X. Grievance Resolution Process
Overview of the Grievance Resolution Process
Upon receiving a report of a violation of this policy, the Title IX/EEO Coordinator (or designee) will begin a preliminary review (described below). Upon completion of the preliminary review, the Title IX/EEO Coordinator (or designee) will determine whether there is reasonable cause to initiate the grievance resolution process outlined below.
Definitions and Important Information
1. Parties: Under this policy, the “complainant” means an individual who is alleged to be the victim/survivor of conduct that could constitute discrimination, harassment or sexual misconduct as defined in this policy. “Respondent” means an individual who has been reported to be the perpetrator of conduct that could constitute discrimination, harassment or sexual misconduct as defined in this policy.
Note: Parents and guardians who have a legal right to act on behalf of parties (i.e., the party is a minor) may do so, including by filing formal complaints.
2. Privacy : In the handling of inquiries and complaints under this policy, the University will protect confidentiality to the extent consistent with the University’s legal obligations to take all reasonable steps to protect the welfare of the parties and the University community. See also Section VI above regarding privacy.
3. Presumption of non-responsibility: The respondent is presumed not responsible for the alleged conduct and a determination regarding responsibility is made at the conclusion of the grievance process.
4. Formal complaint: Under this policy, “formal complaint” means a document filed by a complainant or by the Title IX/EEO Coordinator (or designee) alleging a violation of this policy against a respondent and requesting the University to investigate the allegation of a policy violation. At the time of filing a formal complaint, a complainant must be participating in or attempting to participate in the education program or activity of the University with which the formal complaint is filed. A formal complaint may be filed with the Title IX/EEO Coordinator (or designee) in person, by mail, by telephone, by electronic mail, by using the contact information listed for the Title IX/EEO Coordinator (or designee), or by any other means that results in the Title IX/EEO Coordinator (or designee) receiving the person’s verbal or written report. As used in this paragraph, the phrase “document filed by a complainant” means a document or electronic submission (such as by electronic mail or through an online portal provided for this purpose by the University) that contains the complainant’s physical or digital signature, or otherwise indicates that the complainant is the person filing the formal complaint. Where the Title IX/EEO Coordinator (or designee) signs a formal complaint, the Title IX/EEO Coordinator (or designee) is not a complainant or otherwise a party.
Note: The Title IX/EEO Coordinator (or designee) will promptly contact a known complainant to discuss the availability of supportive measures, consider the complainant’s wishes with respect to these measures, inform the complainant of the availability of these measures with or without the filing of a formal complaint, and explain to the complainant the process for filing a formal complaint.
5. Method of communication with University community: Under this policy, the University email system shall be the University’s official means of communication with all University students, employees and faculty unless an alternative means of communication is approved by the Title IX/EEO Coordinator (or designee). These University members are responsible for all information and notifications communicated from the University via their University email accounts. To comply with this policy, students, employees, and faculty are encouraged to check their University email accounts on a regular basis.
6. Advisors: Each party has the right to choose and consult with an advisor of their choice throughout the reporting, investigation, and grievance resolution process. The parties may be accompanied by their respective advisors at any interview, meeting or proceeding related to the investigation and grievance resolution process. While the advisors may provide support and advice to the parties at any meeting and/or proceeding, their role is passive and they may not speak on behalf of the parties or otherwise participate in such interviews, meetings or proceedings, except to conduct cross-examination at a hearing as described herein below. An advisor shall keep all information acquired during the process confidential. In the event a party does not have an advisor of choice, the University will provide a party, upon request, with an advisor without fee or charge to the party. Moreover, if a party does not have an advisor present at a hearing, the University will provide an advisor for the party for the purpose to conduct cross-examination on behalf of that party without fee or charge to that party.
The University reserves the right to dismiss an advisor who fails to follow this policy and the guidelines promulgated for advisors by the University. Advisors will be provided written guidelines which they will be required to acknowledge and adhere to throughout the process.
Note: A Confidential Advocate employed through the University may not serve as an advisor but may appear as a support person at any interview, meeting or proceeding related to the investigation and grievance resolution process. Their role is also passive, and they may not speak on behalf of the parties or otherwise participate in such interviews, meetings, or proceedings.
7. Supportive Measures: Supportive measures means non-disciplinary, non-punitive individualized services offered as appropriate, as reasonably available, and without fee or charge to the complainant and/or the respondent before or after the filing of a formal complaint or where no formal complaint has been filed. Such measures are designed to restore or preserve equal access to the University’ education program or activity without unreasonably burdening the other party, including measures designed to protect the safety of all parties or the University’s educational environment, or deter discrimination or sexual misconduct. The University will maintain as confidential any supportive measures provided to the complainant or respondent, to the extent that maintaining such confidentiality would not impair the ability of the University to provide the supportive measures.
The Title IX/EEO Coordinator (or designee) is responsible for coordinating the effective implementation of supportive measures. The Title IX/EEO Coordinator (or designee) will notify the complainant and respondent of his/her options for supportive measures. Additionally, the Title IX/EEO Coordinator (or designee) has sole discretion to implement or stay a supportive measure imposed under this policy and to determine its conditions and duration. The measures that the University implements will vary depending on the facts of each case. Factors that might be considered during this process include, but are not limited to the following: the specific need expressed by the complainant or respondent; the age of the students involved; the severity or pervasiveness of the allegations; any continuing effects on the complainant and respondent; whether the complainant and respondent share the same residence hall, dining hall, class, transportation or job location; whether other judicial measures have been taken to protect the complainant (e.g., civil protection orders); and other similar concerns. The University will keep interim measures as confidential as possible, provided the confidentiality does not impair the University’s ability to provide the supportive measures.
These supportive measures may include, but are not limited to:
• Mutual restrictions on contact between the parties (e.g., Imposition of a “no-contact order”).
• Full or partial suspension of a student during the pendency of the case.
• Full or partial paid or unpaid administrative leave of a non-student employee during the pendency of the case. A leave of absence may occur, but only to the extent that such removal conforms with the requirements of the Individuals with Disabilities Education Act (IDEA), Section 504 of the Rehabilitation Act of 1973 (Section 504), or the Americans with Disabilities Act (ADA). Referral to counseling and health services.
• Extensions of deadlines or other course-related adjustments (e.g., Rescheduling of exams and assignments).
• Rescheduling of dining times.
• Modification of class schedule, including the ability to transfer course sections or withdraw from a course.
• Modification of work schedule or job assignment.
• Modification of campus housing as available and extracurricular activities.
• Providing campus escorts and transportation accommodations.
• Denying access to campus housing, facilities, events and/or activities.
• Any other similar measures that can be used to achieve the goals of this policy.
Emergency Removal:
The University may remove a respondent from an education program or activity on an emergency basis under this policy, provided that: (1) the University undertakes an individualized safety and risk analysis; (2) determines that an immediate threat to the physical health or safety of any student or other individual arising from the allegations of sexual misconduct justifies removal; and (3) provides the respondent with notice and an opportunity to challenge the decision immediately following the removal. Removal of a student on an emergency basis may occur, but only to the extent that such removal conforms with the requirements of the Individuals with Disabilities Education Act (IDEA), Section 504 of the Rehabilitation Act of 1973 (Section 504), or the Americans with Disabilities Act (ADA).
Accordingly, when necessary to protect the safety of the complainant and/or other University community members, the University may issue a full or partial suspension to the student respondent on an interim basis until the matter is resolved. Likewise, the University may issue a paid or unpaid leave of absence to an employee/faculty respondent on an interim basis until the matter is resolved.
Moreover, in the event any cleric or religious, for whom there is reasonable cause to suspect unwelcome sexual contact against a student, will be immediately suspended from private interactions with students until such time as the matter is resolved. So too, in the event any non-cleric employee for whom there is reasonable cause to suspect unwelcome sexual contact against a student, will be immediately suspended from private interaction with students until the matter is resolved or the Title IX Coordinator (or designee) determines such restrictions are no longer needed. A respondent will have the opportunity to meet with the Title IX/EEO Coordinator (or designee) and be heard prior to a full or partial suspension or leave of absence being imposed.
Nothing in this policy shall be construed as restricting the University’s ability to remove a respondent under other applicable University policies, should the provisions of such policies be implicated by the respondent’s conduct.
All individuals are encouraged to report concerns about the failure of another to abide by any restrictions imposed by a supportive measure. The University will take immediate action to enforce a previously implemented measure and disciplinary sanctions can be imposed for failing to abide by a University-imposed supportive measure. Upon a preliminary finding by the Title IX/EEO Coordinator (or designee) that an individual failed to abide by an imposed supportive measure, the matter will be referred to the respective University Vice President (for Student Life, Human Resources and/or Academic Affairs) to address the alleged violation in accordance with the applicable student, employee and/or faculty handbooks and impose the appropriate disciplinary sanctions as outlined in the respective handbook.
8. Notice to Parties: The Title IX/EEO Coordinator (or designee) will contact the complainant if someone other than the complainant made the report. In cases in which someone other than the complainant made the report, the reporting party may have no further involvement in the process, except for a parent or guardian who has a legal right to act on behalf of a party. The Title IX/EEO Coordinator (or designee) will notify the complainant of available supportive measures (such as counseling services, medical and mental health services, victim advocacy services), the right to report/file a criminal complaint with local law enforcement, and the option to seek a protection/restraining order from a court of law.
If the grievance resolution process is initiated, the Title IX/EEO Coordinator (or designee) will notify the respondent that a formal complaint has been filed against him or her; inform the respondent of the nature of the complaint (which includes sufficient details such as identities of the parties involved in the incident, if known; the conduct allegedly constituting a violation of this policy; and the date and location of the alleged incident if known). The respondent will be provided a written copy a of the formal complaint and be provided sufficient time to prepare a response before an initial interview.
The notice to the parties must also include the following:
(a) A statement that the respondent is presumed not responsible until a determination is made and that such determination is made at the conclusion of the grievance process.
(b) A statement that the parties may have an advisor of their choice, who may, but is not required to be, an attorney. In the event a party does not have an advisor of choice, the University will provide a party, upon request, with an advisor without cost or fee. Nonetheless, if a party does not have an advisor present at a live hearing, the University must and will provide an advisor for the party to conduct cross- examination at the hearing without cost or fee.
(c) A statement that the parties may inspect and review evidence.
(d) A statement that the student, employee, and faculty handbooks prohibit making false statements or knowingly submitting false information.
(e) A statement that if the University later decides to investigate allegations not included in the initial notice, it will provide notice of the additional allegations to the parties.
(f) A statement that there are no restrictions for either party to discuss the allegations under investigation or to gather and present relevant evidence. However, the parties and their respective advisors will be required to sign a Non-Disclosure Agreement that is in compliance with all applicable laws only to the extent necessary to safeguard the integrity of the grievance process. The Non-Disclosure Agreement will be provided to the parties along with the notice and must be acknowledged by the parties.
The Title IX/EEO Coordinator (or designee) shall explain to both parties the avenues for informal and formal grievance resolution process action, including a description of the process and the relevant avenues to the complainant and respondent and provide each of them with a copy of this policy. The Title IX/EEO Coordinator (or designee) will provide the parties with written notice of the date, time, location, participants involved, and purpose of all hearings, investigative interviews, or other meetings with sufficient time for the party to prepare and participate.
9. General Rights of Complainants and Respondents:
• The right to be treated equitably with dignity and respect.
• The right to receive information about this policy.
• The right to a prompt and equitable investigation and resolution of allegations of prohibited conduct.
• The right to be notified of available supportive measures, resources, and services.
• The right to be informed of options to notify law enforcement authorities and the option to be assisted by the University in notifying such authorities if the individual so chooses. Filing a report with law enforcement does not prevent the University from proceeding under this policy.
• The right to be informed of the option to seek a protection/restraining order from a court of law.
• The right to have this policy and the procedures set forth herein followed.
• The right to protect confidentiality to the extent possible as allowed by the law and this policy.
• The right to reasonably available supportive measures, as described in these procedures.
• The right to freedom from retaliation for making a good faith report of prohibited conduct or participating in any proceeding under the policy.
• The responsibility to refrain from retaliation directed against any person for making a good faith report of prohibited conduct or participating in any proceeding under the policy.
• The responsibility to provide truthful information in connection with any report investigation, or resolution of prohibited conduct under the policy or these procedures.
• The opportunity to articulate concerns or issues about proceedings under the policy and these procedures.
• The right to timely notice of any meeting or proceeding at which the party’s presence is contemplated by these procedures.
• The opportunity to choose an advisor, including the right to have that advisor attend any meeting or proceeding at which the party’s presence is contemplated by these procedures.
• The right to written notice of an investigation, including notice of potential policy violations, allegations of the prohibited conduct, and grievance procedures.
• The opportunity to challenge the Title IX/EEO Coordinator (or designee), assigned investigator, person designated to facilitate an informal resolution, or any member of the Hearing Panel or Appeals Officer for conflict of interest or bias.
• The opportunity to offer information, present evidence, and identify witnesses during an investigation.
• The opportunity to be heard, orally and/or in writing, as to the determination of a policy violation and the imposition of any disciplinary sanction(s).
• The right to progress of the investigation and anticipated time to resolution.
• The right to an objective evaluation of all relevant evidence, both inculpatory and exculpatory.
• The right for credibility determinations that are not based on a person’s status as a complainant, respondent, or witness.
• The right that the Title IX/EEO Coordinator (or designee), Deputy Title IX/EOO Coordinators, investigators, persons who facilitate an informal resolution, any member of the Hearing Panel or Appeals Officers are trained on discrimination, harassment and sexual misconduct; definition of sexual harassment; the scope of the University’s education program or activity; and how to conduct an investigation and grievance process that includes how to serve impartially, including avoiding prejudgment, conflicts of interest and bias.
• The right that members of the Hearing Panel and Appeals Officer receive training on technology to be used at a live hearing, and training on issues of relevance, conflict of interest, bias, and evidence.
• The right that investigators receive training on issues of relevance to create an investigative report that fairly summarizes relevant evidence.
• The right that training materials do not rely on sex stereotypes and promote impartial investigations and adjudications.
• The right to review investigative documents, specifically witness interview summaries, papers submitted by either party or a witness, and the investigative report.
• The right to equal access to any information that will be used during Informal and/or Formal Resolution proceedings and related meetings.
• The right to reasonable time to prepare any response contemplated by these procedures.
• The right to written notice of any extension of timeframes for good cause.
• The right to prohibit questions seeking information and use of evidence that is protected under a legally or University recognized privilege, absent waiver of the privilege.
• The right to present witnesses and other inculpatory and exculpatory evidence.
• The right that the burden of proof and the gathering of evidence sufficient to reach a determination is not placed on the parties. However, the University will inquire of the parties those witnesses and evidence a party seeks to be considered in the grievance resolution process thereby allowing the investigator to follow up accordingly.
• The right for both parties to pose all relevant questions to the other party and to witnesses and an explanation of any decision to exclude questions as not relevant.
• The right to appeal a finding and/or disciplinary sanction.
• The right to written notice of the outcome of any Investigation, Informal and Formal Grievance Resolution Processes, and/or Request for Appeal.
10. Completion of Investigation Process: The University aims to bring all allegations to a prompt resolution within a reasonable period of time not to exceed ninety (90) calendar days from receipt of the original complaint through the grievance resolution process up to and including appeal, which can be extended as necessary for good cause by the Title IX/EEO Coordinator (or designee) with written notice to the parties with an explanation for the delay or extension.
11. Standard of Review: Decisions regarding whether or not a respondent is responsible for violating this policy will be based upon careful consideration of all available evidence presented and evaluated using a “preponderance of the evidence standard” (i.e., if it is “more likely than not” that the policy was violated).
12. Acceptance of Responsibility: The respondent may, at any time, elect to resolve the formal complaint by accepting responsibility for the prohibited conduct, in which case the Title IX/EEO Coordinator (or designee) will refer the matter to either: (i) the Vice President of Student Life (or designee) for students; (ii) the Vice President of Human Resources (or designee) for employees and all other individuals; or (iii) the Vice President for Academic Affairs (or designee) for faculty, to determine the appropriate disciplinary sanctions. As to respondent faculty members, if the proposed disciplinary sanction by the Vice President for Academic Affairs (or designee) includes suspension or dismissal of a tenured faculty member, the matter will be referred to the University’s President, who will decide whether to initiate the process set forth in the Faculty Handbook for imposition of such a disciplinary sanction.
13. Hearing Panel and Appeals:
Hearing Panel. A hearing panel is appointed when necessary according to the process described below. The Title IX/EEO Coordinator (or designee) will appoint a standing pool of trained members from the University faculty and staff and, in the discretion of the Title IX/EEO Coordinator (or designee), externally trained professionals with experience adjudicating cases of prohibited conduct under this policy. The Title IX/EEO Coordinator (or designee) will select at least three (3) members from this pool to serve on the Hearing Panel. The Title IX/EEO Coordinator (or designee), Deputy Title IX/EEO Coordinators, or the investigator(s) are prohibited from serving on the Hearing Panel. The Vice President of Student Life (or designee) will serve as the Chairperson of the Hearing Panel involving a complaint against a student. The Vice President of Human Resources (or designee) will serve as the Chairperson of the Hearing Panel involving a complaint against any employee or person who is not a student.
Appeals: Appeals will be reviewed by the Vice President of Finance (or designee).
14. Conflict of Interest/Bias: A complainant and/or respondent may challenge the participation of an investigator or panelist selected on the Hearing Panel and/or the person designated to review an appeal because of perceived conflict of interest or bias. Such challenges, including rationale, must be made in writing to the Title IX/EEO Coordinator (or designee) within 48 hours after receiving notification as to the identity of the investigator, panelist member and/or the person designated to review an appeal. The Title IX/EEO Coordinator (or designee) will have the sole discretion to determine whether such a conflict of interest or bias exists and whether an investigator, panelist member and/or the person designated to review an appeal should be replaced. If an involved University employee determines that he or she cannot apply these procedures fairly and impartially because of the identity of a complainant, respondent, or witness, or due to any other conflict of interest or bias, another suitable person will be assigned.
The decision of the Title IX/EEO Coordinator (or designee) relating to a conflict of interest/bias challenge may be appealed by filing a written appeal explaining the bases of the appeal with the University’s Title IX/EEO Coordinator (or designee) within seven (7) calendar days from the date of the decision. The appeal can be submitted to the Title IX/EEO Coordinator (or designee) via email, hand, or mail delivery. If the appeal request is not timely filed with the University’s Title IX/EEO Coordinator (or designee), the appeal will be dismissed, and the decision will stand. If an appeal is timely filed, the Vice President of Finance (or designee) will review the appeal and issue a decision within ten (10) calendar days from when the appeal was received; if the decision will take longer, the Vice President of Finance (or designee) will let the party/parties know. The decision of the Vice President of Finance (or designee) will be final.
15. Consolidation of Cases - Complaints Involving Multiple Parties: The University may consolidate formal complaints as to allegations for violations of this policy against more than one respondent, or by more than one complainant against one or more respondents, or by one party against another party, where the allegations of a policy violation arise out of the same facts or circumstances. The Title IX/EEO Coordinator (or designee) has the authority to consolidate the cases into a single complaint for investigation and resolution purposes.
16. Special Procedure for Complaints against University President or Title IX/EEO Coordinator: If a complaint involves alleged conduct on the part of the University’s President, the University’s Board of Trustees will designate an Investigating Officer. Based on the information gathered by the investigation, the Board of Trustees will conduct a hearing and render a determination. The determination of the Board of Trustees is final and not subject to appeal.
If a complaint involves alleged conduct on the part of the Title IX/EEO Coordinator (or designee), the University’s President will designate an Investigating Officer. Based on the information gathered by the investigation, the President will conduct a hearing and render a determination. The determination of the President is final and not subject to appeal.
Investigation Process:
Preliminary Review
Upon receiving notice of a report for a violation of this policy, the Title IX/EEO Coordinator (or designee) will begin a preliminary review. Upon completing the preliminary review, the Title IX/EEO Coordinator (or designee) will determine whether or not there is reasonable cause to initiate a formal investigation (see below) and whether or not there is reasonable cause to move toward adjudication through either the Informal Grievance Resolution Process or Formal Grievance Resolution Process as described below. At any point in the investigation, if it is determined that there is no reasonable cause to believe that this policy may have been violated, the Title IX/EEO Coordinator (or designee) has authority to terminate the investigation and end further proceedings under this policy; however, the case could be referred to other University offices where appropriate to address the alleged misconduct in accordance with the respective student, employee or faculty handbook.
Dismissal of a formal complaint
The University is required by law to dismiss a formal complaint under certain circumstances. If the conduct alleged in the formal complaint would not constitute a violation of sexual misconduct as defined in this policy even if proved, did not occur in the University’s education program or activity, or did not occur against a person in the United States, then the University must dismiss the formal complaint with regard to that conduct for purposes of sexual misconduct under Title IX. Nonetheless, the case could be referred to other University offices where appropriate to address the alleged misconduct in accordance with the respective student, employee, or faculty handbook.
Moreover, the University may dismiss the formal complaint or any allegations therein, if at any time during the investigation or hearing: a complainant notifies the Title IX/EEO Coordinator (or designee) in writing that the
complainant would like to withdraw the formal complaint or any allegations therein; the respondent is no longer enrolled or employed by the University; or specific circumstances prevent the University from gathering evidence sufficient to reach a determination as to the formal complaint or allegations therein.
Upon a dismissal required or permitted pursuant to this section, the University will promptly send written notice of the dismissal and reason(s) therefor simultaneously to the parties.
A dismissal of a formal complaint by the Title IX/EEO Coordinator (or designee)may be appealed by filing a written appeal, explaining the bases of the appeal, with the University’s Title IX/EEO Coordinator (or designee) within seven
(7) calendar days from the date of the dismissal decision. The appeal can be submitted to the Title IX/EEO Coordinator (or designee) via email, hand, or mail delivery. If the appeal request is not timely filed with the University’s Title IX/EEO Coordinator (or designee), the appeal will be dismissed, and dismissal decision will stand. If an appeal is timely filed, the Vice President of Finance (or designee) will review the appeal and issue a decision within ten (10) calendar days from when the appeal was received; if the decision will take longer, the Vice President of Finance (or designee) will let the party/parties know. The decision of the Vice President of Finance (or designee) will be final.
Note: At the discretion of the University, a respondent may not be permitted to withdraw or take a leave of absence from the University after the University receives a report of an alleged violation of this policy. The University reserves the right to proceed with an investigation regardless of a respondent’s request for a withdrawal or for a leave of absence from the University. Additionally, the University is not permitted to require as a condition of enrollment or continuing enrollment, or employment or continuing employment, or enjoyment of any other right, waiver of the right to an investigation and adjudication of formal complaints.
Informal and Formal Grievance Resolution Processes:
Informal Grievance Resolution Process:
After a formal complaint has been filed and at any time prior to reaching a determination regarding responsibility, the University may facilitate an informal grievance resolution process, such as mediation, that does not involve a full investigation and adjudication, provided that the University provides to the parties a written notice disclosing:
(a) the allegations;
(b) the requirements of the informal grievance resolution process (including the circumstances under which it precludes the parties from resuming a formal complaint arising from the same allegations, provided that at any time prior to agreeing to the resolution, any party has the right to withdraw from the informal resolution process and resume the grievance process with respect to the formal complaint); and
(c) any consequences resulting from participating in the informal grievance resolution process, including the records that will be maintained or could be shared.
Each party must provide the Title IX/EEO Coordinator (or designee) with voluntary, written consent to participate in the Informal Grievance Resolution Process. The Informal Grievance Resolution Process is not permitted to resolve allegations that an employee sexually harassed a student.
The University encourages informal resolution when the parties desire to resolve the situation cooperatively. Informal resolution may include inquiries into the facts but does not rise to the level of a formal investigation. The informal resolution process is designed to resolve complaints quickly, efficiently, and to the mutual satisfaction of all parties involved. Where circumstances allow, the informal process will be initiated as soon as possible after the filing of a formal complaint. With the concurrence of the complainant and the respondent, an investigator assigned by the Title IX/EEO Coordinator (or designee) and/or the Title IX/EEO Coordinator (or designee) may facilitate an outcome through informal resolution and with the assistance of an appropriate University official or other outside trained person designated by the Title IX/EEO Coordinator (or designee) if needed. Any resolution through this informal grievance resolution procedure must be mutually agreed upon by the parties involved. As stated above, both the complainant and the respondent have the right to bypass or end the informal grievance resolution process at any time and initiate a formal grievance resolution investigation and hearing. Any failure to comply with the terms of an informal grievance resolution agreement may result in disciplinary sanctions and/or, if warranted, a further allegation of misconduct. Upon a preliminary finding by the Title IX/EEO Coordinator (or designee) that an individual failed to abide by the informal grievance resolution agreement, the matter will be referred to the respective University Vice President (for Student Life, Human Resources and/or Academic Affairs) to address the alleged violation in accordance with the applicable student, employee and/or faculty handbooks and impose the appropriate disciplinary sanctions.
Informal grievance resolution includes, but is not limited to, options such as referral to another campus office or program, mediation, separation of the parties, referral of the parties to counseling programs, conducting educational and/or training programs, or other supportive measures. If necessary, certain cases that are resolved through informal grievance resolution may be subject to follow up after a period of time. Steps taken by the Title IX/EEO Coordinator (or designee) to help the parties achieve informal grievance resolution will be documented. The Title IX/EEO Coordinator (or designee) will review the informal grievance resolution and may approve it, reject it, or require modification. If the informal grievance resolution is approved, the investigator or Title IX/EEO Coordinator (or designee) will prepare a written memorandum defining the terms of the informal grievance resolution agreement resolving the formal complaint and will present the memorandum to the parties simultaneously for their review and approval. Typically, an Informal Grievance Resolution Process will be completed within 60 days of the receipt of the complaint. If additional time is needed, both parties will be notified.
Formal Grievance Resolution Process
If the allegation of alleged violation of this policy has not been resolved as a result of the informal grievance process or is not suited for informal efforts, or if either the complainant or the respondent requests to invoke the formal grievance resolution process, a formal investigation will be initiated. The formal grievance resolution process will involve an investigation and, depending on the circumstances, a hearing panel determination. An investigation by the University and a decision by the hearing panel will, in most cases, be rendered within a reasonable period of time not to exceed ninety (90) calendar days of the filing of a formal complaint. This time period can be modified for good cause at the discretion of the University’s Title IX/EEO Coordinator (or designee), if deemed necessary under the circumstances (e.g., to conduct a thorough investigation or to protect the rights of all parties). If the formal investigation and resolution for the alleged violation will not be completed within ninety (90) calendar days from the filing of the formal complaint, the complainant and the respondent will be notified in writing with an explanation for the delay or extension.
Formal Investigation: This policy provides for a thorough, prompt, fair and impartial investigation. The Title IX/EEO Coordinator (or designee) or a trained investigator appointed by the Title IX/EEO Coordinator (or designee) will conduct the formal investigation. The University reserves the right to utilize outside trained investigators as needed. During an investigation, the complainant will have the opportunity to describe his or her allegations and present supporting witnesses or other evidence. The respondent will have the opportunity to respond to the allegations and present supporting witnesses or other evidence. The investigator will review evidence presented and will meet with additional witnesses identified by the complainant, the respondent, or third parties, as determined appropriate by the investigator. All parties and witnesses involved in the investigation are expected to cooperate and provide complete and truthful information throughout the investigation process. In some cases, the investigator may interview the parties on more than one occasion. The investigator may visit relevant sites or locations and record observations through written, photographic, or other means. Additionally, the investigator may consult medical, forensic, technological, or other experts when expertise on a topic is needed in order to achieve a fuller understanding of the issues under investigation. Evidence that is irrelevant may be excluded from consideration by the investigator or the Hearing Panel.
Investigation Report: Upon completion of the investigation, the investigator will provide both the complainant and the respondent and their respective advisors, if any, the opportunity to review the preliminary written report and appended evidence at least fourteen (14) days prior to the hearing (or other time of determination regarding responsibility) and they must submit any written responses to the report to the Title IX/EEO Coordinator (or designee) within ten (10) days from receipt of the written report. The written report and appended evidence will be provided to the parties and their respective advisors, if any, in an electronic format (using a file sharing platform or other electronic means) or by providing a hard copy upon request. The investigator will consider all written responses prior to completion of the investigative report.
The investigation report will fairly summarize the relevant evidence, including but not limited to: details of the allegations made by the complainant; statements and/or responses of the complainant, respondent and witnesses; and a description of all procedural steps taken, including any notifications to the parties, interviews, site visits, and evidence gathering.
Procedure for Hearings that Proceed to a Hearing Panel:
When, following an investigation, if the complainant or respondent disputes the recommended findings from the investigator, the case will proceed to a Hearing Panel. The University utilizes a Hearing Panel (as described above) specially trained to handle cases of prohibited misconduct pursuant to this policy. All Panel members receive periodic training on hearing practices.
Notice: Both the complainant and the respondent will be notified at least seven (7) days (168 hours) in advance of the date and time of the hearing and the names of the hearing panelists.
Prehearing Conference: The parties will meet individually (either in person, virtually or by telephone) with the respective hearing panel chairperson in advance of the hearing to establish effective case management of the case. Matters to be discussed at the prehearing conference include but are not limited to: scheduling issues, identification of witnesses and documents, possible stipulations, requests for accommodations, anticipated questions and objections at the hearing, attendance of the parties and their respective advisors, and such other matters that may aid in the efficient management of the case at the hearing.
Attendance/Participation: Should the respondent or complainant fail to attend the scheduled hearing; the hearing will proceed, and a decision will be made in his or her absence as neither party is required to participate in the hearing. Live hearings may be conducted with all parties physically present at the same geographic location, or, at the University’s discretion, participants may appear virtually with technology enabling participants to simultaneously see and hear each other.
If a party does not have an advisor present at the hearing (with or without the presence of the party), the Title IX/EEO Coordinator (or designee) will provide without fee or charge to that party, an advisor of the University’s choice, who may be, but is not required to be an attorney, to conduct cross-examination on behalf of that party. However, a Confidential Advocate employed through the University may not serve as an advisor at a hearing but may appear as a support person upon request by a party. An advisor is permitted to give a statement as a witness and any perceived “conflict of interest or bias” created under that situation would be taken into account by the Hearing Panel in weighing the credibility and persuasiveness of the advisor-witness’s testimony.
Hearings are closed to all but the respondent, complainant, witnesses, advisors, and the Hearing Panel. The University reserves the right to permit other individuals to participate as an observer, support person for a party, or necessary personnel to effectuate recording of the hearing or to assist in the management of the hearing. Postponement: The hearing may be postponed until a later date for good cause (e.g., absence of a party, an advisor, or a witness; concurrent law enforcement activity; need for accommodations, etc.)at the sole discretion of the Chairperson of the Hearing Panel (or designee). Any requests by the complainant or respondent for a postponement of the hearing must be communicated to the Chairperson of the Hearing Panel (or designee) at least 48 hours before the hearing unless there is a compelling emergency.
• Accommodations: Upon request, accommodations may be made for complainants and respondents who do not wish to be in the hearing room at the same time. This accommodation will consist of holding the live hearing virtually, with technology enabling the participants to simultaneously see and hear each other. All requests must be made to the Chairperson of the Hearing Panel (or designee) at least seventy-two (72) hours in advance of the hearing.
• Voluntary Agreement: At any time during the course of this process, the parties may voluntarily agree to resolve any allegations of prohibited behavior in lieu of findings and disciplinary sanctions under this policy.
• Witnesses, Exhibits, and Proposed Questions for Hearing: The complainant and respondent may testify on their own behalf and may suggest other relevant material witnesses to provide information. Absent exceptional circumstances for good cause, the complainant and respondent must provide the Chairperson of the Hearing Panel (or designee) in writing at least seventy-two (72) hours in advance of the hearing a final witness and exhibit list indicating the names of any proposed witnesses and a summary of the information they will provide at the hearing; and a list of the exhibits (e.g., physical or documentary evidence) to be introduced at the hearing. The Chairperson of the Hearing Panel (or designee) will request that such witnesses appear at the hearing. Additionally, absent exceptional circumstances for good cause, the complainant and respondent must provide to the Title IX/EEO Coordinator (or designee) in writing at least 72 hours in advance of the hearing suggested questions to be asked of the witnesses testifying before the panel. The parties will be permitted to ask additional follow-up questions at the hearing provided the Chairperson determines such questions to be relevant and not duplicative. The names of proposed witnesses, list of exhibits, and suggested questions submitted to the Chairperson of the Hearing Panel (or designee) by the complainant or respondent will be shared with the other party in advance of the hearing.
• Duty of Candor: All members of the University community and other individuals, who appear before the Hearing Panel, whether as parties to the proceedings or as witnesses, are expected to provide truthful testimony. A student, employee or faculty member may not knowingly provide a false statement during a hearing. Such conduct is a violation of this policy and will be addressed in accordance with the applicable student, employee, or faculty Handbook and subject to disciplinary action, up to and including termination from employment or dismissal from school.
• Basic Hearing and Prehearing Etiquette: All participants are to be respectful and courteous; abide by the rulings, guidelines and directives imposed by the Hearing Panel; and not engage in distracting behavior.
• Hearing Packet: In advance of the hearing, the Title IX/EEO Coordinator (or designee) prepares a packet with information it deems relevant to the case to be shared with the Hearing Panel. The Title IX/EEO Coordinator (or designee) will provide both the complainant and the respondent with the opportunity to review the hearing packet in advance of the hearing. If a complainant or respondent wishes to share additional evidence not contained in the hearing packet for consideration at the hearing, it must be submitted to the Chairperson of the Hearing Panel (or designee) at least 24 hours before the hearing for review. Absent exceptional circumstances for good cause, additional evidence submitted by a party past the deadlines set forth above will not be considered by the Hearing Panel. The Chairperson of the Hearing Panel will provide the parties with a written explanation as to his/her decision to permit or not permit the additional evidence to be included in the hearing packet. If good cause is found, the Chairperson of the Hearing Panel (or designee) will share the additional evidence with the complainant/respondent and the Hearing Panel. The packet will include a copy of the investigation report and the written responses from the complainant and the respondent regarding the report.
• Recordings: A respondent, complainant, advisor, and/or witness may not bring electronic devices that capture or facilitate communication (e.g., computer, cell phone, audio/video recorder, etc.) into a hearing room. The University will create an audio or audiovisual recording, or transcript of any live hearing and make it available to the parties upon request which will kept on file for seven (7) years. Reasonable care will be taken to create a quality audio or audiovisual recording to minimize technical problems; however, technical problems that result in no recording or an inaudible one will not be a valid argument for appeal.
• Hearing Format: The Hearing Panel has general authority over the conduct of the hearing (e.g., it may set time frames for witness testimony and it may limit opening/closing statements or their length, etc.). The general course of procedure for a panel hearing is as follows:
1. Introductions and discussion of hearing procedures and decorum.
2. Opening statement from the complainant
3. Opening statement from the respondent
4. Presentation of statements from the complainant and complainant’s witnesses. Upon completion of each statement, the other party’s advisor will be permitted to ask relevant cross-examination questions followed by questions from the Hearing Panel, if any.
5. Presentation of statements from the respondent and respondent’s witnesses. Upon completion of each statement, the other party’s advisor will be permitted to ask relevant cross-examination questions followed by questions from the Hearing Panel, if any.
6. Complainant’s closing statement.
7. Respondent’s closing statement.
8. Complainant’s brief rebuttal statement.
A complainant or respondent may not question each other or other witnesses directly. Only a party’s advisor is permitted to ask cross examination questions of the other party or witnesses and follow-up questions, including that challenging credibility. Such cross-examination questions must be conducted directly, orally, and in real-time by the party’s advisor and never by a party personally, notwithstanding the discretion of the Hearing Panel to otherwise restrict the extent of the advisor’s participation. Only relevant cross-examination and other questions may be asked of a party or witness. Before a complainant, respondent, or witness answers a cross-examination or other question, the Chairperson of the Hearing Panel must first determine whether the question is relevant and explain any decision to exclude a question as not relevant. A question appears to be relevant if it tends to prove or disprove the issue of responsibility. If any additional questions (other than those questions previously submitted in writing prior to the hearing) are desired to be asked by either party during the hearing, the party must make that request to the Chairperson of the Hearing Panel, who will determine whether to ask them. The Chairperson of the Hearing Panel determines the relevancy of any information presented at the hearing and can exclude any irrelevant or duplicitous information.
• Evidence: Issues regarding admission of evidence or testimony, including relevancy and the reliability of the evidence and testimony will be determined by the Chairperson of the Hearing Panel during the hearing. The Chairperson of the Hearing Panel must explain any decision to exclude admission of evidence or testimony as not relevant.
If a party or witness does not submit to cross-examination at the hearing, the Hearing Panel must not rely on any statement of that party or witness in reaching a determination on responsibility. The Hearing Panel cannot draw an inference about the determination regarding responsibility based solely on a party’s or witness’s absence from the hearing or refusal to answer cross-examination questions.
Sexual history of either party may not be considered during the hearing unless such information is determined to be highly relevant by the Chairperson. However, all cross-examination must exclude evidence of the complainant’s sexual behavior or predisposition, unless such evidence about the complainant’s sexual behavior is offered to prove that someone other than the respondent committed the conduct alleged by the complainant, or if the evidence concerns specific incidents of the complainant’s sexual behavior with respect to the respondent and is offered to prove consent.
• Decision on responsibility: At the conclusion of the hearing, the Hearing Panel will deliberate in private regarding whether the respondent is “In violation” or “Not in violation” of this policy. The Chairperson and Hearing Panel may confer with the Title IX/EEO Coordinator (or designee) or legal counsel, as needed. Evidence will be evaluated under a “preponderance of the evidence standard,” meaning that the respondent will be found “In violation” of the policy if, based upon the entirety of the evidence presented during the hearing, it is determined that the respondent “more likely than not” violated the policy in question. A majority vote is required. If there is a finding that the respondent is “In violation” of this policy, disciplinary sanctions will be imposed as described below. The parties will be advised simultaneously in writing of the decision and the imposed disciplinary sanctions, if applicable. The written decision will summarize the hearing panel’s decision which must include:
(a) Identification of the allegations potentially constituting a violation of this policy;
(b) A description of all procedural steps taken, including any notifications to the parties, interviews, site visits, evidence gathering, and hearings;
(c) Findings of fact supporting the decision;
(d) Conclusions regarding the application of the University’s code of conduct (i.e., student, employee, or faculty handbooks) to the facts;
(e) A statement of and rationale for each allegation, including the determination of responsibility, any disciplinary sanctions imposed on the respondent, and whether remedies designed to restore or preserve equal access to the University’s education program or activity will be provided to the complainant; and
(f) Procedures and permissible bases for appeal.
The Hearing Panel will generally issue a written decision within ten (10) calendar days from the completion of the hearing; if the decision will take longer, the parties will be notified.
• Disciplinary sanctions:
• If there is a finding that the respondent is “In violation” of this policy, a disciplinary sanction will be imposed.
• Disciplinary sanctions for students will be determined by the Vice President of Student Life (or designee) and may include, but are not limited to: warning, restitution, disciplinary probation, suspension for a definite period of time after which the student is eligible to return (Note: Conditions for readmission may be specified), permanent dismissal, specialized treatment off-campus, no-contact orders, trespass from campus, housing restrictions, adjustments to course schedules, revocation of admission, transcript notation, restrictions on participation in graduation and/or other University programs or activities, and/or other educational disciplinary sanctions deemed appropriate under the circumstances.
• Disciplinary sanctions for University employees (other than faculty) will be determined by the Vice President of Human Resources (or designee) and may include, but not limited to: warning, restitution, suspension for a definite period of time after which the employee is eligible to return (Note: Conditions for reemployment may be specified), permanent termination from employment, required counseling, educational measures, and/or other disciplinary sanctions deemed appropriate under the circumstances.
• Disciplinary sanctions for University faculty will be determined by the Vice President for Academic Affairs (or designee) and may include, but not limited to: warning, restitution, suspension for a definite period of time after which the faculty member is eligible to return (Note: Conditions for reemployment may be specified), permanent termination from employment, required counseling, educational measures, termination of an appointment with tenure or of a non-tenured appointment (for faculty) and/or other disciplinary sanctions deemed appropriate under the circumstances.
• Imposed disciplinary sanctions will remain in effect pending the outcome of any appeal process; although a request may be made to the Chairperson of the Hearing Panel to delay implementation of the disciplinary sanctions until the appeal is decided. However, as to respondent faculty members, if the proposed disciplinary sanction includes suspension or dismissal of a tenured faculty member and the case is not appealed, the matter will be referred to the University’s President, who will decide whether to initiate the process set forth in the Faculty Handbook for imposition of such a disciplinary sanction.
• Both parties will be notified in writing simultaneously of the panel’s decision. The parties will also be informed of the disciplinary sanctions imposed, if applicable, and the University appeal procedures. The Chairperson will also promptly notify the Title IX/EEO Coordinator (or designee) in writing of the decision and the disciplinary sanctions imposed, if applicable. Regardless of the outcome of the formal hearing, interim measures may be provided to the complainant or respondent by the Title IX/EEO Coordinator (or designee). Such interim measures (as described hereinabove) include any appropriate remedy warranted by the circumstances.
Appeals
Complainants and respondents may file a written appeal with the University’s Title IX/EEO Coordinator (or designee) within seven (7) calendar days from the date of the decision. To file an appeal, please use the University’s Request for Appeal or contact the Title IX/EEO Coordinator (or designee) to obtain a paper version of the Request for Appeal Form. The non-appealing party will be notified that an appeal has been filed and have an opportunity to provide a written response to the request for appeal via the University’s Response Statement or contact the Title IX/EEO Coordinator (or designee) to obtain a paper version of the Response Statement. This Response Statement must be submitted within seven (7) calendar days of receipt of Request for Appeal. These documents can be submitted to the Title IX/EEO Coordinator (or designee) via email, hand, or mail delivery. If an appeal is timely filed, the decision and imposed sanctions, if any, rendered by the Hearing Panel will be stayed until a final decision on the appeal is issued by the Vice President of Finance (or designee).
If the appeal request is not timely filed with the University’s Title IX/EEO Coordinator (or designee), the appeal will be dismissed and the Hearing Panel’s decision and imposed disciplinary sanctions (if applicable) will stand. However, as to respondent faculty members, if the proposed disciplinary sanction includes suspension or dismissal of a tenured faculty member and the appeal is dismissed, the matter will be referred to the University’s President, who will decide whether to initiate the process set forth in the Faculty Handbook for imposition of such a disciplinary sanction.
The only grounds for appeal are as follows:
• The appropriateness of the disciplinary sanction(s) relative to the violation(s);
• To consider new evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made, that could affect the outcome;
• The Title IX/EEO Coordinator, investigator, or Hearing Panel had a conflict of interest or bias that affected the outcome;
• A procedural irregularity or substantive error occurred that significantly impacted the outcome of the hearing; and/or
• The decision of the Hearing Panel was unsupported by substantial evidence. Substantial evidence refers to evidence that a reasonable person could accept as adequate to support the decision.
If an appeal is timely filed, the Vice President of Finance (or designee) will review the case and may issue the following outcomes:
• Affirm the decision and imposed disciplinary sanction(s) rendered.
• Affirm the decision and change the disciplinary sanction(s) imposed to a lesser or more severe disciplinary sanction.
• If the Vice President of Finance (or designee) determines that a procedural irregularity or substantive error(s) occurred that affected the outcome in the Formal Grievance Resolution Process, the case may be remanded to the Hearing Panel with specific instructions to correct the error(s) and reconsider the case.
• If the Vice President of Finance (or designee) determines that the appeal request contains new evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made, that could affect the outcome, the case shall be remanded to the Hearing Panel to reconsider the case in light of the new information.
• If the Vice President of Finance (or designee) determines that the Title IX/EEO Coordinator, investigator, or a member of the presiding Hearing Panel had a conflict of interest or bias that affected the outcome, the case shall be remanded to the Hearing Panel with specific instructions to reconsider the case.
• Reverse the decision (and imposed disciplinary sanctions if applicable) rendered if\ the decision was unsupported by substantial evidence.
The decision of the Vice President of Finance (or designee) will be final. However, as to respondent tenured faculty members, if the proposed disciplinary sanction is upheld by the Vice President of Finance (or designee) and includes suspension or dismissal of a tenured faculty member, the matter will be referred to the University’s President, who will decide whether to initiate the process set forth in the Faculty Handbook for imposition of such a disciplinary sanction. The Title IX/EEO Coordinator (or designee), the investigator(s), or a member of the presiding Hearing Panel are prohibited from serving on Appeals.
The Vice President of Finance (or designee) will generally decide an appeal within twenty (20) calendar days from when the appeal was received; if the decision will take longer, the Vice President of Finance (or designee) will let the parties know. Upon reaching a determination, the Vice President of Finance (or designee) will simultaneously provide the complainant and respondent with a written decision describing the result of the appeal and the rationale for the result.