Student Anti-Discrimination & Discriminatory Harassment Procedures

This section describes how to report an incident of Discrimination, Discriminatory Harassment, or other Prohibited Conduct. It also lays out Employees’ obligations for making such Reports.

Reporting Prohibited Conduct

1. Who Can Report Prohibited Conduct?

Any individual, whether a University Affiliate or not, may report alleged violations of this Policy. The Reporter may be the person who experienced the alleged Prohibited Conduct, someone who was a Witness to or otherwise learned of the alleged Prohibited Conduct, and/or a mandatory Reporter (see Section V.B).

2. How to Report Prohibited Conduct

If you believe you have been subjected to, witnessed, or have otherwise learned of Prohibited Conduct covered by this Policy, you can notify the Office in any of the following ways:

• By submitting an online form at https://cm.maxient.com/reportingform.php?ColumbiaUniv&layout_id=39;
• By e-mail at [email protected];
• By phone at (212) 854-5511;
• By mail at 80 Claremont Avenue, 4th Floor, MC 9620, New York, NY 10027; or
• By hand delivery to 80 Claremont Avenue.

The Office recognizes that Students may be most comfortable disclosing alleged misconduct to a University Employee whom they know well, such as a faculty member, a coach, or a Student engaged in an official capacity, such as a resident advisor. As described in Section B below, these individuals and other University Employees are required to report allegations of Prohibited Conduct to the Office. Before a Student reveals information about an alleged incident, Employees will try to ensure that the Student understands their reporting obligations. If a Student wants to maintain confidentiality and has not disclosed information about an alleged incident, these Employees should seek to direct the Student to the University’s Confidential Resources. 

The University supports events, forums, and advocacy meetings that raise public awareness of Discrimination and Discriminatory Harassment, and that inform and are a part of the University’s campus-wide education and prevention efforts. The disclosure of incidents of Prohibited Conduct at such events, forums, and meetings is not considered a Report to the University or the Office for the purposes of prompting a process under this or any other policy with respect to a particular incident.

3. What You Should Include in a Report of Prohibited Conduct

Reports should include all the information that the Reporter knows about an incident or issue that is being reported. Such information may include, but is not limited to, the following:

• The names and roles (e.g., Student, Recognized Student Group, Employee, third party) of the Complainant and the Respondent and their e-mail address(es), telephone number(s), and street address(es), if known;
• Details about the incident(s) or conduct that may have violated this Policy;
• Date(s) and location(s) of the incident(s);
• The name(s) and role(s) of any Witness(es) to the incident(s) and their e-mail address(es), telephone number(s), and street address(es), if known; and
• The Reporter’s name, e-mail address, telephone number, and street address.

While a Report may be submitted anonymously, anonymous Reports may limit the Office’s ability to respond and investigate. Due to the nature of anonymous Reports, action by the Office in response to an anonymous Report may be more difficult and, at times, impossible. Mandatory Reporters may not submit a Report anonymously.

4. Time for Reporting

There is no time limit for submitting a Report. However, the Office’s ability to effectively respond and investigate diminishes with the passage of time. Additionally, the timing of a Report may affect the Office’s ability to impose Sanctions. For example, if a Respondent is no longer a Student at the time the Report is first made, the University is limited in the actions it can take. Accordingly, although there is no time limit for submitting a Report, the Office encourages individuals to report Prohibited Conduct as soon as possible to maximize the Office’s ability to respond promptly and effectively. Individuals may meet with Office staff to learn more about the process before making a Report or before providing additional information about a previously filed Report.

Duty to Report

The University requires all Columbia Employees, except Confidential Resources (discussed further below and in Appendix B), to report to the Office any instance or allegation of Discrimination, Discriminatory Harassment, or other Prohibited Conduct involving any Student or Recognized Student Group that is disclosed to, observed by, or otherwise known to that Employee, whether or not the Student or Recognized Student Group is a potential Complainant or Respondent and whether or not the Student or Recognized Student Group has any formal connection to the Employee who is subject to this duty. This duty applies to all Employees, including faculty, officers of administration, research officers, officers of the libraries, coaching staff, and other staff who work directly with Students (e.g., teaching assistants, advising staff, and residential program staff). Employees are required to report all information known to and/or learned by them regarding the alleged Prohibited Conduct, including, but not limited to:

• Names of all individuals involved, which includes the potential Complainant(s), Respondent(s), and anyone else who may possess information relevant to the alleged Prohibited Conduct.
• The nature of and circumstances surrounding the alleged Prohibited Conduct;
• When and where the alleged Prohibited Conduct occurred; and
• Any other information related to the alleged Prohibited Conduct.

If an instance or allegation of Prohibited Conduct involves an immediate safety concern, the Employee must report the alleged Prohibited Conduct to the Office and to Columbia Public Safety.

If any other University office learns of instances or allegations of Prohibited Conduct during the course of addressing a matter within its jurisdiction or learns of an allegation or Report of Prohibited Conduct that has not been made to the Office, such information must be forwarded to the Office. The Duty to Report is in place to ensure that Students and Recognized Student Groups are provided appropriate resources, to allow the University to mitigate harm to our community, and to help comply with the University’s legal obligations.

The one exception to the Duty to Report is University Employees working in a confidential capacity, including those working in Sexual Violence Response; Clergy; Counseling and Psychological Services (Morningside); Mental Health Services (CUIMC); Disability Services; the Ombuds Office; and Healthcare Providers. University Employees working in a confidential capacity will not report information shared with them, unless requested to do so by the Reporter. See Appendix B below for information about Confidential Resources at the University.

Upon receiving a Report of alleged Prohibited Conduct, the Office will promptly review the Report and gather any additional information necessary in order to determine next steps. This initial process may include meetings with the Parties which for Respondent(s) could be mandatory at the discretion of OIE. OIE may also provide supportive measures and other accommodations to the Parties at its discretion. See Frequently Asked Questions.

Interim Measures

At any time after receiving a Report, the Office may impose Interim Measures, based on the totality of the circumstances known at the time, to protect the safety of all Parties involved, to prevent the escalation of conflict, to mitigate any risk of further immediate harm, or to protect the integrity of the resolution process while the process remains ongoing. Interim Measures may include, but are not limited to:

• Temporary suspension of a Student Respondent from enrollment with the University;
• No-contact directives;
• Restricting a Party’s access to campus buildings and/or University property;
• Moving a Student’s residence;
• Temporary suspension from specified activities and/or positions of leadership;
• Indicating on a Student’s official transcript that a disciplinary process is pending; and/or
• Withholding a Student’s transcript, diploma, and/or degree, as indicated by an administrative hold.

Where a Party is a Recognized Student Group, additional Interim Measures may include, but are not limited to:

• Temporary suspension of the recognition of a Student Group Respondent;
• Freezing of financial accounts associated with the group;
• Loss of the group’s ability to reserve space;
• Temporary restriction of certain individuals from leadership positions in the group; or
• Group probation.

Interim measures will be reasonable and tailored. When an interim measure is imposed, the Office will provide the Respondent with Notice and an opportunity to appeal the decision immediately following the suspension, as discussed further below (See Section IX). The imposition of any Interim Measure does not indicate that the Office has made a final decision about any Report of Prohibited Conduct.

Any Interim Measure(s) implemented will be periodically reviewed and may be revised as appropriate. Failure to comply with Interim Measures or other directives is a violation of University policy and may lead to disciplinary action and/or Sanctions, as appropriate.

Parties may request review of the need for, and the terms of, any Interim Measure (or lack thereof) that directly affects them. Requests for review of an Interim Measure must be submitted in writing to the Vice Provost of the Office or their designee, and a review will be conducted within a reasonable period upon receipt. Parties may submit relevant evidence in support of their request for review. The Vice Provost of the Office or their designee will provide any Party that requests a review of an Interim Measure written determination of the outcome of the review.

Under this Policy, there are several possible processes available for resolving a Report of Prohibited Conduct. The Office will determine the appropriate process to be followed in each case, based on the totality of the circumstances related to a Report. The Office retains discretion to determine the appropriate process.

Informal Resolution Processes

Within its discretion, the Office may resolve a Report through one of the informal resolution processes described below. Informal resolutions do not result in disciplinary sanctions. A Party or Advisor may also be asked to sign a privacy agreement before participating in an informal resolution process, to the extent necessary and appropriate in the Office’s discretion. Any Party who engages in the unauthorized disclosure of information or evidence obtained solely as a result of participation in an Informal Resolution process under this Policy.

1. Administrative/Educational Resolution

An Administrative Resolution can include no-contact directives, implementation of safety measures, referrals to counseling, facilitated conversations, a meeting and/or letter that includes a policy reminder, targeted education, mandatory educational resolution, and/or training, which may in OIE’s discretion be mandatory.

2. Restorative Justice

Restorative Justice (“RJ”) is an approach to wrongdoing and interpersonal conflict that emphasizes the impact of challenging behaviors on individuals and communities. Instead of focusing on the appropriate consequence for violating a rule, RJ focuses on how the actions in question affected others and what can be done to make things right moving forward.

3. Mediation

The purpose of a Mediation is for the Parties to identify the implications of a Respondent’s alleged Prohibited Conduct and, with the assistance of a trained facilitator (the “Mediator”), to identify points of agreement and appropriate remedies. Mediation will be used only if each of the Parties consents to engage in Mediation.

Formal Resolution Process (Investigation and Determination)

In cases where the other resolution processes discussed above are unavailable, have been unsuccessful, or are deemed inappropriate or insufficient by the Office, the Office may conduct an Investigation and Determination.

1. Investigative Team

The Office will designate an Investigative Team to investigate whether a violation of the Policy occurred. The Office may, in its discretion, assign non-Office personnel to investigate a matter. The Investigative Team may be comprised of a single Investigator or multiple Investigators. All Investigators will have training in investigating and evaluating Prohibited Conduct. The Investigative Team will be impartial and unbiased.

2. Investigative Procedures

a. Notice

Once the Office determines that the case will proceed as an Investigation, the Investigative Team will send the Parties written Notice. The written Notice may include: 

• A description of the alleged Prohibited Conduct, including the provisions of this Policy that may have been violated; and
• The date(s) and location(s) of the alleged incident(s). 

The Notice may also include:

• A written explanation of the Party’s rights and available resources;
• A statement identifying the definitions of acts of Prohibited Conduct set forth in the Notice and procedures that will be applied during the resolution process;
• A statement that Respondents are presumed not responsible for alleged Prohibited Conduct and that any determination regarding a violation of this Policy is made at the conclusion of an Investigation;
• A reminder that the Office prohibits knowingly making false statements or knowingly submitting false information during any resolution process;
• A direction to preserve any relevant evidence in the Party’s possession, including emails, texts, social media posts, or other electronic communications or records;
• A statement that this Policy will not be construed to abridge academic freedom, the principles of free speech, or the University’s educational mission; and
• A reminder that Retaliation against a Complainant, a Respondent, or any other individual because that individual has engaged with the Office and/or the resolution process is a violation of the Policy.

The Office may update the written Notice to the Parties if the Office learns of additional relevant information during the pendency of the Investigation. Whenever allegations are added or modified during the Investigation, the Office will provide an updated Notice to the Parties.

The Office may, in its discretion, schedule non-investigative meetings with the Parties to discuss the nature of the allegation(s), the rights and responsibilities of each Party, the prohibition against Retaliation, and the process to be followed.

b. Privacy Agreements

The Parties and any Advisors will be asked to sign a privacy agreement at the start of an Investigation and Determination. A Party, Advisor, or Witness may also be asked to sign a privacy agreement before participating in a meeting or interview, to the extent necessary and appropriate in the Office’s discretion. The purpose of such an agreement is to protect the privacy of Parties and Witnesses and the integrity of the Investigation. The Investigative Team will not share certain materials with any Party, Advisor, or Witness who fails to sign a privacy agreement. Any Party or Witness who engages in the unauthorized disclosure of information or evidence obtained solely as a result of participation in the Investigation and Determination process under this Policy and/or violates the privacy agreement may be subject to discipline.

c. Investigation

Interviews: The Investigative Team may conduct separate interviews with Parties and Witnesses. Parties’ Advisors may be present for such interviews. During these interviews, the Investigative Team will speak to each Party or Witness in detail about the allegation(s) and will ask each Party to provide, generally, within five (5) business days after the interview, a list of potential Witnesses and/or copies of any relevant documents or evidence to be considered.

The Investigation may include, but is not limited to, a mandatory interview with the Respondent(s), at the discretion of OIE. When a Respondent is a Recognized Student Group, the Investigative Team may require an interview with the Group’s Representative(s). The Representative of the Group is expected to have knowledge of the allegations against the Group, and authority to speak on the Group’s behalf. If the Group Representative(s) does not know the requested information, the expectation is that the Group Representative(s) will ascertain that information from the appropriate member(s) of the Group who have that information and provide such information to the Investigative Team within five (5) business days of the Investigative Team’s request for such information.

All Parties and Witnesses are required to be honest and act in good faith. Any Party or Witness who knowingly makes a false statement in connection with an Investigation may be subject to separate disciplinary action. Interviews conducted as part of the Investigation may be recorded by the Investigative Team. No Party may record any meeting or interview conducted as part of the investigative process.

Evidence: The Investigative Team will direct the Parties, Witnesses, and other interested individuals to preserve any relevant evidence. Examples of relevant evidence include, but are not limited to, electronic messages (e.g., emails, text messages, social media and digital app messages) and other relevant writings, photographs, and recordings. Any evidence submitted to the Investigative Team for consideration may become part of the Investigative Report in redacted form and may, as discussed below, be shared with the opposing Party and their Advisor, if applicable. The Office may impose restrictions or require a privacy agreement to prevent the dissemination of any evidence.

Relevance: Throughout the Investigation, the Investigative Team may exercise the discretion to determine the relevance of any Witness testimony and/or evidence and to determine that certain Witnesses and/or evidence should be included in or excluded from the investigative process based on their relevance. Witnesses and information are relevant to an Investigation if they help to show that an allegation is more or less likely to be true.

Documentary and Other Evidence: To streamline the investigative process and ensure a fair review of the evidence, Parties and Witnesses are expected to submit evidence to the Investigative Team in an electronic format, and in accordance with any additional instructions provided by the Investigative Team. However, the Investigative Team will work with Parties and Witnesses to receive evidence in another manner when electronic submission is not possible. 

Intentional manipulation, editing, or other forms of fabricating evidence may result in disciplinary action or the drawing of an adverse inference against a Party found responsible for such fabrication (e.g., an inference that the evidence in its original form was prejudicial to the Party that engaged in fabrication).

No Party, Advisor, or Witness may copy or photograph any documents or other evidence to which they are afforded access as part of the investigative process.

Limitations on Evidence: Any information protected by a legally recognized privilege (e.g., attorney-client, doctor-patient) will not be considered at any point during an Investigation, unless the privilege is properly waived by the Party who holds the privilege.

Questions: Throughout the Investigation, any Party may propose to the Investigative Team questions to be asked of any other Party or of any Witness involved in the Investigation. Questions will be reviewed by the Investigative Team for their appropriateness, relevance, and permissibility pursuant to this Policy. If any questions proposed by a Party are outside the scope of this Policy or are irrelevant to the case, such questions will not be asked. The Investigative Team may, in its discretion, modify any proposed question for appropriateness, relevance, or clarity. The Investigative Team may, in its discretion, pose or decline to pose any proposed questions.

Weight and Credibility Assessments: The Investigative Team will consider the weight and credibility of any evidence. The weight to be given to any evidence is based on the believability or persuasiveness of such evidence. Different evidence holds different weight in inducing belief with respect to the facts and circumstances to be proved. Evidence that is indirect, vague, or improbable will be given less weight than evidence that is direct and unrefuted. Evidence given by a Witness who participates credibly from personal observation is of greater weight than evidence offered by a Witness who shares information from general knowledge alone. The Investigative Team will afford the greatest weight to credible statements concerning firsthand knowledge by Witnesses and Parties regarding their own memory of specific facts or incidents that occurred.

Credibility refers to whether evidence is worthy of belief. The Investigative Team will consider the following factors when assessing the credibility of Parties and Witnesses: consistency or inconsistency of accounts of events over time; potential for bias in favor of a specific Party or outcome; any corroborating evidence; and reasonable and logical statements, including statements about details associated with the allegations.

Witnesses: Each Party has the right to identify any individuals who may be Witnesses to or otherwise have relevant information concerning the alleged Prohibited Conduct. The Investigative Team may attempt to contact and interview any Witnesses it deems to have relevant information, including but not limited to those identified by the Parties. All Witnesses are obligated to be honest and act in good faith. Any Witness who knowingly makes a false statement in connection with an Investigation may be subject to separate disciplinary action.

Standard and Burden of Proof: The Investigative Team will apply “preponderance of the evidence” as the standard of proof in reaching its determinations as to whether a violation of this Policy has occurred. Preponderance of the evidence means that the Investigative Team must determine, based on the evidence presented, whether a Respondent was more likely than not to have engaged in the alleged Prohibited Conduct. During the Investigation and Determination process, Respondents are presumed not responsible. The Investigative Team bears the burden of supporting its determination of responsibility.

d. Investigative Report and Determination Letter

Following the Investigative Team’s collection of evidence, the Investigative Team will prepare an Investigative Report. In accordance with FERPA, the Investigative Team will redact Students’ names and other identifying information from the Investigative Report and related materials. The Investigative Team retains discretion over redactions, consistent with this Policy, the University’s FERPA policy, and other applicable laws and regulations.

Each Party will receive a written Determination Letter, stating the Investigative Team’s determination(s) of responsibility. The Determination Letter will briefly summarize the alleged Prohibited Conduct that was the subject of the Investigation and Determination, identify the provisions of this Policy at issue, and indicate the Office’s determination(s) as to whether the conduct violated the Policy. The Determination Letter will also describe the applicable timeline for an appeal. Only the Respondent has a right to appeal. Each Party may also provide a written impact statement discussing how the alleged Prohibited Conduct has impacted them. The impact statement must be prepared by the Party and be no more than five single-spaced typed pages, using size 12-point Times New Roman font and one-inch margins. The impact statement must be submitted within three (3) business days of the Determination Letter.

Any Party may, upon request to the Office, arrange to review a copy of the Investigative Report that has been redacted in compliance with FERPA and other applicable laws and policies. A Party may be accompanied by an Advisor while reviewing the Investigative Report and may take notes of the Investigative Report, but may not take photos, screenshots, or copy the Investigative Report in whole or in part.

Education and Training

At any point during or after the resolution process, including in cases where a Report is closed or a Respondent is found not responsible for an alleged violation of this Policy, the Dean of Students or equivalent administrator at the Respondent’s school may require that any Respondent, and/or any member or affiliate of a Respondent that is a Recognized Student Group, receive appropriate education and/or training related to any alleged Prohibited Conduct. Such education and/or training will not call for abridging the Respondent’s academic freedom. The Dean of Students or equivalent administrator may also recommend other support services.

If a Respondent is found responsible for a violation of this Policy, Sanctions will be imposed. This section describes how Sanctions are determined, provides a non-exhaustive list of possible Sanctions, and explains other steps the Office may take after a determination of responsibility has been made.

How Sanctions Are Determined

Any Sanction imposed will be:

• Fair and appropriate, given the facts of the particular case;
• Adequate to promote the ability of all members of the University community to access the University’s activities and programs free from Discrimination or Discriminatory Harassment;
• Designed to address any Hostile Environment to which the Prohibited Conduct contributed in any of the University’s programs or activities or at the University as a whole;
• Reflective of the seriousness of the Prohibited Conduct that was found to have occurred; and
• Generally consistent with Sanctions imposed in similar cases under similar circumstances.

In determining the Sanction, relevant factors that may be considered include, but are not be limited to:

• The specific Prohibited Conduct at issue;
• The totality of the information available about the circumstances surrounding the Prohibited Conduct;
• The Respondent’s state of mind, or the state of mind of the Respondent’s members or affiliates if the Respondent is a Recognized Student Group;
• The Respondent’s prior disciplinary history in proceedings under the Policy or any other University policy;
• Sanctions imposed on the Respondent in other matters involving similar Prohibited Conduct;
• Sanctions imposed on any other Respondents in the same matter;
• The impact of the Prohibited Conduct on the Complainant and on the University community more generally;
• The existence of a Hostile Environment in any of the University’s programs or activities or at the University as a whole, and the extent to which the Respondent’s Prohibited Conduct created or contributed to any such Hostile Environment; and
• Any extenuating, aggravating, or other information deemed relevant.

When a Respondent is found responsible for a violation of this Policy following an Investigation and Determination, a Sanction will be determined by a majority vote of a Sanctioning Panel, in consultation with the Investigative Team and the Office. The Sanctioning Panel will consist of three Deans: The Dean of Student Affairs of the Respondent’s school and two other Deans of Student Affairs, or equivalent positions within another University school. The Sanction will be communicated to the Respondent by letter within ten (10) business days of the date of the Determination Letter. The time frame for Sanctioning decisions may be adjusted, however, based on the availability of the individuals responsible for making the Sanctioning decisions.

In those cases that go through the Investigation and Determination process, there will be no Sanction without a determination of responsibility.

Possible Sanctions

The University may, consistent with applicable law and Columbia’s policies, impose one or more of the following Sanctions on a Student determined to have violated this Policy:

• Reprimand/disciplinary warning;
• Conditional disciplinary probation;
• Disciplinary probation;
• Revocation of honors and/or awards;
• Restriction of access to University facilities or activities, up to and including a total ban from access to all University-owned buildings or property (i.e., persona non grata status);
• Removal from and/or restricted participation in academic or extracurricular activities and/or University organizations (including Recognized Student Groups), or restriction from receiving University services;
• Removal from Student housing;
• Admission revocation;
• Disciplinary suspension (suspension for a fixed period of time or indefinite suspension, with the opportunity to petition for re-admission);
• Expulsion;
• Withholding or deferral of issuance of degree; and/or
• Degree Revocation.

The University may impose one or more of the following Sanctions on a Recognized Student Group determined to have violated this Policy:

• Reprimand/disciplinary warning;
• Education and training;
• Travel restrictions;
• Deduction of funds from the Recognized Student Group’s budgetary allocation;
• Freezing of the Recognized Student Group’s ability to access its budgetary allocation or to reserve space;
• Temporary or permanent prohibition of certain individuals from serving in leadership positions in the Recognized Student Group;
• Disciplinary probation of the Recognized Student Group;
• Disciplinary suspension of the Recognized Student Group;
• De-recognition of the Recognized Student Group; and
• Recommendation for Charter Revocation.

These lists are not exhaustive, and the Office may fashion other Sanctions appropriate to the circumstances of any particular case. 

If a Sanction of disciplinary probation, disciplinary suspension, expulsion, withholding of degree, or revocation of degree is issued to a Student Respondent, the Student will not be considered in good disciplinary standing. In addition, if a Student Respondent receives a Sanction of expulsion, the Student will be permanently separated from the University and will not be permitted to return at any time.

Where a Student Respondent is found responsible and the Sanction includes disciplinary suspension or expulsion, the Student may be removed from a campus residence and either severely restricted in their movements on campus or barred completely from campus during the entirety of the Appeal-filing period and appellate process.

Where a Student Respondent is found responsible and the Sanction includes an indefinite suspension, while on such an indefinite suspension, the Student may not obtain academic credit elsewhere that may be applied toward the completion of a Columbia degree.

Readmission

A Student who has been suspended must apply for readmission and readmission is not guaranteed. Any written petition for readmission must be prepared by the Student. The petition for readmission should be submitted to the Office, for consideration by the Office, in consultation with appropriate University partners including program and school leadership, no later than April 1 if the petition is for re-admission for the fall semester and no later than November 1 if the petition is for re-admission for the spring semester. A request for re-admission must include a personal statement of no more than ten (10) single-spaced typed pages, using 12-point Times New Roman font and one-inch margins, and must demonstrate the following topics:

• Acquired an understanding of the reasons for any previous difficulties, particularly those related to the suspension, including what you learned about yourself personally and/or academically by going through the disciplinary process.
• Developed a commitment to ensuring that difficulties similar to those related to the suspension do not recur.
• Satisfactory motivation for returning to the University community generally and the Student’s academic program in particular.

The submission may include, but is not limited to, the following additional supporting materials:

• Letters of support;
• Proof of community involvement;
• Certified completion of related individual or group counseling, training, or education; and
• Any other indicators of changes in life circumstances or personal growth.

In addition to any other Sanction (except where the Sanction is, for a Student Respondent, the withholding of a degree, expulsion, or revocation of degree), the Office may require any Respondent, or any member or affiliate of a Recognized Student Group Respondent, found responsible for a violation of this Policy to receive appropriate education and/or training related to the Prohibited Conduct at issue. The Office will conduct the appropriate education and/or training. The Office may also recommend other support services to the Respondent or Respondent member or affiliate.

Transcript Notations

Upon conclusion of the appellate process, a transcript notation will be placed on a Student Respondent’s record for cases resulting in disciplinary suspension or expulsion and for cases where the Respondent withdrew from the University during the pendency of any resolution process. Notations on transcripts will be made in compliance with applicable federal and state law and will appear as follows: disciplinary suspension; disciplinary expulsion; withdrawn with disciplinary action pending. Further information on transcript notations is available in the policy on Standard Transcript Notations contained in the University Regulations.

Ongoing or Additional Supportive Measures

Whatever the outcome of any resolution process or Appeal under this Policy, the Parties may request ongoing or additional Supportive Measures, and the Office, in consultation with the designated administrator of a Student or Recognized Student Group Party’s school, will determine whether such Supportive Measures are appropriate. The Office may determine that additional measures are appropriate to respond to the effects of an incident on the University community. Additional responses for the benefit of the University community may include, but are not limited to, increased monitoring, supervision, or security at locations or activities where the misconduct occurred; additional training and educational materials for Students and Recognized Student Groups; or revision of this Policy or related University policies.

All Respondents may appeal a determination of responsibility and/or Sanction within ten (10) business days after the Respondent receives a Sanctioning Letter by filing an Appeal in writing to the Office. Failure to meet the deadline for an Appeal will result in waiver of the right to appeal.

Any Sanction imposed prior to the filing of an Appeal will remain in place during the pendency of the Appeal. The pendency of an Appeal does not stay the imposition of a Sanction.

Grounds for Appeal

Disagreement with a determination of responsibility or with a Sanction is not, by itself, grounds for appeal. The four grounds for appeal include:

Procedural Irregularity: An Appeal based on procedural irregularity must identify with specificity each alleged procedural irregularity within the resolution process and the ways in which the specified procedural irregularity or irregularities substantially affected the decision of the Investigative Team or Sanctioning officer to the detriment of the appealing Party. Disagreement with the determination is not, by itself, a ground for appeal.

New Information: An Appeal based on new information must explain why the information was not available or not provided to the Investigative Team in a timely manner and how this information would have substantially altered the decision by the Investigative Team or Sanctioning officer. If a Party declined to participate or withdrew from the process, the Appellate Officer or Panel will not consider information that the Party could have provided if they had fully participated in the process. This includes situations where a Party declines to participate on the advice of their Advisor or due to a concurrent criminal investigation.

Conflict of Interest/Bias: An Appeal based on Conflict of Interest or bias must explain how the Office, the Investigative Team, or the Sanctioning Officer had a Conflict of Interest or bias for or against Complainant(s) or Respondent(s) generally, that affected the outcome of the matter. Complainants and Respondents are afforded the opportunity throughout the process to raise a potential Conflict of Interest or alleged bias. Parties must exercise this opportunity to raise a potential Conflict of Interest or alleged bias (e.g., to identify situations where a participant in the process is a Party’s family member, close friend, current or former faculty member, or academic advisor) so that any Conflicts of Interest or biases are immediately addressed before the process moves forward. Accordingly, only newly known or newly apparent Conflicts of Interest or bias will be considered on appeal.

Sanction is Too Severe: An appeal based on the imposed sanction being too severe must explain why a sanction is disproportionate to the severity of the violation, including based on the weight of the information provided during the investigation and/or sanction phases of the process.

Appellate Procedures

Appeals involving Student Respondents are decided by the majority vote of an Appellate Panel. The Appellate Panel will consist of three Deans: the Dean of the Respondent’s school and Deans from two other schools. Should a Dean from any Party’s school have a Conflict of Interest, Deans from other schools will be added to the Appellate Panel so that it consists of three Panelists.

Appeals involving Recognized Student Group Respondents are also decided by the majority vote of an Appellate Panel. The Appellate Panel will consist of three Appellate Officers to be designated by the Office, who will be senior officers of the University.

Attached to their Appeal, the appealing Party may provide a written submission for the Appellate Panel to review. The written statement must be prepared by the Party and be no longer than five (5) single-spaced typed pages, using 12-point Times New Roman font and one-inch margins. No attachments or exhibits will be accepted; references to evidence should be made to cited portions of the Determination Letter or Sanctioning Letter, the Investigative Report, or materials included with the Investigative Report.

The purpose of an Appeal is not to initiate a review of substantive issues of fact or to make a new determination of whether a violation of this Policy has occurred. The Appellate Panel is strictly limited to determining if an Appeal should be granted based on the above grounds for appeal. In making a determination, the Appellate Panel will have access to and the ability to review all applicable documents, including the Appeal, and the complete Investigative Report and all exhibits. The Appellate Panel may also request additional information from the Investigative Team and/or the Sanctioning Officer. If a Party submits an Appeal containing inaccurate facts or information outside the scope of this Policy, those portions of the information may be redacted and/or the Office may provide a curative instruction to the Appellate Panel.

The Appellate Panel may take the following actions:

• Affirm the determination and/or Sanction;
• Revise the Sanction; or
• Reverse the determination and send the matter back to the Investigative Team or a different Investigative Team for further consideration.

If the matter is returned to an Investigative Team, the Appellate Panel will provide instructions regarding the nature and extent of the reconsideration. Following reconsideration by the Investigative Team, further proceedings will be conducted as appropriate.

Decisions regarding Appeals will generally be rendered within twenty (20) business days after the receipt of the last written submission by either of the Parties, depending on the availability of the Appellate Panel at the time of the Appeal. The Office will notify the Parties if there is a delay.

There is no further recourse beyond the decision of the Appellate Panel. The Appellate Panel will notify the Respondent(s) of its decision in writing. The Complainant(s) will receive notice that the resolution process has been completed but, due to restrictions imposed by FERPA and consistent with the University’s FERPA policy, the Complainant will not be notified of the fact that the Respondent appealed nor of the outcome of the appellate process.

Records Retention and Disclosure

The Office must retain documentation generated during the course of its assessment of and response to Reports of Discrimination, Discriminatory Harassment, and other Prohibited Conduct for seven (7) years. This includes, as applicable, Reports, documentation of attempts to determine the identity(ies) of Parties involved in reported incidents if not known to the Reporter, Notices, interview notes and recordings, documentary evidence collected, documentation concerning Supportive Measures and Interim Measures, Investigative Reports, Determination Letters, Sanction Letters, documentation pertaining to Appeals, and any other relevant documents or correspondence. Relevant portions of this documentation may become part of a Student Respondent’s educational record or the University’s files concerning a Recognized Student Group Respondent.

Records of disciplinary proceedings involving Students are subject to FERPA, a federal law governing the confidentiality of Student information. FERPA generally limits disclosure of Student information outside the University without the Student’s consent, but it does provide for release of Student disciplinary information without a Student’s consent in certain circumstances. For example, it is important to note that the release of Student disciplinary records is permitted, without prior consent, to University officials with a legitimate educational interest, such as a Student’s academic advisor and staff of Columbia Athletics if the Student is an athlete. The University will also release information when a Student gives written permission for information to be shared.

Any information gathered by the Office may be subpoenaed by law enforcement authorities as part of a parallel or subsequent investigation into the same conduct or required to be produced through other legal processes.

Unless otherwise specified by a Student Respondent, the University will respond to third-party requests for a Student’s disciplinary records (e.g., requests by graduate schools or employers) by disclosing only records of disciplinary matters that result in the change of a Student’s good disciplinary standing at the University, and only with the Student’s prior written permission. Matters that resulted in disciplinary probation are reported for seven (7) years from the date that the Student was found responsible for a violation of University policy. Matters that result in a disciplinary suspension or in expulsion from the University are reported as a part of the Student’s permanent education record. Matters where Students maintained good disciplinary standing are not reported unless otherwise specified by the Student. Any such disclosure includes the Student’s violation(s), the corresponding Sanction(s), and the date of determination.

Students and alumni may inquire about their disciplinary record here.

Annual Assessments and Reports

A federal law called the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (“Clery Act”) requires the University to record and report certain information about campus safety, including the number of incidents of certain crimes on or near campus. As described in the chart in Appendix B, many Employees who receive Reports of Prohibited Conduct are required by the Clery Act to notify Columbia Public Safety about such incidents for statistical reporting purposes only; these notifications may include the classification and location of the reported crime, but do not identify the individuals involved.

Additionally, as a matter of policy unrelated to the Clery Act, the University will report aggregate information to the University community concerning reported incidents of Discrimination or Discriminatory Harassment and the results of related disciplinary proceedings. Such reports will not contain information identifying individual participants.

At least annually (and possibly more frequently, as circumstances dictate), the Office will (i) search University websites and publications to ensure that information regarding policies and procedures concerning Discrimination or Discriminatory Harassment, and the links to such policies, procedures, and reporting forms are up to date; and (ii) review all Reports received, regardless of their disposition, to determine if any patterns, recidivism, or collective incidents exist that may have created or contributed to the existence of a Hostile Environment for members of any Protected Class in any University program or activity or at the University as a whole.

University Authority / Amendment

The University may amend this Policy periodically, including in response to new or amended laws or regulations. Nothing in this Policy affects the inherent authority of the University to take such actions or alter, change, or modify this Policy as it deems appropriate to further the educational mission or to protect the ability of all members of the University community to access the University’s activities and programs free from Discrimination, Discriminatory Harassment, and other Prohibited Conduct. The information in this Policy is intended to be explanatory and not contractual in nature.