A Formal Complaint may be filed as the first course of action or following an Informal Complaint if there is no mutually acceptable resolution during the Informal Resolution Process. The University also may initiate an investigation in the absence of a Formal Complaint by a Complainant.
STARTING THE PROCESS
Investigations are either initiated by the impacted individual (Complainant) or by the University. A third party such as a faculty member, friend, or parent can never initiate an investigation on behalf of the Complainant.
The Complainant-initiated Complaint process starts when a person who believes that they have personally experienced Harassment or Discrimination files a formal Complaint with the Office for Civil Rights. If you believe you have experienced Harassment or Discrimination, please click here to request to speak with an OCR staff member.
The Complaint should include the names of those involved (including your own), the location of the incident, a description of the incident or conduct, and the date when the incident occurred. In the event of a pattern of incidents, the report should indicate the date of the most recent incident. Complaints of Harassment or Discrimination must be filed within 120 days of the incident’s occurrence. The Complaint should give OCR enough information about what happened to determine whether the facts could indicate that there was a policy violation.
Please be aware that the Complaint will be shared with the accused (called the Respondent) even if the Complaint is dismissed prior to an investigation. The Complaint as shared with the Respondent will include the name of the Complainant unless the Vice President for Ethics and Compliance agrees to a Complainant’s request for anonymity. For more information on requests for anonymity, please see the Procedures for Resolving Complaints of Discrimination and Harassment.
Occasionally, the University will elect to initiate an investigation absent a formal Complaint by a Complainant. The University will only initiate investigations where the behavior poses a threat to the health and safety of the overall campus community. Violence, theft, destruction of property and assault are examples of behaviors that might prompt a university-initiated investigation.
The Vice President for Ethics and Compliance (VPEC) is the sole decision maker for whether the University initiates an investigation. Information that might prompt a University-Initiated investigation is typically gathered from mandatory reporters, police reports, or impacted individuals.
OCR will notify impacted individuals if the University is considering a University-initiated investigation. Impacted parties will have the chance to provide input that will help the University decide whether to move forward. If you have been asked for your input because the University is considering an investigation and you wish to discuss the process with a confidential advocate, please click here.
INITIAL ASSESSMENT
Complainant-initiated investigations first go through an initial assessment review. During this phase of the process, the Decisionmaker tries to determine whether the incident reported could constitute a policy violation. In making this evaluation, the Associate Vice President for Civil Rights or Dean of Students will view the information in the light most favorable to the Complainant.
Within five calendar days of a Complaint being received, the Associate Vice President for Civil Rights or Dean of Students will notify the Complainant and the Respondent of the outcome of their review. If the Complaint moves forward, the Associate Vice President for Civil Rights or Dean of Students will assign the case to Investigators and the Investigation process will begin. If the Complaint is dismissed, a rationale for the dismissal will be provided.
RESPONDENT NOTIFICATION AND RESPONSE
The Respondent will be notified of a Formal Complaint upon the initiation of an investigation or the dismissal of the complaint. The Respondent is notified of a University-initiated investigation upon its initiation. Unless the Complaint is dismissed (as described above) the Respondent will have no more than ten (10) calendar days to provide a written response to the allegations. A response to the allegation is not required.
INVESTIGATION PERIOD
When a case is initiated, the University assigns two Investigators to conduct the investigation. The Investigators will typically meet first with the Complainant and then the Respondent.
The initial meetings are quite long and are likely to go into significant detail. You may bring a support person with you to these meetings, but that person may not speak on your behalf. The Investigators will ask specific and detailed questions about the allegations, your experience, your response, etc. They may also ask for specific evidence such as text messages, photos, videos, emails, and screenshots. At the end of the meeting, the Investigators will ask the Complainant and Respondent for a list of people they should speak to for the investigation. The investigator will then reach out to individuals that might be able to contribute to the investigation.
If participating in the process, provide documentation as appropriate and available
The Investigators may reach out to the Complainant and Respondent again with additional questions or to set up additional meetings. It is not uncommon to meet with Investigators at least twice over the 45-calendar day investigation period.
During this process, it is the Complaint’s responsibility to demonstrate to the Investigators that the Respondent violated a University Policy. In the event that a Respondent chooses not to participate in an interview or declines to provide information requested by the University Investigator, the University Investigator may conclude that such information or interview, if provided or conducted, would be adverse to the Respondent. Where the complaint or the circumstances involve potential criminal conduct, however, a Respondent may choose to remain silent during the process, and such silence will not be held as an admission or considered to be adverse to the Respondent. The purpose of this meeting is to review the process with the Complainant and Respondent and answer any questions about the process.
Complainant’s Responsibilities:
Respondent’s Responsibilities:
REPORT AND EVIDENCE REVIEW
Within 10 calendar days of the conclusion of the Investigation, the Investigator(s) will share the Investigation report and all gathered evidence with the parties and the decision maker. The report will include the Investigators’ summary of the facts, a credibility assessment of the parties and witnesses, and the Investigators’ conclusions. The report is final.
PANEL & DETERMINATION
Within 10-15 calendar days of the receipt of the final report, the Associate Vice President for Civil Rights or Dean of Students will convene a three-person advisory panel to assist in making a determination. The Complainant and Respondent are not required nor expected to attend, but either party may request to attend to make a brief statement and answer any questions the panel members may have. Although the panel is there to assist, the Associate Vice President for Civil Rights or Dean of Students is the sole decision maker.
Within 10 days following the meeting with the panel from the Advisory Committee, the Chancellor, Dean of Students or Associate Vice President for Civil Rights shall make a written determination whether a violation of one or both of the Policies has occurred and whether the Formal Complaint was knowingly false or malicious.
APPEAL
The Complainant (or impacted party in the case of a University-Initiated Investigation) and the Respondent each have the right to appeal the decision of the Chancellor, Dean of Students or Associate Vice President for Civil Rights and imposition of any sanction to the Vice President for Ethics and Compliance. The appeal must be in writing with all supporting materials attached and filed in person, via courier, or via postal or electronic mail within seven calendar days of the issuance of notification of the decision. Decisions not appealed within such time are deemed final. A copy of any appeal will be furnished to the Complainant (or impacted party in the case of a University-Initiated Investigation) or the Respondent(s), as the case may be. Each party may provide a response to the appeal.
The appeal shall consist of a concise and complete written statement outlining the grounds for appeal and all relevant information to substantiate the basis for the appeal. Appeals are not intended to open a new investigation of the complaint. In most cases, appeals are confined to a review of the written documentation and pertinent documentation regarding the grounds for appeal. The appeal will be conducted in an impartial manner.
The Vice President for Ethics and Compliance will issue a decision on the appeal to all parties involved. Normally this decision will be made within 20 calendar days from the date the appeal was received. The Vice President for Ethics and Compliance may (1) uphold or reverse the finding, (2) decrease or increase the sanction(s), and/or (3) take other action as deemed appropriate by the Vice President for Ethics and Compliance. The written decision of the Vice President for Ethics and Compliance on the appeal shall constitute the University’s final action.