The Graduate Review Board consists of a Chair and Secretary, both elected by the GSC from among its members, and the graduate student representatives elected by the graduate student body. The GRB representatives are elected in the same way as are the GSC representatives. Neither the Chair nor Secretary can be a GRB representative, and neither has a vote on GRB panels.
A suspected violation is reported to the Chair who with the Secretary then conducts a preliminary investigation by collecting any material evidence and talking to the suspected violator, any witnesses, the persons who made the report, and anyone else having relevant information. If, in the opinion of the Chair and Secretary, no violation has been committed, or the incident does not fall within the bounds of the Honor System, the matter is dropped. However, if reasonable suspicion exists, the Chair and the Secretary select a GRB panel. The panel consists of the Chair, the Secretary, and at least eight voting members chosen from the GRB representatives as prescribed by the GSC By-Laws.
During the preliminary hearing, the name of the suspected violator remains confidential, and no witnesses are called. The Chair describes the suspected violation, summarizes all evidence, and recommends that the panel either formally consider or formally dismiss the case. If a simple majority of the panel votes to consider the case, a formal hearing will be convened at a later date. Otherwise, the Chair dismisses the case, all records are destroyed, and the case can be reopened only if there is new and substantial evidence and a new report has been made.
As soon as the panel votes to consider a case, the Chair and the defendant jointly appoint a member of the panel as counselor. The counselor's purposes are to explain procedures to the defendant and to keep him informed of the panel's deliberations when he is not present. However, the counselor does not serve as an advocate, and any information given to or questions asked of him are not privileged. The counselor remains a voting member of the GRB panel. The defendant may waive this right.
During a formal hearing, the defendant's name is disclosed, all evidence concerning the current suspected violation is examined, and witnesses may be called. Any voting or non-voting member of the panel may question the witnesses or the defendant. The defendant is entitled to require witnesses to appear on his or her behalf, to be accompanied by a person associated with Caltech of her or his choosing (not an attorney) to assist him, and to examine the evidence. The defendant may request that he and his representative be present during all aspects of the hearing except the panel's private deliberations. Witnesses may be present only during their questioning. No one else may be present during the hearing. The defendant or his representative are permitted to submit questions to the panel on information presented by witnesses and on documents considered by the panel. The defendant or his representative may also ask questions when authorized by the Chair. The Chair will not ! permit formal cross-examination and will control the extent and manner of questioning. After all evidence and testimony have been presented, the panel votes on the case and informs the defendant of the result. If fewer than 3/4 of the panel members return guilty votes, the defendant is declared innocent, the minutes are destroyed, and no further hearing of the GRB will be held for this report. If 3/4 or more of the panel vote for guilt, the defendant is found guilty. At this point, the files pertaining to any prior convictions currently under probation are read to the panel by the Chair. The panel then decides by a 3/4 vote on an action to be recommended to the Dean of Graduate Studies, and this recommendation is read to the convicted violator. The panel may recommend probation, formal censure, or any other actions it considers appropriate.
The minutes of the hearing are kept by the Secretary. The minutes will be maintained in a locked file by the Dean of Graduate Studies, and only the Dean (or his designee), the GRB Chair, and the GRB Secretary will have access to these files. A convicted violator may have access only to that part of the files that pertains to him.
The recommendation delivered to the Dean consists of the minutes, the panel's current recommended action, and copies of previous recommendations (if any exist) for this violation. No case will be considered completed until the Dean has approved and put into effect a complete and current GRB recommendation.
In extraordinary cases when the Dean and the GRB are unable to agree on a recommendation, or when the GRB cannot decide on a recommendation, the Dean submits the case to the Honor System Appeal Board. The Appeal Board consists of the Vice President for Student Affairs, two faculty members appointed by the Chairman of the Faculty (excluding anyone who might jeopardize the violator's right to complete his or her education in an unprejudiced atmosphere, such as the violator's advisor or department chairman), and two graduate students appointed by the GSC Chair (excluding anyone involved in the case under consideration). A majority vote of the Appeal Board will decide the final action taken.
Two important features of GRB operation should be noted. First, all proceedings or actions of the GRB which could lead to the discovery of a defendant's identity are secret. The entire GRB and any additional persons involved in a case hearing are bound to secrecy, and violations of this secrecy will be considered a violation of the Honor System. The exception to the rule of secrecy is that an individual defendant is free to make public as much about his or her case (but not that of any co-defendants) as he or she wishes. If a defendant makes information public, witnesses in the case and the accuser(s) are no longer bound to secrecy, and the GRB panel, by a three-fourths (3/4) vote of approval, may make public statements about the case. Second, in keeping with the primary goal of the GRB, each case is considered individually, and there are no pre-established penalties for specific violations. Every effort is made to help a student remain in the Caltech Community.
Policy statements are official statements by the GRB pertaining to the Honor System's coverage of specific areas, or to details of GRB operations not specified in the GSC By-Laws. Although policy decisions are made only after careful deliberation, it is recognized that some latitude may be required in their application in order to be consistent with the spirit of the Honor System. The GRB may invite the Institute public to attend policy meetings which do not involve a suspected violation.