Resolution Processes

Resolution Options: The Formal and Informal Resolution Processes

The Title IX and Gender Equity Office’s staff is available to meet with anyone who wants to learn about the university’s formal and informal resolution processes. Below are summaries and flowcharts describing each process.

The Informal Resolution Process Summarized

非正式决议是一种基于补救措施的决议过程，不涉及 an investigation, hearing, or appeal. It is an alternative to the formal resolution process and may take a variety of customizable forms that can include, but is not 局限于，穿梭调解，方便的谈话，或提交 impact and mitigation statements. An informal resolution process may only be initiated with the consent of the Complainant, Respondent, and the university.

Generally speaking, the informal resolution process includes the following steps:

  1. Both Parties agree to pursue Informal Resolution;

  2. Both Parties sign a written agreement to participate in Informal Resolution;

  3. A trained facilitator meets with the Complainant (and their advisor if applicable) to understand their desired outcomes;

  4. 同一调解人与被投诉人(以及他们的顾问，如果适用)会面 see if they agree with the Complainant’s desired outcomes, whether the Respondent 想要改变任何提议的结果，和/或被申请人是否不同意 with any/all of the desired outcomes;

  5. 调解人继续与投诉人和被投诉人(及其顾问)会面， if necessary;

  6. 如果双方对结果达成一致，他们将签署一份书面协议和该事项 will be considered closed. The Title IX and Gender Equity Office monitors compliance with the Agreement.

  7. 如果双方不能就结果达成一致，则非正式解决程序结束，并且 正式的解决程序(调查、听证和选择性上诉)开始. 如果投诉人不希望继续进行正式解决程序，他们 may ask the Title IX and Gender Equity Office to stop the formal process.  

第九条和性别平等办公室负责处理非正式的解决程序 as carefully as the formal resolution process; every informal resolution is overseen 由训练有素和公正的调解人提供，并提供训练有素的支持顾问 to assist both the Complainant and Respondent throughout the process. Generally, the outcome of an informal resolution does not include an admission of responsibility. 但是，结果的重点是对投诉人造成的损害，可能包括 agreement by the Respondent to participate in appropriate and reasonable remedies. These remedies could be similar to measures imposed as disciplinary sanctions, but they are always determined through mutual agreement.

The Formal Resolution Process Summarized

There are three different investigation procedures for formal complaints involving student Respondents: Track 1, Track 2, and Track 3. 

涉及员工的正式投诉有两种不同的调查程序 Respondents: Track 1 and Track 3. 

The applicable procedural Track is determined by the criteria below.

Track 1 applies when the alleged conduct:

Track 2 applies when:

  • The Complaint involves a Student Respondent; and
  • 诉状指控不当性行为、约会暴力或家庭暴力 defined in the Nondiscrimination Policy; and
  • 投诉人和被投诉人(“双方”)一方(或双方)的可信度; or any witness is central to the determination as to whether the Student violated the Nondiscrimination Policy; and
  • The Student is facing a severe disciplinary sanction (expulsion or suspension) if found to be in violation of the Nondiscrimination Policy.
     

轨道3适用于声称违反非歧视政策的所有其他投诉 

Track 3流程通常被称为“单一调查员模式”，因为 it does not involve a hearing. Instead, the assigned investigator is responsible for 就涉嫌违反政策的个案进行调查及作出决定.

The main stages of each procedural Track is displayed in the following diagram and summarized below.

Formal Resolution Process Flowchart [pdf] 

Step 1: The Formal Complaint

正式投诉是由任何一方提出的正式调查请求 the Complainant or the Title IX and Gender Equity Officer.

第二步:投诉通知书(有时称为“调查通知书”)

第九条和性别平等办公室将发布一份书面的指控通知 includes important information such as the identities of the individuals involved 在这起事件中，报告行为的总结，潜在的政策违规行为， 指派调查员的名字，以及学校反对报复的政策.

Step 3: The Investigation, Review of Evidence, & Final Report 

第九条和性别平等办公室将任命一名训练有素的公正调查员 to conduct the investigation.

双方均有权与调查人员进行面谈。 but are not required to do so. Additionally, the Parties may present witnesses and 供考虑的证据，不论当事人是否参加面谈. 各方收集和出示相关证据不受限制 to the investigator.      

在调查人员收集了所有合理可用的相关信息后， 投诉人和被投诉人将收到调查的初步版本 report and all relevant evidence for review and comment. The investigator will consider 各方对初步报告和证据的评论，并确定是否 to conduct any additional investigation. The investigator will then prepare a final investigation report and share it with the Parties and their advisors. 

对于轨道3问题，调查报告将包括责任的确定. 然而，对于第一或第二阶段的事项，案件将进入听证会 after the investigation prior to any determination of responsibility. 

  Step 4: The Hearing (For Tracks 1 and 2 only)

听证会是投诉人和被投诉人陈述相关信息的机会 information to an independent decision-maker (“hearing officer”) for consideration. 聆讯主任无须出席聆讯，亦不会抽票 negative inference from a Party’s decision to not participate. The Complainant and Respondent will not be required to be physically present in the same room; the hearing will take place using videoconferencing technology, so the Parties can participate in the hearing from wherever they choose. Additionally, the Complainant and Respondent may be accompanied by one advisor and one support person.   

The hearing will follow one of two formats, which are both fully described in the Nondiscrimination Policy. 

无论采用何种听证形式，投诉人和被投诉人都应该预料到这一点 他们将被询问由听证官和另一方提出的有关问题 through their Advisor—either in writing or directly.

听证会结束后，听证官将决定，使用优势 证据标准，信息是否足以找到被申请人 responsible for any of the policy violations at issue.  

  • If the hearing officer determines that the Respondent is responsible for violating any university policy, the Parties will be given the opportunity to submit written 在实施任何制裁或补救措施之前将考虑的影响陈述 are implemented.
    • 然后，听证官将准备一份描述结果的书面结果信 of the hearing, including any sanction(s) imposed or remedy(ies) implemented, and the Parties’ appeal rights
  • 如果听证官认定被申请人对违法行为不负责任 任何大学的政策，双方将收到书面通知的结果 with their appeal rights.

Step 5: Optional Appeal 

双方均有权对责任认定和/或制裁提出上诉; in writing, on any of the following grounds:

  1. 调查结果或结论没有合理的依据 investigation or hearing outcome.
  2. 程序上的错误可能会改变调查结果 or hearing.
  3. 在调查时无法合理获得的新证据或 可能会影响调查结果或听证人员的工作 decision about whether the Respondent violated the Policy.
  4. 就某些事项而言，所施加的制裁在客观上是不合理或武断的 based on substantiated conduct.

上诉将不会由第九条和性别平等官员、调查员、 nor hearing officer; rather, the appeal will be decided by an independent university official free of any conflict of interest or bias.  Both Parties will receive written notice of the appeal outcome, after which the matter will be considered closed.