See UD's plans for teaching, learning and research this fall with measures to promote safety and lessen the risk of COVID-19 spread. See UD case dashboard here.

Skip to main content

Sexual Harassment Resolution Process

Table of Contents

  1. Introduction
  2. Notice and Complaints
  3. Initial Assessment
    1. Risk Assessment
    2. Mandatory and Discretionary Dismissal
  4. Counterclaims
  5. Right to an Advisor
    1. Who Can Serve as an Advisor
    2. Advisors in Meetings and Interviews
    3. Advisors in Hearings/University Appointed Advisors
    4. Advisor Violations of University Policy
    5. Sharing Information with the Advisor
    6. Privacy of Records Shared with Advisor
    7. Expectations of an Advisor
    8. Expectations of the Parties with Respect to Advisors
  6. Resolution Process
    1. Informal Resolution
      1. Alternative Resolution Mechanism
      2. Respondent Accepts Responsibility for Alleged Violations
  7. Resolution Process Pool
    1. Resolution Process Pool Member Roles
    2. Resolution Process Pool Member Appointment
    3. Resolution Process Pool Member Training
  8. Sexual Harassment Resolution Process: Notice of Investigation and Allegations
  9. Resolution Timeline
  10. Appointment of Investigators
  11. Impartiality
  12. Investigation Timeline
  13. Delays in the Investigation and Interactions with Law Enforcement
  14. Steps in the Investigation Process
  15. Role and Participation of Witnesses in the Investigation
  16. Recording of Interviews
  17. Evidentiary Considerations in the Investigation
  18. Referral for Hearing
  19. Hearing Decision-Maker
  20. Evidentiary Considerations in the Hearing
  21. Notice of Hearing
  22. Alternative Hearing Participation Options
  23. Pre-Hearing Participation
  24. Pre-Hearing Meetings
  25. Hearing Procedures
  26. Joint Hearings
  27. The Order of the Hearing
  28. Investigator(s) Present the Final Investigation Report
  29. Testimony and Questioning
  30. Refusal to Submit to Cross-Examination and Inferences
  31. Recording Hearings
  32. Deliberation, Decision-Making, and Standard of Proof
  33. Notice of Outcome
  34. Statement of Rights of the Parties
  35. Sanctions
    1. Student Sanctions
    2. Employee Sanctions/Responsive Actions
  36. Withdrawal or Resignation While Charges Pending
    1. Students
    2. Employees
  37. Appeals
    1. Appeal Process
    2. Sanctions Status During the Appeal
    3. Appeal Considerations
  38. Long-Term Remedies and Other Actions
  39. Failure to Comply with Sanctions, Remedies, or Responsive Actions
  40. Recordkeeping
  41. Disabilities Accommodations in the Resolution Process
  42. Revision of this Process

APPENDIX A:  STATEMENT OF PARTIES’ RIGHTS



1. Introduction


The University of Dayton will act on any formal or informal reports or complaints of violations of the Nondiscrimination and Anti-Harassment Policy (“Nondiscrimination Policy”) that is received by the Executive Director for Equity Compliance/Title IX Coordinator (referred to throughout this process as the “Title IX Coordinator.”)[1]The Title IX Coordinator can be contacted as follows:

Kim Bakota, J.D.
Executive Director of Equity Compliance
Title IX and Section 504 Coordinator
University of Dayton
St. Mary's Hall Room 300
Dayton, OH 45469-1641
(937) 229-3622
kbakota1@udayton.edu 

The procedures below apply only to qualifying allegations of Sexual Harassment (including sexual assault, dating violence, domestic violence, and stalking, as defined in the Nondiscrimination and Anti-Harassment Policy) involving students, staff, and faculty members. 

The procedures below may be used to address related allegations of protected-class harassment or discrimination at the discretion of the Title IX Coordinator.  All other allegations of collateral misconduct (vandalism, etc.) will be addressed through procedures elaborated in the student, faculty, and staff handbooks.

If a dismissal occurs under the Sexual Harassment Resolution Process, please see the Equity Compliance Resolution Process for a description of the procedures that may be applicable to such offenses. The Equity Compliance Resolution Process can also apply to sexual harassment (including sexual assault, dating violence, domestic violence, and stalking, as defined in the Nondiscrimination Policy) when jurisdiction does not fall within the Sexual Harassment Resolution Process, as determined by the Title IX Coordinator. 

2. Notice and Complaints

Upon receipt of notice, a report, or a complaint of Sexual Harassment to the Title IX Coordinator of an alleged violation of the Nondiscrimination Policy, the University initiates a prompt initial assessment to determine next steps the University needs to take.  

When the impacted person’s identity is known, the University will offer supportive measures and, when appropriate,  initiate one of the following responses:

  1. Offer informal resolution (upon submission of a Formal Complaint); and/or
  2. Initiate a Formal Resolution Process including an investigation and hearing (upon submission of a Formal Complaint).

The University uses the Formal Resolution Process to determine whether or not the Nondiscrimination Policy has been violated. If so, the University will promptly implement effective remedies designed to ensure that it is not deliberately indifferent to sexual harassment or retaliation. 

3. Initial Assessment

Following receipt of notice, a report, or a complaint of Sexual Harassment, the Title IX Coordinator (or designee) engages in an initial assessment, typically within one to five business days. The steps included in a typical initial assessment follow. 

  • If a notice  is given (i.e., a report or Formal Complaint submitted to the Title IX Coordinator or an Official With Authority), the Title IX Coordinator will seek to determine if the impacted person wishes to make a Formal Complaint and will assist them to do so, if desired.  If the impacted person does not wish to make a Formal Complaint, the Title IX Coordinator determines whether to initiate a complaint.  If a Formal Complaint is received, the Title IX Coordinator will assess its sufficiency and work with the Complainant to make sure it is correctly completed.  
  • The Title IX Coordinator reaches out to the Complainant to offer supportive measures. The Title IX Coordinator works with the Complainant to determine whether the Complainant prefers a supportive and remedial response, an informal resolution option, or a formal investigation and grievance process. If a supportive and remedial response is preferred, the Title IX Coordinator works with the Complainant to identify their wishes and then seeks to facilitate implementation. No Formal Resolution Process is initiated, though the Complainant can elect to initiate one later, if desired.[2] If an informal resolution option is preferred, the Title IX Coordinator assesses whether the Formal Complaint is suitable for informal resolution, which informal mechanism may serve the situation best or is available, and may seek to determine if the Respondent is also willing to engage in informal resolution. 
  • If a Formal Resolution Process is preferred, the Title IX Coordinator determines if the misconduct alleged falls within the scope of Sexual Harassment as defined in the Nondiscrimination Policy. If it does, the Title IX Coordinator will initiate these formal investigation and grievance procedures, directing the investigation to address: an incident or incidents; a pattern of alleged misconduct; and/or a culture or climate issue, based on the nature of the complaint.  If the misconduct does not fall within the scope of Sexual Harassment as defined in the Nondiscrimination Policy, the Title IX Coordinator will “dismiss” that aspect of the complaint, if any, assess which policies may apply, which resolution process is applicable, and refer the matter accordingly.  Please note that dismissing a complaint for this purpose is procedural and does not limit the University’s authority to address a complaint with an appropriate process and remedies. 

A. Risk Assessment

In some cases, the Title IX Coordinator may determine that a Risk Assessment should be conducted by the University of Dayton’s CARE Team, as part of the initial assessment.  A Risk Assessment can aid in multiple critical or required determinations, including (but not limited to) the emergency removal/interim suspension of a Respondent on the basis of immediate threat to the physical health or safety of any student or other individual, whether the Title IX Coordinator should sign a Formal Complaint absent a willing or able Complainant, whether to permit a voluntary withdrawal by the Respondent, or whether to impose a No Trespass Order on an individual. 

More information about the University’s CARE Team and process can be found here. Information regarding Interim Suspension can be found in Section F of the Nondiscrimination and Anti-Harassment Policy. 

B. Mandatory and Discretionary Dismissal

The University must dismiss a Formal Complaint of Sexual Harassment or any allegations therein if, at any time during the investigation or hearing, it is determined that:

  1. The conduct alleged in the Formal Complaint would not constitute Sexual Harassment as defined in the Nondiscrimination Policy, even if proved; 
  2. The conduct did not occur in the University’s education program or activity and/or the University does not have control of the Respondent;
  3. The conduct did not occur against a person in the United States; and/or
  4. At the time of the filing of a Formal Complaint, the Complainant is not participating in or attempting to participate in the education program or activity of the University. 

The University may dismiss a formal complaint or any allegations therein if, at any time during the investigation or hearing:

  1. A Complainant notifies the Title IX Coordinator in writing that the Complainant would like to withdraw the Formal Complaint or any allegations therein;
  2. The Respondent is no longer enrolled in or employed by the University; or
  3. Specific circumstances prevent the University from gathering evidence sufficient to reach a determination as to the Formal Complaint or allegations therein.

Upon any dismissal of a Formal Complaint, the University will promptly send written notice of the dismissal and the rationale for doing so simultaneously to the parties. 

This dismissal decision is appealable by any party under the procedures for appeal below.  A Complainant who decides to withdraw a Formal Complaint may later request to reinstate it or refile it. 

4. Counterclaims

The University is obligated to ensure that the grievance process is not abused for retaliatory purposes. The University permits the filing of counterclaims but uses an initial assessment, described above, to assess whether the allegations in the counterclaim are made in good faith. Counterclaims by the Respondent may be made in good faith, but are, on occasion, also made for purposes of retaliation. Counterclaims made with retaliatory intent will not be permitted.

Counterclaims determined to have been reported in good faith will be processed using the grievance procedures below. Investigation of such claims may take place after resolution of the underlying initial allegations, in which case a delay may occur. 

Counterclaims may also be resolved through the same investigation as the underlying allegation, at the discretion of the Title IX Coordinator. When counterclaims are not made in good faith, they will be considered retaliatory and may constitute a violation of this Policy.

5. Right to an Advisor

The parties may each have an Advisor of their choice present with them for all meetings and interviews within the resolution process, if they so choose. The parties may select whoever they wish to serve as their Advisor as long as the Advisor is eligible and available.  The parties also have the right to choose not to have an Advisor in the initial stages of the resolution process, prior to a hearing.

Choosing an Advisor who is also a witness in the process creates potential for bias and conflict-of-interest. A party who chooses an Advisor who is also a witness can anticipate that issues of potential bias will be explored by the hearing Decision-Maker(s).

A. Who Can Serve as an Advisor

The Advisor may be a friend, mentor, family member, attorney, or any other individual a party chooses to advise them. The parties may choose Advisors from inside or outside of the University community. 

If one or both of the parties does not have an Advisor, the Title IX Coordinator will offer to assign a trained Advisor for any party if the party chooses. If the parties choose an Advisor from the pool available from the University, the Advisor will be trained by the University and be familiar with the University’s resolution process. 

B. Advisors in Meetings and Interviews

The parties may be accompanied by their Advisor in all meetings and interviews at which the party is entitled to be present, including intake and interviews. Advisors should help the parties prepare for each meeting and are expected to advise ethically, with integrity, and in good faith. 

The University cannot guarantee equal Advisory rights, meaning that if one party selects an Advisor who is an attorney, but the other party does not or cannot afford an attorney, the University is not obligated to provide an attorney. 

C. Advisors in Hearings/University Appointed Advisors

Under U.S. Department of Education regulations applicable to Title IX, cross-examination is required during the hearing, but must be conducted by the parties’ Advisors. The parties are not permitted to directly cross-examine each other or any witnesses. If a party does not have an Advisor for a hearing, the University will appoint a trained Advisor for the limited purpose of conducting any cross-examination. 

A party may reject this appointment and choose their own Advisor, but they may not proceed in the hearing without an Advisor.  Questioning of the parties and witnesses may also be conducted by the Decision-Maker(s) during the hearing. 

D. Advisor Violations of University Policy

All Advisors are subject to the same University policies and procedures, whether they are attorneys or not. Advisors are expected to advise their advisees without disrupting proceedings. The Advisor may not make a presentation or represent their advisee  during any meeting or proceeding and may not speak on behalf of the advisee to the Investigator(s) or other Decision-Maker(s) except during cross examination at the hearing. 

The parties are expected to ask and respond to questions on their own behalf throughout the investigation phase of the resolution process. Although the Advisor generally may not speak on behalf of their advisee, the Advisor may consult with their advisee, either privately as needed, or by conferring or passing notes during any resolution process meeting or interview. For longer or more involved discussions, the parties and their Advisors should ask for breaks to allow for private consultation.

Any Advisor who oversteps their role as defined by this policy will be warned only once. If the Advisor continues to disrupt or otherwise fails to respect the limits of the Advisor role, the meeting will be ended, or other appropriate measures implemented. Subsequently, the Title IX Coordinator will determine how to address the Advisor’s non-compliance and future role.

E. Sharing Information with the Advisor

The University expects that the parties may wish to have the University share documentation and evidence related to the allegations with their Advisors. Parties may share this information directly with their Advisor or other individuals if they wish. Doing so may help the parties participate more meaningfully in the resolution process. 

The University also provides a consent form that authorizes the University to share such information directly with their Advisor. The parties must either complete and submit this form to the Title IX Coordinator or provide similar documentation demonstrating consent to a release of information to the Advisor before the University is able to share records with an Advisor. 

F. Privacy of Records Shared with Advisor

Advisors are expected to maintain the privacy of the records shared with them. These records may not be shared with third parties, disclosed publicly, or used for purposes not explicitly authorized by the University. The University may seek to restrict the role of any Advisor who does not respect the sensitive nature of the process or who fails to abide by the University’s privacy expectations.

G. Expectations of an Advisor

The University generally expects an Advisor to adjust their schedule to allow them to attend University meetings when planned, but may change scheduled meetings to accommodate an Advisor’s inability to attend, if doing so does not cause an unreasonable delay. 

The University may also make reasonable provisions to allow an Advisor who cannot attend in person to attend a meeting by telephone, video conferencing, or other similar technologies as may be convenient and available. 

H. Expectations of the Parties with Respect to Advisors

A party may elect to change Advisors during the process and is not obligated to use the same Advisor throughout. The parties are expected to inform the Investigator(s) of the identity of their Advisor at least two (2) business days before the date of their first meeting with Investigators (or as soon as possible if a more expeditious meeting is necessary or desired). 

The parties are expected to provide timely notice to the Title IX Coordinator if they change Advisors at any time. It is assumed that if a party changes Advisors, consent to share information with the previous Advisor is terminated, and a release for the new Advisor must be secured. Parties are expected to inform the Title IX Coordinator of the identity of their hearing Advisor at least two (2) business days before the hearing. 

6. Resolution Process

Resolution proceedings are private. All persons present at any time during the resolution process are expected to maintain the privacy of the proceedings in accordance with University policy. Although there is an expectation of privacy around what Investigators share with parties during interviews, the parties have discretion to share their own knowledge and evidence with others if they so choose, with the exception of information the parties agree not to disclose related to Informal Resolution, discussed below. The University encourages parties to discuss any sharing of information with their Advisors before doing so.

A. Informal Resolution

Informal Resolution can include two different approaches:

  • When the Parties agree to resolve the matter through an alternate resolution mechanism as described below, including restorative practices, etc..
  • When the Respondent accepts responsibility for violating the Nondiscrimination Policy and desires to accept a sanction and end the resolution process.

To initiate Informal Resolution, a Complainant needs to submit a Formal Complaint, as defined in the Nondiscrimination and Anti-Harassment Policy.  A Respondent who wishes to initiate Informal Resolution should contact the Title IX Coordinator.

It is not necessary to pursue Informal Resolution first in order to pursue a Formal Resolution Process, and any party participating in Informal Resolution can stop the process at any time and begin or resume the Formal Resolution Process. 

Prior to implementing Informal Resolution, the University will provide the parties with written notice of the reported misconduct and any sanctions or measures that may result from participating in such a process, including information regarding any records that will be maintained or shared by the University. 

The University will obtain voluntary, written confirmation that all parties wish to resolve the matter through Informal Resolution before proceeding and will not pressure the parties to participate in Informal Resolution. 

1. Alternative Resolution Mechanism

Alternate Resolution is an informal mechanism by which the parties reach a mutually agreed upon resolution of an allegation. All parties must consent to the use of an Alternate Resolution mechanism. 

The Title IX Coordinator may look to the following factors to assess whether Alternate Resolution is appropriate, or which form of Alternate Resolution may be most successful for the parties:

  • The parties’ amenability to Alternate Resolution;
  • Likelihood of potential resolution, taking into account any power dynamics between the parties;
  • The parties’ motivation to participate;
  • Civility of the parties;
  • Results of a violence risk assessment/ongoing risk analysis (if any);
  • Disciplinary history;
  • Whether an emergency removal/interim suspension is needed;
  • Complaint complexity;
  • Emotional investment/capability of the parties;
  • Goals of the parties;
  • Adequate resources to invest in Alternate Resolution (time, staff, etc.)

The ultimate determination of whether Alternate Resolution is available or successful is to be made by the Title IX Coordinator. The Title IX Coordinator maintains records of any resolution that is reached, and failure to abide by the resolution agreement may result in appropriate responsive/disciplinary actions. Results of complaints resolved by Informal Resolution or Alternate Resolution are not appealable. 

2. Respondent Accepts Responsibility for Alleged Violations

The Respondent may accept responsibility for all or part of the alleged Policy violations at any point during the resolution process. If the Respondent indicates an intent to accept responsibility for all of the alleged misconduct, the formal process will be paused, and the Title IX Coordinator will determine whether Informal Resolution can be used according to the criteria above. 

If Informal Resolution is applicable, the Title IX Coordinator will determine whether all parties and the University are able to agree on responsibility, sanctions, and/or remedies. If so, the Title IX Coordinator implements the accepted finding that the Respondent is in violation of University policy and implements agreed-upon sanctions and/or remedies, in coordination with other appropriate administrator(s), as necessary. 

This result is not subject to appeal once all parties indicate their written assent to all agreed upon terms of resolution. When the parties cannot agree on all terms of resolution, the Formal Resolution Process will resume at the same point where it was paused. In that scenario, information shared during informal processes (including any accepted findings) will not be included if the matter proceeds to formal investigation. 

When a resolution is accomplished, the appropriate sanction or responsive actions are promptly implemented in order to effectively stop the sexual harassment or retaliation, prevent its recurrence, and remedy the effects of the discriminatory conduct, both on the Complainant and the community. 

7. Resolution Process Pool

The Formal Resolution Process relies on a pool of administrators (“the Resolution Process Pool”) to carry out the process. 

A. Resolution Process Pool Member Roles

Members of the Pool are trained annually, and can serve in in the following roles, at the direction of the Title IX Coordinator:

  • To provide appropriate intake of and initial guidance pertaining to complaints
  • To act as an Advisor to the parties
  • To serve in a facilitation role in Informal Resolution or Alternate Resolution if 
  • appropriately trained in appropriate resolution modalities (e.g.,  restorative practices, etc.)
  • To perform or assist with initial assessment
  • To investigate complaints
  • To serve as a hearing facilitator (process administrator, no decision-making role)
  • To serve as a Decision-Maker regarding the Formal Complaint
  • To serve as an Appeal Decision-Maker 

B. Resolution Process Pool Member Appointment

The Title IX Coordinator appoints the Resolution Process Pool, which acts with independence and impartiality. Although members of the Resolution Process Pool are typically trained in a variety of skill sets and can rotate amongst the different roles listed above in different cases, the University can also designate permanent roles for individuals in the Resolution Process Pool, using others as substitutes or to provide greater depth of experience when necessary. This process of role assignment may be the result of particular skills, aptitudes, or talents identified in members of the Resolution Process Pool that make them best suited to particular roles. Resolution Process Pool members can be internal to and external to the University.

C. Resolution Process Pool Member Training

The Resolution Process Pool members receive annual training. This training includes, but is not limited to: 

  • The scope of the University’s Sexual Harassment Policy and Procedures
  • How to conduct investigations and hearings that protect the safety of Complainants and Respondents, and promote accountability
  • Implicit bias
  • Disparate treatment and impact 
  • Reporting, confidentiality, and privacy requirements
  • Applicable laws, regulations, and federal regulatory guidance
  • How to implement appropriate and situation-specific remedies
  • How to investigate in a thorough, reliable, and impartial manner
  • How to uphold fairness, equity, and due process
  • How to weigh evidence 
  • How to conduct questioning 
  • How to assess credibility
  • Impartiality and objectivity 
  • How to render findings and generate clear, concise, evidence-based rationales 
  • The definitions of all offenses 
  • How to apply definitions used by the University  with respect to consent consistently, impartially, and in accordance with policy 
  • How to conduct an investigation and grievance process including hearings, appeals, and informal resolution processes 
  • How to serve impartially by avoiding prejudgment of the facts at issue, conflicts of interest, and bias 
  • Any technology to be used at a live hearing 
  • Issues of relevance of questions and evidence
  • How to create an investigation report that fairly summarizes relevant evidence
  • How to determine appropriate sanctions in reference to all forms of harassment and/or retaliation allegations
  • Recordkeeping

Specific training is also provided for Appeal Decision-makers, intake personnel, Advisors (who are University employees), and Chairs. All Pool members are required to attend these trainings annually. The materials used to train all members of the Pool are publicly posted here.

8. Sexual Harassment Resolution Process: Notice of Investigation and Allegations

The Title IX Coordinator will provide written notice of the investigation and allegations (the “NOIA”) to the Respondent upon commencement of the Formal Resolution Process. This facilitates the Respondent’s ability to prepare for the interview and to identify and choose an Advisor to accompany them. The NOIA is also copied to the Complainant, who is to be given advance notice of when the NOIA will be delivered to the Respondent. 

The NOIA will include:

  • A meaningful summary of all of allegations,
  • The identity of the involved parties (if known),  
  • The precise misconduct being alleged, 
  • The date and location of the alleged incident(s) (if known), 
  • The specific policies implicated, 
  • A description of the applicable procedures, 
  • A statement of the potential sanctions/responsive actions that could result, 
  • A statement that the University presumes the Respondent is not responsible for the reported misconduct unless and until the evidence supports a different determination, 
  • A statement that determinations of responsibility are made at the conclusion of the process and that the parties will be given an opportunity to inspect and review all directly related and/or relevant evidence, 
  • A statement about the University’s policy on retaliation,
  • Information about the privacy of the process,
  • Information on the right for each party to have an Advisor of their choosing, who may be an attorney,  and suggestions for ways to identify an Advisor, 
  • A statement informing the parties that the University’s Policy prohibits knowingly making false statements, including knowingly submitting false information during the resolution process,
  • Detail on how the party may request disability accommodations during the interview process,
  • A link to the University’s VAWA Brochure, 
  • The name(s) of the Investigator(s), along with a process to identify, in advance of the interview process, to the Title IX Coordinator any concerns about bias or conflict of interest with regard to the  Investigator(s), and
  • An instruction to preserve any evidence that is directly related to the allegations.

Amendments and updates to the NOIA may be made as the investigation progresses and more information becomes available regarding the addition or dismissal of various allegations. 

Notice will be made in writing and may be delivered by one or more of the following methods: in person, by mail, or emailed to the parties’ University-issued email or designated accounts. Once emailed and/or received in-person, notice will be presumptively delivered. 

9. Resolution Timeline

The University will make a good faith effort to complete the resolution process within a sixty-to-ninety (60-90) business day time period, including appeal, which can be extended as necessary for good cause by the Title IX Coordinator, who will provide notice and rationale for any extensions or delays to the parties as appropriate, as well as a estimate of how much additional time will be needed to complete the process.

10. Appointment of Investigators

Once the decision to commence a formal investigation is made, the Title IX Coordinator appoints Resolution Team Pool members to conduct the investigation (typically using a team of two Investigators), usually within two (2) business days of determining that an investigation should proceed.  As stated previously, the University also reserves the right to retain individuals external to the University to serve in any role during the resolution process. 

11. Impartiality

Any individual materially involved in the administration of the resolution process, including the Title IX Coordinator, Investigator(s), and Decision-Maker(s), may neither have nor demonstrate a conflict of interest or bias for a party generally, or for a specific Complainant or Respondent.

The Title IX Coordinator will contact the Investigator(s) and Decision-Maker(s) prior to assignment to ensure that there are no actual or apparent conflicts of interest or disqualifying biases.  Investigator(s) and Decision-Maker(s) are expected to self-disclose any existing or potential bias and/or conflicts of interest at that time or at any time that such conflict should arise. The parties may, at any time during the resolution process, raise a concern regarding bias or conflict of interest, and the Title IX Coordinator will determine whether the concern is reasonable and supportable. If so, another Resolution Process Pool member will be assigned and the impact of the bias or conflict, if any, will be remedied. If the source of the conflict of interest or bias is the Title IX Coordinator, concerns should be raised with the Executive Vice President for Business and Administrative Services.

The Formal Resolution Process involves an objective evaluation of all relevant evidence obtained, including evidence that supports that the Respondent engaged in a policy violation and evidence that supports that the Respondent did not engage in a policy violation. Credibility determinations may not be based solely on an individual’s status or participation as a Complainant, Respondent, or witness. 

The University operates with the presumption that the Respondent is not responsible for the reported misconduct unless and until the Respondent is determined to be responsible for a policy violation by the applicable standard of proof. 

12. Investigation Timeline

Investigations are completed expeditiously, normally within sixty (60) days, though some investigations may take longer, depending on the nature, extent, and complexity of the allegations, availability of witnesses, police involvement, etc. 

The University will make a good faith effort to complete investigations as promptly as circumstances permit and will communicate regularly with the parties to update them on the progress and timing of the investigation. 

13. Delays in the Investigation and Interactions with Law Enforcement

The University may undertake a short delay in its investigation (several days to a few weeks) if circumstances require. Such circumstances include but are not limited to: a request from law enforcement to temporarily delay the investigation, the need for language assistance, the absence of parties and/or witnesses, the need for parties to identify an Advisor, and/or accommodations for disabilities or health conditions. 

The University will communicate in writing the anticipated duration of the delay and reason to the parties and provide the parties with status updates if necessary. The University will promptly resume its investigation and resolution process as soon as feasible. During such a delay, the University will implement supportive measures as deemed appropriate. 

University action(s) or processes are not typically altered or precluded on the grounds that civil or criminal charges involving the underlying incident(s) have been filed or that criminal charges have been dismissed or reduced. 

14. Steps in the Investigation Process

All investigations are thorough, reliable, impartial, prompt, and fair. Investigations involve interviewing all relevant parties and witnesses; obtaining available, relevant evidence; and identifying sources of expert information, as necessary. 

In the investigation process, all parties have a full and fair opportunity to suggest witnesses and questions, to provide evidence and expert witnesses, and to fully review and respond to all evidence on the record. 

The Title IX Team[3] typically takes the following steps during an investigation (though not necessarily in this order):

  • Determine the identity and contact information of the Complainant.
  • In coordination with campus partners, initiate or assist with any necessary supportive measures. 
  • Identify all policies implicated by the alleged misconduct and notify the Complainant and Respondent of all of the specific policies implicated.
  • Conduct a prompt initial assessment to determine if the allegations indicate a potential policy violation.
  • Commence a thorough, reliable, and impartial investigation by identifying issues and developing a strategic investigation plan, including a witness list, evidence list, intended investigation timeframe, and order of interviews for all witnesses and the parties.
  • Meet with the Complainant to finalize their interview/statement, if necessary. 
  • Prepare the initial Notice of Investigation and Allegation (NOIA). The NOIA may be amended with any additional or dismissed allegations. 
    • Notice should inform the parties of their right to have the assistance of an Advisor, who could be a member of the Resolution Process Pool or an Advisor of their choosing present for all meetings attended by the party. 
  • Provide each interviewed party and witness an opportunity to review and verify the Investigator’s summary notes of the relevant evidence/testimony from their respective interviews and meetings.
  • Make good faith efforts to notify the parties of any meeting or interview at which both parties will participate, in advance when possible. 
  • When participation of a party is expected, provide that party with written notice of the date, time, and location of the meeting, as well as the expected participants and purpose.  Such notice will be provided with sufficient time for the party to prepare to participate. 
  • Interview all available, relevant witnesses who are willing to participate and conduct follow-up interviews as necessary.
  • Allow each party the opportunity to suggest witnesses and questions they wish the Investigator(s) to ask of the other party and witnesses, and document in the report which questions were asked, with a rationale for any changes or omissions. 
  • Complete the investigation promptly and without unreasonable deviation from the intended timeline.
  • Provide regular status updates to the parties throughout the investigation.
  • Prior to the conclusion of the investigation, provide the parties and their respective Advisors (if so desired by the parties) with a list of witnesses whose information will be used to render a finding.
  • The Investigator(s) write a comprehensive investigation report fairly summarizing the investigation, all witness interviews, and addressing all relevant evidence. Appendices including relevant physical or documentary evidence will be included. 
  • The Investigator(s) gather, assess, and synthesize evidence, but make no conclusions, engage in no policy analysis, and render no recommendations as part of their report.
  • Prior to the conclusion of the investigation, the Investigator(s) provide the parties and their respective Advisors (if so desired by the parties) a secured electronic or hard copy of the draft investigation report as well as an opportunity to inspect and review all of the evidence obtained as part of the investigation that is directly related to the reported misconduct, including evidence upon which the University does not intend to rely in reaching a determination, for a ten (10) business day review and comment period so that each party may meaningfully respond to the evidence. The parties may elect to waive the full ten days. Each copy of the materials shared will be watermarked on each page with the role of the person receiving it (e.g., Complainant, Respondent, Complainant’s Advisor, Respondent’s Advisor). 
  • The Investigator(s) may elect to respond in writing in the investigation report to the parties’ submitted responses and/or to share the responses between the parties for additional responses.
  • The Investigator(s) will incorporate relevant elements of the parties’ written responses into the final investigation report, include any additional relevant evidence, make any necessary revisions, and finalize the report. Investigators may conduct additional interviews based on the parties’ written responses, where appropriate. The Investigator(s) should document all rationales for any changes made after the review and comment period.
  • The Investigator(s) shares the report with the Title IX Coordinator for their review and feedback.
  • The Investigator will incorporate any relevant feedback, and the final report is then shared with all parties and their Advisors through secure electronic transmission or hard copy at least ten (10) business days prior to a hearing. The parties are also provided with a file of any directly related evidence that was not included in the report. 

15. Role and Participation of Witnesses in the Investigation


Although in-person interviews for parties and all potential witnesses are ideal, circumstances (e.g., study abroad, summer break) may require individuals to be interviewed remotely. Skype, Zoom, FaceTime, WebEx, or similar technologies may be used for interviews if the Investigator(s) determine that timeliness or efficiency dictate a need for remote interviewing. The University will take appropriate steps to reasonably ensure the security/privacy of remote interviews.

Witnesses may also provide written statements in lieu of interviews or choose to respond to written questions, if deemed appropriate by the Investigator(s), though not preferred. If a witness submits a written statement but does not intend to be and is not present for cross examination at a hearing, their written statement may not be used as evidence.

16. Recording of Interviews

No unauthorized audio or video recording of any kind is permitted during investigation meetings. If Investigator(s) elect to audio and/or video record interviews, all involved parties must be made aware of audio and/or video recording.

17. Evidentiary Considerations in the Investigation

The investigation does not consider: 1) incidents not directly related to the possible violation, unless they evidence a pattern or 2) questions and evidence about the Complainant’s sexual predisposition or prior sexual behavior, unless such questions and evidence about the Complainant’s prior sexual behavior are offered to prove that someone other than the Respondent committed the conduct alleged by the Complainant, or if the questions and evidence concern specific incidents of the Complainant’s prior sexual behavior with respect to the Respondent and are offered to prove consent.

18. Referral for Hearing

Provided that the complaint is not resolved through Informal Resolution, once the final investigation report is shared with the parties, the Title IX Coordinator will refer the matter for a hearing.

The hearing cannot be less than ten (10) business days from the conclusion of the investigation – when the final investigation report is transmitted to the parties and the Decision-Maker – unless all parties and the Decision-Maker agree to an expedited timeline. 

19. Hearing Decision-Maker

The Title IX Coordinator will select an appropriate Decision-Maker, either from the Resolution Process Pool or the University may retain an external, trained individual to serve as a Decision-Maker. The University will designate a single Decision-Maker or a three-member panel, at the discretion of the Title IX Coordinator.  The single Decision-Maker will also Chair the hearing. With a panel, one of the three members will be appointed as Chair by the Title IX Coordinator. 

The Decision-Maker(s) will not have had any previous involvement with the investigation. The Title IX Coordinator may elect to have an alternate from the Resolution Process Pool sit in throughout the hearing process in the event that a substitute is needed for any reason.

Those who have served as Investigators will be witnesses in the hearing and therefore may not serve as Decision-Makers. Those who are serving as Advisors for any party may not serve as Decision-Makers in that matter. 

The Title IX Coordinator may not serve as a Decision-Maker or Chair in the matter but may serve as an administrative facilitator of the hearing if their previous role(s) in the matter do not create a conflict of interest. The hearing will convene at a time determined by the Chair or the hearing facilitator.

20. Evidentiary Considerations in the Hearing

Any evidence that the Decision-Maker(s) determine(s) is relevant and credible may be considered. The hearing does not consider: 1) incidents not directly related to the possible violation, unless they evidence a pattern or 2) questions and evidence about the Complainant’s sexual predisposition or prior sexual behavior, unless such questions and evidence about the Complainant’s prior sexual behavior are offered to prove that someone other than the Respondent committed the conduct alleged by the Complainant, or if the questions and evidence concern specific incidents of the Complainant’s prior sexual behavior with respect to the Respondent and are offered to prove consent. 

Previous disciplinary action of any kind involving the Respondent may be considered in determining an appropriate sanction upon a determination of responsibility, assuming the University uses a progressive discipline system. This information is only considered at the sanction stage of the process and is not shared until then, unless pattern evidence is relevant to the allegations being investigated. 

After post-hearing deliberation, the Decision-Maker renders a determination based on the preponderance of the evidence; whether it is more likely than not that the Respondent violated the Policy as alleged.

21. Notice of Hearing

No less than ten (10) business days prior to the hearing, the Title IX Coordinator or the Chair will send notice of the hearing to the parties. Once mailed, emailed, and/or received in-person, notice will be presumptively delivered. 

The notice will contain:

  • A description of the alleged violation(s), a list of all policies allegedly violated, a description of the applicable procedures, and a statement of the potential sanctions/responsive actions that could result.
  • The time, date, and location of the hearing and a reminder that attendance is mandatory, superseding all other campus activities. 
  • Information about the technology that will be used to facilitate the hearing.
  • For in-person hearings, information about the option for the live hearing to occur with the parties located in separate rooms using technology that enables the Decision-Maker(s) and parties to see and hear a party or witness answering questions. Such a request must be raised with the Title IX Coordinator at least five (5) business days prior to the hearing.
  • A list of all those who will attend the hearing, along with an invitation to object to any Decision-Maker on the basis of demonstrated bias. This must be raised with the Title IX Coordinator within two (2) business days following receipt of the hearing notice.
  • Information on how the hearing will be recorded and on access to the recording for the parties after the hearing.
  • A statement that if any party or witness does not appear at the scheduled hearing, the hearing may be held in their absence, and the party’s or witness’s testimony and any statements given prior to the hearing will not be considered by the Decision-Maker(s). For compelling reasons, the Chair may reschedule the hearing. 
  • Notification that the parties must have the assistance of an Advisor at the hearing and will be required to have one present for any questions they may desire to ask.  If a party does not have an Advisor of choice, the University will appoint one.
  • The party must notify the Title IX Coordinator if they do not have an Advisor, and the University will appoint one. Each party must have an Advisor present. There are no exceptions. 
  • Access to all of the materials provided to the Decision-Maker(s) about the matter, unless they have been provided already. 
  • An invitation to contact the Title IX Coordinator to arrange any disability accommodations, language assistance, and/or interpretation services that may be needed at the hearing, at least seven (7) business days prior to the hearing. 
  • Whether parties can/cannot bring mobile phones/devices into the hearing.

Hearings for possible violations that occur near or after the end of an academic term (assuming the Respondent is still subject to this Policy) and are unable to be resolved prior to the end of term will typically be held immediately after the end of the term or during the summer, as needed, to meet the resolution timeline followed by the University and remain within the 60-90 business day goal for resolution. 

22. Alternative Hearing Participation Options

If a party or parties prefer not to attend or cannot attend the hearing in person, the party should request alternative arrangements from the Title IX Coordinator or the Chair at least five (5) business days prior to the hearing. 

The Title IX Coordinator or the Chair can arrange to use technology to allow remote testimony without compromising the fairness of the hearing. Remote options may also be needed for witnesses who cannot appear in person. Any witness who cannot attend in person should let the Title IX Coordinator or the Chair know at least five (5) business days prior to the hearing so that appropriate arrangements can be made. 

23. Pre-Hearing Participation

The Chair or hearing facilitator after any necessary consultation with the parties, Investigator(s) and/or Title IX Coordinator, will provide the parties with all pertinent documentary evidence and the final investigation report to the parties at least ten (10) business days prior to the hearing. 

Any witness scheduled to participate in the hearing must have been first interviewed by the Investigator(s) or have proffered a written statement or answered written questions, unless the Chair assents to the witness’s participation in the hearing. The same holds for any evidence that is first offered at the hearing. If the parties and Chair do not assent to the admission of evidence newly offered at the hearing, the Chair may delay the hearing and instruct that the investigation needs to be re-opened to consider that evidence.

The parties will be given a list of the names of the Decision-Maker(s) at least five (5) business days in advance of the hearing. All objections to any Decision-Maker must be raised in writing, detailing the rationale for the objection, and must be submitted to the Title IX Coordinator as soon as possible and no later than two (2) days prior to the hearing. Decision-Makers will only be removed if the Title IX Coordinator concludes that their bias or conflict of interest precludes an impartial hearing of the allegation(s). 

The Title IX Coordinator will give the Decision-Maker(s) a list of the names of all parties, witnesses, and Advisors at least five (5) business days in advance of the hearing. Any Decision-Maker who cannot make an objective determination must recuse themselves from the proceedings when notified of the identity of the parties, witnesses, and Advisors in advance of the hearing. If a Decision-Maker is unsure of whether a bias or conflict of interest exists, they must raise the concern to the Title IX Coordinator as soon as possible.

During the ten (10) business day period prior to the hearing, the parties have the opportunity for continued review and comment on the final investigation report and available evidence. That review and comment can be shared with the Chair at the pre-hearing meeting and will be exchanged between each party by the Chair.

24. Pre-Hearing Meetings

The Chair may convene a pre-hearing meeting with the parties and/or their Advisors to invite them to submit the questions or topics they (the parties and/or their Advisors) wish to ask or discuss at the hearing, so that the Chair can rule on their relevance ahead of time to avoid any improper evidentiary introduction in the hearing or provide recommendations for more appropriate phrasing. However, this advance review opportunity does not preclude the Advisors from asking a question for the first time at the hearing or from asking for a reconsideration based on any new information or testimony offered at the hearing. The Chair must document and share with each party their rationale for any exclusion or inclusion at a pre-hearing meeting.

The Chair, only with full agreement of the parties, may decide in advance of the hearing that certain witnesses do not need to be present if their testimony can be adequately summarized by the Investigator(s) in the investigation report or during the hearing. 

At each pre-hearing meeting with a party and their Advisor, the Chair will consider arguments that evidence identified in the final investigation report as relevant is, in fact, not relevant. Similarly, evidence identified as not relevant by the Investigator(s) may be argued to be relevant. 

The Chair may rule on these arguments pre-hearing and will exchange those rulings between the parties prior to the hearing to assist in preparation for the hearing. The Chair may consult with legal counsel and/or the Title IX Coordinator or ask either or both to attend pre-hearing meetings.

The pre-hearing meeting(s) will not be recorded.

25. Hearing Procedures

Through the hearing process, the Decision-Maker(s) has the authority to hear and make determinations on all allegations of Sexual Harassment and/or retaliation and may also hear and make determinations on any additional alleged policy violations that have occurred in concert with the Sexual Harassment and/or retaliation, so long as those collateral allegations fall within the Nondiscrimination Policy. 

Participants at the hearing will include the Chair, any additional panelists, the hearing facilitator, the Investigator(s) who conducted the investigation, the Parties , Advisors to the parties, any called witnesses, the Title IX Coordinator, and anyone providing authorized accommodations or assistive services.

The Chair will answer all questions of procedure. Anyone appearing at the hearing to provide information will respond to questions on their own behalf. 

The Chair will allow witnesses who have relevant information to appear at a portion of the hearing in order to respond to specific questions from the Decision-Maker(s) and the parties and will then be excused, unless the witness also serves as a party’s Advisor. 

26. Joint Hearings

In hearings involving more than one Respondent or in which two (2) or more Complainants have accused the same individual of substantially similar conduct, the default procedure will be to hear the allegations jointly. 

However, the Title IX Coordinator may permit the investigation and/or hearings pertinent to each Respondent to be conducted separately if there is a compelling reason to do so. In joint hearings, separate determinations of responsibility will be made for each Respondent with respect to each alleged policy violation. 

27. The Order of the Hearing 

The Chair explains the procedures and introduces the participants. 

At the hearing, recording, witness logistics, party logistics, curation of documents, separation of the parties, and other administrative elements of the hearing process are managed by a non-voting hearing facilitator appointed by the Title IX Coordinator. The hearing facilitator may attend to: logistics of rooms for various parties/witnesses as they wait; flow of parties/witnesses in and out of the hearing space; ensuring recording and/or virtual conferencing technology is working as intended; copying and distributing materials to participants, as appropriate, etc.  

28. Investigator(s) Present the Final Investigation Report

The Investigator(s) will then present a summary of the final investigation report, including items that are contested and those that are not, and will be subject to questioning by the Decision-Maker(s) and the parties (through their Advisors). The Investigator(s) will be present during the entire hearing process, but not during deliberations. 

Neither the parties nor the Decision-Maker(s) should ask the Investigator(s) their opinions on credibility, recommended findings, or determinations, and the Investigators, Advisors, and parties will refrain from discussion of or questions about these assessments. If such information is introduced, the Chair will direct that it be disregarded.

29. Testimony and Questioning

Once the Investigator(s) present their report and are questioned, the parties and witnesses may provide relevant information in turn, beginning with the Complainant, and then in the order determined by the Chair. The parties/witnesses will submit to questioning by the Decision-Maker(s) and then by the parties through their Advisors (“cross-examination”). 

All questions are subject to a relevance determination by the Chair. The Advisor, who will remain seated during questioning, will pose the proposed question orally, electronically, or in writing (orally is the default, but other means of submission may be permitted by the Chair upon request if agreed to by the Chair), the proceeding will pause to allow the Chair to consider it (and state it if it has not been stated aloud), and the Chair will determine whether the question will be permitted, disallowed, or rephrased. 

The Chair may invite explanations or persuasive statements regarding relevance with the Advisors, if the Chair so chooses. The Chair will then state their decision on the question for the record and advise the party/witness to whom the question was directed, accordingly. The Chair will explain any decision to exclude a question as not relevant, or to reframe it for relevance. 

The Chair will limit or disallow questions on the basis that they are irrelevant, unduly repetitious (and thus irrelevant), or abusive. The Chair has final say on all questions and determinations of relevance. The Chair may consult with legal counsel on any questions of admissibility. The Chair may ask Advisors to frame why a question is or is not relevant from their perspective but will not entertain argument from the Advisors on relevance once the Chair has ruled on a question. 

If the parties raise an issue of bias or conflict of interest of an Investigator or Decision-Maker at the hearing, the Chair may elect to address those issues, consult with legal counsel, and/or refer them to the Title IX Coordinator, and/or preserve them for appeal. If bias is not in issue at the hearing, the Chair should not permit irrelevant questions that probe for bias. 

30. Refusal to Submit to Cross-Examination and Inferences

Cross-examination is an all or nothing proposition, meaning that if any question is refused, no statements of that party or witness are admissible. Only if a party or a witness is willing to submit to cross-examination, and answers all questions, will their statements prior to or at the hearing be fully admissible. If a party or witness chooses not to submit to cross-examination at the hearing, either because they do not attend the meeting, or they attend but refuse to participate in questioning, then the Decision-Maker(s) may not rely on any prior statement made by that party or witness at the hearing (including those contained in the investigation report) in the ultimate determination of responsibility. The Decision-Maker(s) must disregard that statement. Evidence provided that is something other than a statement by the party or witness may be considered.

The Decision-Maker(s) may not draw any inference solely from a party’s or witness’s absence from the hearing or refusal to answer cross-examination or other questions. 

If charges of policy violations other than Sexual Harassment are considered at the same hearing, the Decision-Maker(s) may consider all evidence it deems relevant, may rely on any relevant statement as long as the opportunity for cross-examination is afforded to all parties through their Advisors, and may draw reasonable inferences from any decision by any party or witness not to participate or respond to questions.

If a party’s Advisor of choice refuses to comply with the University’s established rules of decorum for the hearing, the University may require the party to use a different Advisor. If a University-provided Advisor refuses to comply with the rules of decorum, the University may provide that party with a different Advisor to conduct cross-examination on behalf of that party.

31.   Recording Hearings

Hearings (but not deliberations) are recorded by the University for purposes of review in the event of an appeal. The parties may not record the proceedings and no other unauthorized recordings are permitted.

The Decision-Maker(s), the parties, their Advisors, and appropriate administrators of the University will be permitted to listen to the recording in a controlled environment determined by the Title IX Coordinator. No person will be given or be allowed to make a copy of the recording without permission of the Title IX Coordinator. 

32.  Deliberation, Decision-Making, and Standard of Proof

The Decision-Maker(s) will deliberate in closed session to determine whether the Respondent is responsible or not responsible for the policy violation(s) in question. If a panel is used, a simple majority vote is required to determine the finding. The preponderance of the evidence standard of proof is used. The hearing facilitator may be invited to attend the deliberation by the Chair, but is there only to facilitate procedurally, not to address the substance of the allegations.

The Decision-Maker(s) will review any pertinent conduct history provided by the appropriate office (Community Standards and Civility, Human Resources, the Provost’s Office) and will determine the appropriate sanction(s) in consultation with other appropriate administrators, as required. 

The Chair will then prepare a written deliberation statement and deliver it to the Title IX Coordinator, detailing the determination, rationale, the evidence used in support of its determination, the evidence not relied upon in its determination, credibility assessments, and any sanctions. 

This report must be submitted to the Title IX Coordinator within ten (10) business days of the end of deliberations, unless the Title IX Coordinator grants an extension. If an extension is granted, the Title IX Coordinator will notify the parties. 

33.  Notice of Outcome

Using the deliberation statement, the Title IX Coordinator will work with the Decision-Maker(s) to prepare a Notice of Outcome. The Title IX Coordinator will then share the letter, including the final determination, rationale, and any applicable sanction(s) with the parties and their Advisors within five (5) business days of receiving the Decision-Maker(s)’ deliberation statement.

The Notice of Outcome will then be shared with the parties simultaneously. Notification will be made in writing and may be delivered by one or more of the following methods: in person, mailed to the local or permanent address of the parties as indicated in official University records, or emailed to the parties’ University-issued email or otherwise approved account. Once mailed, emailed, and/or received in-person, notice will be presumptively delivered. 

The Notice of Outcome will articulate the specific policy(ies) reported to have been violated, including the relevant policy section, and will contain a description of the procedural steps taken by the University from the receipt of the misconduct report to the determination, including any and all notifications to the parties, interviews with parties and witnesses, site visits, methods used to obtain evidence, and hearings held. 

The Notice of Outcome will specify the finding on each alleged policy violation; the findings of fact that support the determination; conclusions regarding the application of the relevant policy to the facts at issue; a statement of, and rationale for, the result of each allegation to the extent the University is permitted to share such information under state or federal law; any sanctions issued which the University is permitted to share according to state or federal law; and any remedies provided to the Complainant designed to ensure access to the University’s educational or employment program or activity, to the extent the University is permitted to share such information under state or federal law (this detail is not typically shared with the Respondent unless the remedy directly relates to the Respondent). 

The Notice of Outcome will also include information on when the results are considered by the University to be final, any changes that occur prior to finalization, and the relevant procedures and bases for any available appeal options. 

34.  Statement of Rights of the Parties

See Appendix A for the Statement of Rights of the Parties.

35. Sanctions

Factors considered when determining a sanction/responsive action may include, but are not limited to: 

  • The nature, severity of, and circumstances surrounding the violation(s) 
  • The Respondent’s disciplinary history 
  • Previous allegations or allegations involving similar conduct 
  • The need for sanctions/responsive actions to bring an end to the misconduct and/or retaliation
  • The need for sanctions/responsive actions to prevent the future recurrence of misconduct and/or retaliation 
  • The need to remedy the effects of the Sexual Harassment and/or retaliation on the Complainant and the community
  • The impact on the parties
  • Any other information deemed relevant by the Decision-Maker(s)

The sanctions will be implemented as soon as is feasible, either upon the outcome of any appeal or the expiration of the window to appeal without an appeal being requested. 

The sanctions described in this policy are not exclusive of, and may be in addition to, other actions taken or sanctions imposed by external authorities. 

A. Student Sanctions

The following are typical sanctions that may be imposed on students:

  • Written Warning: An official written notice of the University’s disapproval of a student’s actions, indicating that any future violation will be dealt with more severely. 
  • Restriction: Temporary or permanent loss of privileges or the use of/participation in a University facility, program or service. 
  • Intervention: Educational or informative workshops, events, reflective or research papers, meetings, counseling sessions or activities related to the violation or incident.
  • University Disciplinary Probation: Official notice that any further/future violations are likely to result in suspension or expulsion from the University. A student on Probation is not permitted to serve in select leadership positions in student organizations, as defined in the Student Organizations Resource Guide. Nor can a student on Probation participate in the recruitment/pledge/initiation process of any fraternity or sorority. They also may experience additional restrictions and loss of privileges from varying programs and events, as specified in the policies of such activities. A student on Probation is not in good nonacademic standing with the University. Note: University Probation is defined differently for student organizations. (See page 30-33 of the Code of Conduct, which can be accessed here. Students on probation are permitted to join and be members of clubs and organizations, it is only the intake process for social fraternities and sororities that is prohibited with regards to membership.
  • Interim Action: Interventions or restrictions issued by the Vice President for Student Development or the Dean of Students at his/her discretion prior to the adjudication of a case could include, but are not limited to, interim suspension/expulsion, limitation of access to designated University facilities, buildings, or residence halls by time and location, limitation of privilege to engage in specified University activities, or reassignment to alternate housing.
  • Interim Suspension/Expulsion: A denial of access to the residence hall(s), the campus (including classes) and to all other University activities or events, which the student might otherwise be eligible to participate in or attend. Note: Interim suspensions/expulsions are issued prior to adjudication of a student conduct case by the Vice President for Student Development or the Dean of Students as detailed in the Nondiscrimination Policy.
  • Suspension/Expulsion: A complete separation from all University classes, activities, events, services, facilities, grounds, and campus property (including University-owned houses in the student neighborhood) for a specific period of time or until specific conditions are met. Any violation of these terms will result in additional action, up to and including expulsion. Suspensions/expulsions are immediate, regardless of the timing of the academic year. Note: Suspension/expulsion is defined differently for student organizations.
  • Expulsion: Complete and permanent termination of the student’s relationship with the University. This termination pertains to all classes, activities, services, facilities and grounds and precludes any future enrollment in the University’s undergraduate, graduate and professional schools.

B. Employee Sanctions/Responsive Actions

Responsive actions for an employee who has engaged in Sexual Harassment and/or Retaliation include: 

  • Warning - written or verbal
  • Required Counseling 
  • Required Training or Education
  • Loss of Oversight or Supervisory Responsibility
  • Demotion
  • Transfer
  • Reassignment
  • Delay of tenure track progress
  • Assignment to new supervisor
  • Restriction of stipends, research, and/or professional development resources
  • Suspension with pay
  • Suspension without pay 
  • Termination 
  • Other Actions: In addition to or in place of the above sanctions/responsive actions, the University may assign any other responsive actions as deemed appropriate.

36. Withdrawal or Resignation While Charges Pending

A. Students

Should a student decide to not participate in the resolution process, the process proceeds absent their participation to a reasonable resolution. Should a student Respondent permanently withdraw from the University, the resolution process ends. 

However, the University will continue to address and remedy any systemic issues or concerns that may have contributed to the alleged violation(s), and any ongoing effects of the alleged Sexual Harassment and/or retaliation. The student who withdraws or leaves while the process is pending may not re-enroll to the University. Such exclusion applies to all campuses of the University.  Admissions will be notified that they cannot be readmitted. They may also be barred from University property and/or events. 

If the student Respondent only withdraws or takes a leave for a specified period of time (e.g., one semester or term), the resolution process may continue remotely and that student is not permitted to return to University unless and until all sanctions have been satisfied. 

B. Employees

Should an employee Respondent resign with unresolved allegations pending, the resolution process ends. 

However, the University will continue to address and remedy any systemic issues concerns that contributed to the alleged violation(s), and any ongoing effects of the alleged harassment or retaliation. 

The employee who resigns with unresolved allegations pending is not eligible for rehire with the University or any campus of the University, and the records retained by the Title IX Coordinator will reflect that status. 

All University responses to future inquiries regarding employment references for that individual will include that the former employee resigned during a pending disciplinary matter.

37. Appeals

Any party may file a request for appeal (“Request for Appeal”), but it must be submitted in writing to the Title IX Coordinator within 5 business days of the delivery of the Notice of Outcome. 

A. Appeal Process 

If a Request for Appeal is received, the Title IX Coordinator will appoint an impartial “Appeal Review Committee” (“ARC”), consisting of (a) a designee from either the Provost’s Office, Vice President of Student Development Office or the Office of Human Resources (depending on whether the respondent is a student, faculty or a staff employee); (b) a deputy coordinator who was not involved in the process previously; and (c) a Resolution Process Pool member who was not involved in the process previously. The Title IX Coordinator will designate one of these three individuals as the Appeal Chair.  The ARC appeals process is as follows:

  1. The Request for Appeal will be submitted to the Appeal Chair for consideration to determine if the request meets the grounds for appeal (a Review for Standing). This review is not a review of the merits of the appeal, but solely a determination as to whether the request meets the grounds and is timely filed. 
    1. The grounds for appeal are as follows:
      1. Procedural irregularity that affected the outcome of the matter.
      2. New evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made, that could affect the outcome of the matter; and
      3. The Title IX Coordinator, Investigator(s), or Decision-Maker(s) had a conflict of interest or bias for or against complainants or respondents generally or the individual complainant or respondent that affected the outcome of the matter.
    2. If the Request for Appeal does not meet the grounds for Appeal, the Appeal Chair will deny the Request for Appeal and the parties and their Advisors will be notified in writing of the denial and the rationale. 
    3. If the Request for Appeal meets the grounds for Appeal, then the Appeal Chair will notify the other party(ies) and their Advisors, the Title IX Coordinator, and, when appropriate, the Investigators and/or the original Decision-Maker(s). 
  2. Once the Request for Appeal has been approved, the other party(ies) and their Advisors, the Title IX Coordinator, and, when appropriate, the Investigators and/or the original Decision-maker(s) will provide access to the request with the approved grounds and then be given five (5) business days to submit a response to the portion of the appeal that was approved and involves them. All responses will be forwarded by the Chair to all parties for review and comment.
  3. The non-appealing party (if any) may also choose to raise a new ground for appeal at this time. If so, that will be reviewed to determine if it meets the grounds in this Policy by the Appeal Chair and either denied or approved. If approved, it will be forwarded to the party who initially requested an appeal, the Investigator(s) and/or original Decision-maker(s), as necessary, who will submit their responses in five (5) business days, which will be circulated for review and comment by all parties. 
  4. Neither party may submit any new requests for appeal after this time period. The Appeal Chair will collect any additional information needed and all documentation regarding the approved grounds and the subsequent responses will be shared with the other ARC members, and the ARC will render a decision in no more than five (5) business days, barring good cause.  All decisions are by majority vote and apply the preponderance of the evidence standard. 
  5. A Notice of Appeal Outcome will be sent to all parties simultaneously including the decision on each approved ground and rationale for each decision. The Notice of Appeal Outcome will specify the finding on each ground for appeal, any specific instructions for remand or reconsideration, any sanctions that may result which the University is permitted to share according to state or federal law, and the rationale supporting the essential findings to the extent the University is permitted to share under state or federal law. 
  6. Notification will be made in writing and may be delivered by one or more of the following methods: in person, mailed to the local or permanent address of the parties as indicated in official institutional records, or emailed to the parties’ University-issued email or otherwise approved account. Once mailed, emailed and/or received in-person, notice will be presumptively delivered.

B. Sanctions Status During the Appeal

Any sanctions imposed as a result of the hearing are stayed during the appeal process. Supportive measures may be reinstated, subject to the same supportive measure procedures above. 

If any of the sanctions are to be implemented immediately post-hearing, but pre-appeal, then emergency removal procedures (detailed above) for a hearing on the justification for doing so must be permitted within 48 hours of implementation. 

C. Appeal Considerations

  • Decisions on appeal are to be deferential to the original decision, making changes to the finding only when there is clear error and to the sanction(s)/responsive action(s) only if there is a compelling justification to do so.
  • Appeals are not intended to provide for a full re-hearing (de novo review) of the allegation(s). In most cases, appeals are confined to a review of the written documentation or record of the original hearing and pertinent documentation regarding the specific grounds for appeal. 
  • An appeal is not an opportunity for the ARC to substitute their judgment for that of the original Decision-Maker(s) merely because they disagree with the finding and/or sanction(s). 
  • The Appeal Chair/ARC may consult with the Title IX Coordinator on questions of procedure or rationale, for clarification, if needed. Documentation of all such consultation will be maintained.
  • Appeals granted based on new evidence should normally be remanded to the original Investigator(s) and/or Decision-Maker(s) for reconsideration. Other appeals may be remanded at the discretion of the Title IX Coordinator or, in limited circumstances, decided on appeal.
  • Once an appeal is decided, the outcome is final: further appeals are not permitted, even if a decision or sanction is changed on remand (except in the case of a new hearing). 
  • In rare cases where a procedural  error cannot be cured by the original Decision-Maker(s) (as in cases of bias), the appeal may order a new hearing with a new Decision-Maker(s). 
  • The results of a remand to a Decision-Maker(s) cannot be appealed. The results of a new hearing can be appealed, once, on any of the three available appeal grounds. 
  • In cases in which the appeal results in reinstatement to the University or resumption of privileges, all reasonable attempts will be made to restore the Respondent to their prior status, recognizing that some opportunities lost may be irreparable in the short term.

38. Long-Term Remedies and Other Actions

Following the conclusion of the resolution process, and in addition to any sanctions implemented, the Title IX Coordinator may implement additional long-term remedies or actions with respect to the parties and/or the campus community that are intended to restore or preserve equal access to the University’s education program or activity. 

These remedies/actions may include, but are not limited to: 

  • Referrals to counseling and health services
  • Referrals to the Employee Assistance Program
  • Education to the individual and/or the community 
  • Permanent alteration of housing assignments
  • Permanent alteration of work arrangements for employees
  • Provision of campus safety escorts
  • Climate surveys
  • Policy modification and/or training
  • Provision of transportation accommodations 
  • Implementation of long-term contact limitations between the parties
  • Implementation of adjustments to academic deadlines, course schedules, etc. 

At the discretion of the Title IX Coordinator, certain long-term support or measures may also be provided to the parties even if no policy violation is found.

The University will maintain the privacy of any long-term remedies/actions/measures, provided privacy does not impair the University’s ability to provide these services. 

39. Failure to Comply with Sanctions, Remedies, or Responsive Actions

All Respondents are expected to comply with the assigned sanctions, responsive actions, and/or corrective actions within the timeframe specified by the final Decision-Maker(s) (including the Appeal Chair/ARC).

Failure to abide by the sanction(s)/action(s) imposed by the date specified, whether by refusal, neglect, or any other reason, may result in additional sanction(s)/action(s), including suspension, expulsion, and/or termination from the University. 

A suspension will only be lifted when compliance is achieved to the satisfaction of the Title IX Coordinator or a designated Deputy Coordinator (or designee).  

40. Recordkeeping

University will maintain for a period of seven years records of:

  1. Each Sexual Harassment investigation including any determination regarding responsibility and any audio or audiovisual recording or transcript required under federal regulation;
  2. Any disciplinary sanctions imposed on the Respondent; 
  3. Any remedies provided to the Complainant designed to restore or preserve equal access to the University’s education program or activity;
  4. Any appeal and the result therefrom;
  5. Any Informal Resolution and the result therefrom; 
  6. All materials used to train Title IX Coordinators, Investigators, Decision-makers, and any person who facilitates an Informal Resolution process. The University will make these training materials publicly available on University’s website; and
  7. Any actions, including any supportive measures, taken in response to a report or formal complaint of sexual harassment, including:
    1. The basis for all conclusions that the response was not deliberately indifferent; 
    2. Any measures designed to restore or preserve equal access to the University’s education program or activity; and 
    3. If no supportive measures were provided to the Complainant, document the reasons why such a response was not clearly unreasonable in light of the known circumstances. 

The University will also maintain any and all records in accordance with state and federal laws. 

41. Disabilities Accommodations in the Resolution Process

The University is committed to providing reasonable accommodations and support to qualified students, employees, or others with disabilities to ensure equal access to the University’s resolution process. 

Anyone needing such accommodations or support should contact the Office of Learning Resources, who will review the request and, in consultation with the person requesting the accommodation and the Title IX Coordinator, determine which accommodations are appropriate and necessary for full participation in the process. 

42. Revision of this Process

These procedures supersede any previous procedures addressing Sexual Harassment as defined by the Nondiscrimination Policy and the regulations promulgated under Title IX and will be reviewed and updated at least annually by the Title IX Coordinator. The University reserves the right to make changes to this document as necessary, and once those changes are posted online, they are in effect. 

During the resolution process, the Title IX Coordinator may make minor modifications to procedures that do not materially jeopardize the fairness owed to any party, such as to accommodate summer schedules. The Title IX Coordinator may also vary procedures materially with notice (on the institutional website, with the appropriate effective date identified) upon determining that changes to law or regulation require policy or procedural alterations not reflected in the Policy and procedures. 

If government laws or regulations change – or court decisions alter – the requirements in a way that impacts this document, this document will be construed to comply with the most recent government regulations or holdings. 

This document does not create legally enforceable protections beyond the protection of the background state and federal laws which frame such policies and codes, generally.

These procedures are effective August 14, 2020. 

APPENDIX A:  STATEMENT OF PARTIES’ RIGHTS

  • The right to an equitable investigation and resolution of all credible allegations of prohibited Sexual Harassment or Retaliation made in good faith to University officials.
  • The right to timely written notice of all alleged violations, including the identity of the parties involved (if known), the precise misconduct being alleged, the date and location of the alleged misconduct (if known), the implicated policies and procedures, and possible sanctions.
  • The right to timely written notice of any material adjustments to the allegations (e.g., additional incidents or allegations, additional Complainants, unsubstantiated allegations) and any attendant adjustments needed to clarify potentially implicated policy violations.
  • The right to be informed in advance of any public release of information regarding the allegation(s) or underlying incident(s), whenever possible.
  • The right to be treated with respect by University officials.
  • The right to have University policies and procedures followed without material deviation.
  • The right not to be pressured to mediate or otherwise informally resolve any reported misconduct involving violence, including sexual violence. 
  • The right not to be discouraged by University officials from reporting Sexual Harassment or Retaliation to both on-campus and off-campus authorities.
  • The right to be informed by University officials of options to notify proper law enforcement authorities, including on-campus and local police, and the option(s) to be assisted by University authorities in notifying such authorities, if the party so chooses. This also includes the right not to be pressured to report, as well. 
  • The right to have allegations of violations of this Policy responded to promptly and with sensitivity by University law enforcement and/or other University officials.
  • The right to be informed of available interim actions and supportive measures, such as counseling; advocacy; health care; student financial aid, assistance; or other services, both on campus and in the community. 
  • The right to be informed of available assistance in changing academic, living, and/or working situations after an alleged incident of Sexual Harassment and/or Retaliation, if such changes are reasonably available. No Formal Report, or investigation, either campus or criminal, needs to occur before this option is available. Such actions may include, but are not limited to:
    • Relocating an on-campus student’s housing to a different on-campus location
    • Assistance from University staff in completing the relocation
    • Changing an employee’s work environment (e.g., reporting structure, office/workspace relocation)
    • Transportation accommodations
    • Exam, paper, and/or assignment rescheduling or adjustment
    • Receiving an incomplete in, or a withdrawal from, a class (may be retroactive)
    • Transferring class sections
    • Temporary withdrawal/leave of absence
    • Campus safety escorts
    • Alternative course completion options.
  • The right to have the University maintain such actions for as long as necessary and for supportive measures to remain private, provided privacy does not impair the University’s ability to provide the supportive measures. 
  • The right to receive sufficiently advanced, written notice of any meeting or interview involving the other party, when possible.
  • The right to ask the Investigator(s) and Decision-Maker(s) to identify and question relevant witnesses, including expert witnesses.
  • The right to provide the Investigator(s)/Decision-Maker(s) with a list of questions that, if deemed relevant by the Investigator(s)/Chair, may be asked of any party or witness. 
  • The right not to have irrelevant prior sexual history or character admitted as evidence.
  • The right to know the relevant and directly related evidence obtained and to respond to that evidence.
  • The right to  fair opportunity  to provide the Investigator(s) with their account of the alleged misconduct and have that account be on the record.
  • The right to receive a copy of the investigation report, including all factual, policy, and/or credibility analyses performed, and all relevant and directly related evidence available and used to produce the investigation report, subject to the privacy limitations imposed by state and federal law, prior to the hearing, and the right to have at least ten (10) business days to review the report prior to the hearing.
  • The right to respond to the investigation report, including comments providing any additional relevant evidence after the opportunity to review the investigation report, and to have that response on the record.
  • The right to be informed of the names of all witnesses whose information will be used to make a finding, in advance of that finding, when relevant. 
  • The right to regular updates on the status of the investigation and/or resolution. 
  • The right to have reports of alleged Policy violations addressed by Investigators, Title IX Coordinators, and Decision-Maker(s) who have received relevant annual training.
  • The right to preservation of privacy, to the extent possible and permitted by law.
  • The right to meetings, interviews, and/or hearings that are closed to the public.
  • The right to petition that any University representative in the process be recused on the basis of disqualifying bias and/or conflict of interest.
  • The right to have an Advisor of their choice to accompany and assist the party in all meetings and/or interviews associated with the resolution process. 
  • The right to the use of the preponderance of the evidence standard to make a finding after an objective evaluation of all relevant.
  • The right to be present, including presence via remote technology, during all testimony given and evidence presented during any formal grievance hearing.
  • The right to be promptly informed in a written Notice of Outcome letter of the finding(s) and sanction(s) of the resolution process and a detailed rationale of the decision, delivered simultaneously to the parties.
  • The right to be informed in writing of when a decision by the University is considered final and any changes to the sanction(s) that occur before the decision is finalized.
  • The right to be informed of the opportunity to appeal the finding(s) and sanction(s) of the resolution process, and the procedures for doing so in accordance with the standards for appeal established by the University.
  • The right to a fundamentally fair resolution as defined in these procedures. 

 

[1]Terms defined in the Nondiscrimination Policy carry those same definitions in this process. Where a term is used in this process but the precise meaning is not known, please consult the Nondiscrimination Policy and refer to the definition there.  Also, references to the “Title IX Coordinator” throughout this process should be read to include a trained designee.

[2] The Title IX Coordinator has the ultimate discretion over whether the University proceeds when a Complainant does not wish to do so, and the Title IX Coordinator may sign a Formal Complaint to initiate a resolution process if a compelling risk to the health and/or safety of the University community exists.

[3] Note that the process described in this document is not meant to subject parties to multiple proceedings.

CONTACT

Equity Compliance Office - Room 300

St. Mary's Hall
300 College Park
Dayton, Ohio 45469 - 1641
937-229-3622
Email