the Registrar has recorded a Fail or Incomplete grade in two or more courses in a single year or cumulatively three courses between years, the student’s academic performance will be referred to the CAPES for review and determination of a course of action.

C. Refer to The Individual Study Program (ISP) section for guidelines pertaining to students engaged in an ISP.

D. When the performance of a student is referred to the CAPES for potential academic review, the following rules will apply:

1. No student may take more than three years to complete the coursework required for the first two years. The end of such a “three year” period, is defined as 36 months from the date of matriculation to the School. Time periods included in a “Leave of Absence” are not counted in these 36 months.

2. In the absence of extenuating circumstances, no student may take more than two academic years to complete the coursework required in the first year curriculum.

3. The maximum number of attempts to pass any individual course during enrollment in the School, including time in an ISP, will be three.

E. Throughout the enrollment of a student it is within the jurisdiction of the CAPES to terminate the enrollment of a student who has demonstrated serious academic failure or breaches of professionalism.

First Year

A. Failure of any examination which comprises a significant portion of the final grade (typically 20% or more) must be reported by the course master to the Associate Dean for Student Affairs. In the event of a failure of a single exam within the course, the course master may allow one attempt at remediation of this examination. A student may remediate only one examination in any course.

B. If a student has received a Fail/E grade in a single first-year course, the Associate Dean for Student Affairs will meet with the student to formulate a plan from the following options:

1. Take a re-examination in the course at a time prescribed by the course master. The scheduling of a remedial examination will be agreed upon by the course master and student but in general should not extend beyond 30 days after the end of the course or academic year, whichever occurs first. Days of recess for Winter Break or Spring Break will not be counted in the 30 days. A grade of E will be submitted by the course master if the remedial examination is not accomplished within the course dates. This grade will stand on the academic record until it is replaced with a valid final grade of Pass or Fail. Grades of E that are not resolved within 30 days will be replaced with a grade of Fail (F). If the student successfully remediates the examination, and has otherwise passed the course, a Pass (P) will be recorded by the Registrar. A student may remediate only one examination in any course.

2. Enroll in and successfully complete, at the level designated by the course master, a summer course at a different institution, such course being completed and passed by the beginning of classes for the second year.

3. A student who, for a single course, fails the re-examination taken to remediate a failed course or fails to successfully complete an approved summer course will be referred for the CAPES to review and propose a recommended course of action. The CAPES may require such a student to enter an ISP or may terminate enrollment. Alternatively, the CAPES may permit a re-examination. If this re-examination is failed enrollment will be terminated.

C. A student for whom the Registrar has recorded a Fail/Incomplete grade in two or more courses during the first year will be referred to the CAPES for determination of a course of action. The Committee may decide to require that the student enter an ISP, or to permit the student to take re-examinations, if a re-examination has not already been taken, in the courses for which Failed/Incomplete grades have been recorded. Such re-examinations will generally occur during the last week of the inter-academic year break. If such a re-examination is failed, the student may be required to enter an ISP or be dismissed from enrollment in the School.

D. The Associate Dean for Student Affairs may also request that the CAPES review performance of a student who has demonstrated poor academic performance, either by demonstrating poor academic performance in two or more courses at interval evaluations conducted throughout the course, or by failing two or more examinations within one course. In such instances the CAPES may recommend a course of action.
If Fail/Incomplete grades have been recorded for two or more courses or a single re-examination, the CAPES may require that a student enter an Individual Study Program or that enrollment in the School be terminated. If a student has failed three attempts to pass a course, enrollment will be terminated.

E. All first-year courses must be completed before the start of the next academic year.

Second Year

A. The Associate Dean for Student Affairs will meet with students
in the following categories regarding taking a re-examination, according to the schedule listed under the next section (B):

1. a student for whom a Fail or Incomplete grade has been recorded in a single interval examination in a year-long course, OR

2. a student for whom a Fail or Incomplete grade has been recorded in one or two block-long courses.

B. Re-examinations in complete courses in Pathology or Clinical Medicine will generally be offered during the last week of the inter-academic year break, prior to entry into the third year. Re-examinations for students who have failed one or two block-long courses will be generally offered at a time determined by the course master and the Associate Dean for Student Affairs. All re-examinations must be offered to students and completed by them prior to the start of the next academic year.
Students who fail a re-examination of a single course will be referred to the CAPES to determine a course of action. The CAPES may decide that the student must enter an ISP. Alternatively, a re-examination may be offered. If the re-examination is failed, enrollment will be terminated.

C. Students in the second year for whom the Registrar has recorded Fail/Incomplete grades under the following categories will be referred to the CAPES for review and resolution of a recommended course of action:

1. one year-long course OR

2. three or more block-long courses OR

3. an interval examination in one year-long course and two block-long courses OR

4. an interval examination in two year long courses OR

5. students for whom the Registrar has recorded a Fail/Incomplete grade in any re-examination.

D. At review by the CAPES for students referred to above, the Committee may decide to permit the student to take re-examinations, if a re-examination has not already been taken, in the courses for which Failed/Incomplete grades have been recorded. Such re-examinations will generally occur during the inter-academic year break. The CAPES may allow the student to defer beginning the clinical rotations so that re-examinations may be taken up to 6 weeks after the beginning of the usual cycle of clinical clerkships. Such extra time, used for study and preparation, will ordinarily mean that the student will not have the usual unscheduled time in the elective year. In the event that a Fail/Incomplete grade is recorded at a re-examination, the CAPES may require that a student enter an Individualized Study Program or that enrollment in the School of Medicine be terminated.
In the event that the CAPES decides not simply to permit re-examination, the CAPES may require that the student enter an Individualized Study Program as detailed below, or that enrollment in the School be terminated.

E. No student will be permitted to begin clinical rotations of the third year until all first- and second- year courses have been successfully completed.

Cumulative Academic Review/Academic Warning

Prior to promotion to the clinical year, the CAPES will review the cumulative academic record of each student brought forth by the Associate Dean for Student Affairs to determine whether the student’s academic performance justifies advancement to the clinical phase of the medical education without warning. Typically, three (3) remediated examinations and/or failing grades during the first two years of the curriculum would raise concerns about the student’s fund of knowledge and readiness to participate in clinical care of patients. Students with overall records indicating such serious academic failure may be dismissed, may be required to repeat specific preclinical course work or may be advanced to the third year with academic warning.
Upon written notification of advancement with academic warning into the clerkship year, the student must meet with the Associate Dean for Student Affairs

A. to review the planned clerkship schedule in order to consider schedule changes to facilitate successful clinical experiences;

B. to pursue available resources for academic intervention; and

C. to address any additional problems that may arise. It is recommended that these students seek tutorial assistance through each clerkship course master.

A third-year student who has received an academic warning after the first two years and then fails any component of a clinical clerkship may be dismissed from the school.

Third and Subsequent Years

A. Regarding performances beyond the second year, the Associate Dean for Student Affairs will meet with a student for whom a single Fail/Incomplete/E grade has been entered regarding the requirements stipulated by the relevant course master to remediate the grade entered. Options will generally include a re-examination or repeating all or a portion of the course. If a Fail/Incomplete grade has been entered following the prescribed remediation, the student will be referred to the CAPES to determine a course of action. When such a student is referred to the CAPES, the CAPES may permit a re-examination or repeating all or a portion of the course. If the course is failed a third time, enrollment in the School of Medicine will be terminated.

B. A student beyond the second year for whom the Registrar has recorded two or more failing grades in the clinical rotations or electives will be referred to the CAPES for review and proposal of a course of action.

C. Any student who fails to achieve a passing grade (defined as greater than or equal to 10th percentile as reported by the NBME) on any two or more subject (shelf) examinations conducted as part of the evaluation of clerkships will be referred to the CAPES for review and proposal for a course of action.

D. The Associate Dean for Student Affairs may also request that the CAPES review performance of a student who has demonstrated poor academic performance in two or more courses at interval evaluations conducted throughout the course when such performance has been reported to the Associate Dean. In such instances, the CAPES may recommend a course of action.

E. For students referred to the CAPES, the Committee may endorse or amend the remediation recommendations of course masters from whom Fail/Incomplete grades have been entered. In the event that a student fails such a course of remediation, as defined by the course master and approved by the CAPES, the CAPES may require that the rotation be repeated or that enrollment of a student in the School be terminated. Students will generally be permitted three attempts to achieve a passing grade in any clerkship course. If three failing examination grades or final clerkship grades have been submitted for a course, enrollment will be terminated.

F. A student who advances to the clinical years with academic warning and who fails any component of a clerkship will be
referred to the CAPES for action including possible termination.
See Cumulative Academic Review/Academic Warning.

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Procedures Concerning Review of Academic Performance

Actions for Academic Review shall be referred to the CAPES for consideration by the Associate Dean for Student Affairs or Registrar’s office.

A. The Associate Dean for Student Affairs will convene a meeting of the CAPES. He/she shall notify the student in writing of the course(s) for which Academic Review is scheduled and the date and time at which the CAPES will address the matter.

B. The Associate Dean for Student Affairs, the Registrar, the course master(s) or their designated representatives, shall present the matter to the CAPES in a closed and confidential CAPES meeting.

C. For students referred for course failure, the CAPES meetings will have, in addition to the grade report forms for the course for which the student is referred to the CAPES, a complete record of the student’s academic performance and the student file.

D. Seven voting members must be present to consider items of academic disciplinary action (i.e., dismissal from enrollment or required entry into Individual Study Program).

E. All students 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 to appear at 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 filing a professionalism concern form. Meetings may
be rescheduled at the discretion of the CAPES Chair.

F. The student shall be permitted, upon request in advance of the CAPES meeting, to appear before the CAPES on his or her own behalf. At the student’s request, he or she may be accompanied by a member of the faculty or staff of the School of Medicine for guidance and support. Alternatively, again following request, the student may be accompanied by a fellow student enrolled in the School of Medicine.

G. A record of the CAPES meeting shall be preserved for purposes of review by the School of Medicine’s Appeals Committee, as necessary.

H. Action taken by the CAPES for poor academic performance may include dismissal. Sanctions short of dismissal from the school include but are not limited to warning, probation, defined penalty, and suspension. Additional consequences may include a program of remediation or additional oversight. The CAPES may also rule that the Dean’s letter/MSPE should include a citation regarding the matter. The CAPES decision shall be by simple majority vote unless the vote is for dismissal, in which case, a three-fourths majority will be required. The decision of the CAPES shall be communicated, in writing, to the student by the Registrar’s office.

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

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Indications for Review of Professional Integrity

Matters involving possible breaches of professional integrity shall be brought to the attention of the Associate Dean for Student Affairs. The individual(s) raising the questions of possible misconduct shall present them in writing to the Associate Dean for Student Affairs by completing a Professionalism Concern Form providing other detailed written information as necessary. Individuals submitting such forms are reminded of the need for confidentiality regarding all matters of misconduct.

Behaviors inappropriate to the medical profession shall include, but are not limited to breaches of personal confidence and trust, including cheating or unauthorized use of materials during examinations; abuse, misrepresentations or other seriously improper conduct in relation to patients or colleagues including breaches of confidentiality; other misconduct; illegality; substance abuse; failure of judgment including that related to non-compliance in the treatment of any personal medical condition; and misrepresentation or failure in personal actions or in meeting obligations, so as to raise serious unresolved doubts about the integrity of the student to enter the practice of medicine. See Guiding Principles of Professionalism below.

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Procedures Concerning Review of Professional Integrity

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 or the Associate Dean for Medical Student Education to review the complaint 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 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. Seven voting members must be present to consider items of academic disciplinary action (i.e., dismissal from enrollment or required entry into Individual Study Program).

C. 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.

D. 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.

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 academic 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. During the meeting the student will have access to the evidence presented and may present evidence and witnesses on his or her own behalf.

F. 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.

G. If the person who has submitted the Professionalism Concern Form which is being discussed by the CAPES is a member of the CAPES, that member will provide information about the professionalism issue to the CAPES, but will then recuse him/herself from voting.

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 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 Dean’s letter/MSPE should include a citation regarding the matter. A simple majority will prevail, except when the motion is to dismiss from the school where three fourths majority will be required.

I. 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 (10) working days.

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

K. All witnesses who appear before the Committee are assured that there will be no personal repercussions from their testimony.

L. 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 applies.

M. 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.

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Appeals Process for the CAPES Decisions

The School of Medicine has the right and responsibility to assure that each student, during the time of enrollment, demonstrates levels of academic achievement and ethical stature appropriate to the practice of medicine. The School must also ensure provision of fairness in discharging those rights and responsibilities.

Within twenty (20) days of the date on which an Academic Disciplinary Action decision is rendered by the CAPES, the student may request, in writing to the Registrar, that the School of Medicine’s Appeals Committee review the record of the CAPES decision or that the Appeals Committee request that the CAPES consider additional information which was not previously presented to the CAPES. The letter to the Registrar should include the basis for the appeal as well as any new relevant information.

An Appeals Committee, composed of faculty members appointed by the Dean of the School of Medicine, shall be created to review appeal of decisions by the CAPES. Members of the CAPES Committee may not be appointed to the Appeals Committee. A quorum of this committee shall consist of five (5) members.

The Appeals Committee shall review the record of the CAPES decision solely to determine whether the pertinent CAPES procedures were followed and whether all relevant information was considered by the CAPES. If the appeal is based on a contention that all relevant information was not presented to the CAPES, the appeal must provide the Appeals Committee with adequate reason why the student did not present this information at the CAPES meeting in question. In all cases, the Appeals Committee shall not substitute its opinions of the merit of matter and appeal for those of the CAPES.

On all appeals the Appeals Committee may either remand the matter to the CAPES for reconsideration with its explanation for the remand, or deny the appeal. If the matter is remanded to the CAPES, all documents, minutes of the Appeals Committee meeting, and information submitted by or for the student in support of the appeal will be made available to the CAPES. The Appeals Committee shall provide its decision in writing to the Dean, the student, the CAPES, the Associate Dean for Student Affairs and the Registrar. The Appeals Committee shall determine whether the student may continue his or her curriculum pending its review of a CAPES decision.

Within twenty (20) days of the date of an Appeals Committee’s decision or referral back to the CAPES, the student may request, in writing, that the Dean of the School of Medicine review the decision of the Appeals Committee. The decision of the Dean shall be final.

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Last Modification: 08/03/2009