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

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).

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:

• Via 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.

If the circumstances make a discussion with, or a Report to, the Office inappropriate (for example, if the Report involves Office personnel), incidents may be reported to the Office of the General Counsel, 412 Low Library, MC 4308, 535 West 116th Street, New York, NY 10027.

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 V.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. As described in Section V.B below, Confidential Resources are not obligated to report disclosures of Prohibited Conduct except for aggregate statistical data that does not include individuals’ names or identifying information. Confidential Resources will not share with the Office identifying information concerning a Student or an incident without the Student’s permission, except under exigent circumstances as required by law.

In addition to, but not instead of, filing a Report with the Office, union members may also file Reports with their collective bargaining unit, unless prohibited by their collective bargaining agreement or an inherent Conflict of Interest would interfere with a fair adjudication in the collective bargaining unit. Any proceedings conducted by a collective bargaining unit will be governed by the procedures of the applicable collective bargaining agreement.

The Office takes allegations of Discrimination, Discriminatory Harassment, and other Prohibited Conduct seriously and will take appropriate action with regard to each Report.

What You Should Include in a Report of Prohibited Conduct

Reports should include all of 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, 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 can 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.

Time for Reporting​​​​​​​

There is no time limit for submitting a Report of Discrimination, Discriminatory Harassment, or other Prohibited Conduct. 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.

Requesting Confidentiality in Connection with a Report

A Reporter or Complainant may request that the Office not disclose their identity to anyone else, including a Respondent or potential Respondent. However, the Office cannot guarantee that a Reporter’s or Complainant’s identity will not be disclosed. The Office will consider requests for confidentiality and honor them when appropriate.

In considering a request for confidentiality, the Office will weigh factors appropriate to the specific case, including but not limited to the following:

• Circumstances suggesting that there is an increased risk of the Respondent committing additional acts of Prohibited Conduct, such as whether there have been other Reports against the same Respondent and whether the Respondent threatened further Prohibited Conduct against the Complainant or others; and
• Whether the University possesses other means to obtain relevant evidence, such as security cameras, Witnesses, or physical evidence.

The Office will promptly notify a Reporter or Complainant who has requested confidentiality whether the Office will be able to honor that request.

Whether or not a Reporter or Complainant requests confidentiality and whether or not the Office is able to grant such a request if made, Office personnel will reveal information about Reports and proceedings only to those who need to know in order to carry out their duties and responsibilities. See Section IV.B, “Privacy,” above for more information.

Public Awareness Events

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.

Related Alcohol and Drug Violations (Amnesty for Students)

The University recognizes that Students who have been drinking and/or using drugs at the time that Discrimination, Discriminatory Harassment, or other Prohibited Conduct occurs may be hesitant to report such incidents due to fear of potential consequences for their own conduct. Because the University strongly encourages Students to report Prohibited Conduct that violates this Policy, the following provision applies: A Student (including a bystander), acting in good faith, who discloses any incident of Prohibited Conduct to a University Employee or to law enforcement will not be subject to subsequent disciplinary action by the University for violations related to the possession or use of alcohol and/or drugs occurring at or near the time of the alleged Prohibited Conduct, whether such possession and/or use was intentional or accidental. This does not apply to those who use alcohol or drugs as a weapon or to facilitate Prohibited Conduct.

In an effort to encourage Students to make honest disclosures during the course of the resolution process, statements related to the use of alcohol or drugs during the reported incident(s) will also fall under this amnesty provision unless, as explained above, the alcohol or drugs were being used to facilitate the alleged Prohibited Conduct.

This amnesty provision applies only to current Students.

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, Active Alum, or Student Group that is disclosed to, observed by, or otherwise known to that Employee, whether or not the Student, Active Alum, or Student Group is a potential Complainant or Respondent and whether or not the Student, Active Alum, or 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, Active Alums, and 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.

The Office is charged with addressing Reports of alleged Discrimination, Discriminatory Harassment, and other Prohibited Conduct. The following section details the Office’s Initial Report Review and other initial steps.

Initial Report Review

Upon receiving a Report of alleged Prohibited Conduct, the Office will promptly review the Report, gather any additional information necessary in order to determine next steps, and, if applicable, offer Supportive Measures and Interim Measures to the Complainant(s).

The purpose of this Initial Report Review is to determine whether the Report falls within the scope of this Policy. Whether the Report falls within the scope of this Policy is based on whether (1) the Respondent is a Student, Active Alum, or Student Group, and (2) if substantiated, the alleged conduct would constitute Prohibited Conduct, as set forth in Section II above.

If, based on the Initial Report Review, the Office concludes that the Report does fall within the scope of this Policy, the Office will proceed with Initial Outreach (see below).⁸

In those instances where it is unclear—for instance, where the Office requires additional information to determine whether the Report falls within the scope of this Policy—the Office may contact the Reporter or the Complainant to collect additional or clarifying information in order to make a scope determination. In some cases, the Office may conduct an interview with the Complainant as a part of the Initial Report Review. If, based on the Initial Report Review, the Office concludes that the Report is not within the scope of this Policy, the Office will refer the Report to the appropriate University office, if any, and/or refer the Reporter or Complainant to other resources for potential additional action or assistance, administratively close the Report, and give written Notice of the closure to the Complainant(s). The Office may also administratively close the Report and give written Notice of the closure to the Complainant(s) if it determines that the facts as alleged in the Report are refuted by relevant, credible evidence or information known to or possessed by the Office.⁹ When referring the Report to another appropriate University office, the Office will consider whether the Report, either on its own or in connection with other Reports the Office has received, alleges speech or conduct that created or contributed to a Hostile Environment for members of any Protected Class in any of the University’s programs or activities or at the University as a whole.

In those instances where the Respondent is unidentified, the Office will take reasonable steps, consistent with applicable law and University policy, including employing the services of other University resources, to ascertain the identity of an unidentified Respondent. Such steps, however, may not always be successful. If the Office is unable to ascertain the identity of a Respondent, action by the Office may be more difficult and, at times, impossible. Regardless, the Office will seek to assist affected individuals by identifying appropriate University and other resources, providing appropriate accommodations, and directing the individuals to other applicable resources.

Initial Outreach and Meeting

If the Office determines that the Report is within the scope of this Policy, the Office will assign an Investigative Team to the matter. A Case Manager and/or Investigator will promptly contact each Complainant to discuss the availability of Supportive Measures and Interim Measures; hear the Complainant’s input with regard to Supportive Measures and Interim Measures, if applicable; and explain the processes available under this Policy. The Case Manager and/or Investigator will ask each Complainant for their input as to whether the Complainant elects to participate in the resolution process. This initial outreach to each Complainant will also include a date by which the Office requests the Complainant to respond. Unless the Complainant otherwise notifies the Office by that date, the Office will proceed, using the criteria and procedures described in Section VII.B below, to determine the appropriate resolution process for the Report and to give formal written Notice to the Parties.

The Office may determine that a resolution process is necessary even without the participation of the Complainant(s), including to ensure a safe campus environment. In instances where the Office makes such a determination, the Office will give Notice of that fact to the Complainant(s).

Case Management

Case Managers within the Office support Complainants and Respondents. Case Managers help Complainants and Respondents to understand their rights and the resolution process under this Policy. Case Managers are also available to receive reports of concern and help determine an appropriate response to assist a Complainant or Respondent.

Case Managers may help to facilitate the following:

• Academic support, including notifying academic advisors regarding missed classes, dropping classes, withdrawal, exam extensions, etc.;
• Referrals to supportive and Confidential Resources on campus, such as counseling;
• Emergency housing and/or exploring housing options;
• Identification of supportive services on- and off-campus to meet Complainants’ and Respondents’ needs;
• Support in navigating the resolution process once a Report is filed; and
• Support throughout the time of a Complainant’s or Respondent’s enrollment or employment at the University, including after any resolution process has concluded.

Where a Student Group is a Party, Case Managers may assist the group and its members with matters concerning the group’s operations and activities during the resolution process.

Supportive Measures

The Office works with all Parties to promote their safety and well-being throughout the resolution process, including by helping to navigate any request for appropriate Supportive Measures. Parties may request Supportive Measures regardless of the type of process they are participating in under this Policy, and even if they have declined to participate in the process. Case Managers do not grant Supportive Measures. Rather, they conduct outreach and facilitate requests for Supportive Measures by connecting Parties with the appropriate decision-making departments within the University.

All Parties and Witnesses in the resolution process are expected to continue performing their academic and/or employment responsibilities during the course of the resolution process, except as modified by any Supportive Measures. Supportive Measures are intended to aid Parties in fulfilling their academic and/or employment responsibilities as the resolution process moves forward.

The University evaluates requests for Supportive Measures in light of the circumstances and information available at the time of the request. In some instances, additional information may be required to sufficiently evaluate the need for, or to provide, a requested Supportive Measure. Time frames for evaluation and implementation of requested Supportive Measures may vary based on the particular circumstances of a specific request. If requested Supportive Measures cannot be granted, the University will provide Notice, in writing, to the Party making the request.

Supportive Measures may include, but are not limited to:

• Relocation of a Student’s residence or an Employee’s office or worksite;
• Adjusting an Employee’s work schedule;
• Changing a Student’s academic schedule;
• Allowing a Student to withdraw from or retake a class without penalty; and/or
• Providing access to tutoring or other academic support.

Case Managers will also work with Parties who need assistance requesting other types of reasonable accommodations, as appropriate. (See Appendix A.) The University will provide information about Supportive Measures that have been granted only to those who need to know in order to make the Supportive Measures effective. Any ordinary fees associated with Supportive Measures (e.g., housing changes) that are approved in connection with a proceeding under this Policy will be waived, as applicable.

The imposition of any Supportive Measure does not indicate that the Office has made a final decision about any Report of Prohibited Conduct.

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, and to protect the integrity of the resolution process while the process remains ongoing. Interim Measures may include, but are not limited to:

• No-contact directives;
• Restricting a Party’s access to campus buildings and/or University property;
• Moving a Student’s residence;
• Suspension from activities;
• 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 Student Group, additional Interim Measures may include, but are not limited to:

• 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.

If it is determined that there is an immediate threat to the physical health or safety of any University Affiliate, the University community, or other individual arising from the allegations of Prohibited Conduct, the University may:

• Temporarily suspend a Student Respondent from specified activities and/or positions of leadership;
• Temporarily suspend the recognition of a Student Group Respondent; or
• Temporarily suspend a Student Respondent from enrollment with the University.

Interim suspensions of Respondents will be reasonable and tailored to balance the ability of the Respondent to complete their studies with the safety of both the Complainant or Reporter and the University community at large. When an interim suspension occurs, 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 VI.F).

Any Interim Measure(s) implemented will be periodically reviewed and may be revised as appropriate.

The University will provide information about Interim Measures only to those who need to know in order to make them effective. The imposition of any Interim Measure does not indicate that the Office has made a final decision about any Report of Prohibited Conduct.

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.

Review of Supportive Measures and Interim Measures

Parties may request review of the need for, and the terms of, any Supportive Measure or Interim Measure (or lack thereof) that directly affects them. Requests for review of a Supportive Measure or Interim Measure must be submitted in writing to the Vice Provost of the Office or their designee, and a reasonable review by Office personnel who were not involved in the decision under review will be conducted within a reasonable period of time 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 a Supportive Measure or Interim Measure written Notice of the outcome of the review.

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⁸ The Office may consolidate Reports involving more than one Respondent, or by more than one Complainant against one or more Respondents, where the allegations arise out of the same facts or circumstances.

⁹ Additionally, should the Office learn of evidence, or should information become known to the Office during the resolution process, that leads the Office to conclude that there is no reasonable basis to continue engaging the process, the Office may, in its reasonable discretion, administratively close the Report and give written Notice of the closure of the Report to any Party that previously received Notice regarding the Report.

Under this Policy, there are several possible processes available for resolving a Report of Prohibited Conduct.

Investigative Team

Matters will generally be administered by a single Investigator (still referred to throughout this Policy as an Investigative Team), unless the number of Parties, the number or complexity of the alleged incidents involved, the length of time over which the alleged incidents occurred, the number of Witnesses, the volume of other evidence, or other factors counsel in favor of using additional Investigators.

All Investigators will have training in investigating and evaluating Prohibited Conduct. The Investigative Team will be impartial and unbiased.

The Office may, in its sole discretion, assign appropriate non-Office personnel to investigate a matter.

Determining the Appropriate Process

The Investigative Team will determine the appropriate process to be followed in each case, based on the totality of the circumstances related to a Report.  The factors that the Investigative Team will consider in making their determination include, but need not be limited to:

• The nature and severity of the alleged Prohibited Conduct;
• The potential Sanctions that might be imposed if a Respondent were to be found responsible for a Policy violation; and
• The willingness of the Parties to engage in any resolution process that requires the Parties’ consent.

The determination of the appropriate resolution process, while within the Office’s sole discretion, will be generally consistent with the Office’s handling of similar cases involving similar alleged Prohibited Conduct under similar circumstances.

Should information become known or statements be made to the Office during any resolution process that highlight aspects of the reported conduct that were not previously known to the Office, or that reveal additional Prohibited Conduct, the Office may stop the resolution process, reassess what would be the most appropriate process to follow under the circumstances, and transition to that process after providing appropriate Notice. While the Office may not use any statements a Respondent makes in an Administrative Resolution, Educational Resolution, Restorative Justice, or Mediation process as evidence in any subsequent Investigation of the same alleged Prohibited Conduct, the Office may inquire during the subsequent Investigation into the subject-matter of the previous statements.

Notice to Parties

Once the Investigative Team determines the appropriate resolution process, the Investigative Team will promptly give all Parties formal written Notice, including information about the timing of the selected resolution process.¹⁰ This formal written Notice will include:

• The identity or identities of the Parties involved in the incident;
• 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 will also include:

• A written explanation of the Party’s rights and available resources;
• A statement of which definitions of acts of Prohibited Conduct and which procedures 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 University 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.

Available Processes

There are several possible processes available for resolving a Report of Prohibited Conduct under this Policy, each of which is described below.¹¹

^{Administrative Resolution}

An Administrative Resolution can include no-contact directives, implementation of safety measures, referrals to counseling, a meeting that includes a policy reminder and targeted education and training. Administrative Resolution can take place, for example, when a Complainant does not wish to engage in other resolution processes and/or the Office, in its discretion and based on the available information, determines that an Administrative Resolution is necessary and/or sufficient to ensure the ability of all members of the University community to access the University’s activities and programs free from Prohibited Conduct.

Educational Resolution

A Report concerning allegations of Prohibited Conduct that would typically result in Sanctions no more severe than a warning or reprimand may proceed through Educational Resolution.

A Respondent who participates in Educational Resolution must be willing to accept responsibility for their actions. Should the Respondent be unwilling to accept responsibility, the Respondent will proceed through one of the other resolution processes and, if found responsible, an appropriate Sanction will be imposed.

As part of the Educational Resolution process, the Respondent must meet with Office personnel to discuss the conduct at issue and the Respondent’s understanding of this Policy. Failure to participate in this meeting may result in further proceedings and possible Sanctions, as appropriate. The Respondent is permitted to bring an Advisor to the meeting.

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. While RJ encompasses a variety of processes, two common approaches are the RJ Circle and the RJ Conference.

An RJ Circle is a facilitated group conversation in which individuals who were affected by an action or series of actions can come together to discuss what has happened in the past, what they are experiencing in the present, and how they hope to move forward in the future. This process is most often used when there is no clearly identifiable wrongdoer or when harmful behavior is pervasive within a group. An RJ Circle may culminate with a written group statement of intention about how to move forward, but such a statement is not a necessary element of the process.

An RJ Conference is a dialogue facilitated by a trained facilitator intended to restore relationships and repair harm. The Respondent(s) and Complainant(s) come together to identify what harm was caused and collaboratively determine how conflict and trust might be resolved and repaired, respectively. Each Respondent and Complainant may bring an Advisor to participate in the RJ Conference with them.

To qualify for an RJ Conference, the Respondent(s) must accept responsibility for the harm that was caused. The Complainant(s) must also be willing to meet with the Respondent(s). Additionally, all involved Parties must agree that if the RJ is successful, they will abide by the terms of any agreed-upon resolution.

If the RJ process is successful, the terms of a resolution agreed to by all involved Parties will be memorialized in writing by the Office, at which time the process is concluded and the Report will be closed. If a resolution cannot be reached or the RJ Conference is otherwise terminated, the Office will evaluate other options for resolution.

An RJ process, whether a Circle or a Conference, will typically commence within ten (10) business days after the Office receives written consent to proceed from all Parties. During the RJ process, any potential Investigation and Determination and any associated deadlines will be stayed. The RJ process will continue until it is successfully concluded or until the Office determines that the conference will not be successful and terminates the conference.

RJ may not be an appropriate mechanism for all conflicts. The Office will review any request for RJ and may decline to initiate RJ based on the facts and circumstances of a particular Report. As voluntariness is a foundational principle of RJ, an RJ Circle or Conference will proceed only if all Parties agree in writing to participate.

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 in writing to engage in Mediation.

The Mediation process will typically commence within ten (10) business days after the Office receives written consent to Mediate from all Parties, and will continue until concluded or terminated by any Party, the Mediator, or the Office. During Mediation, any potential Investigation and Determination and any associated deadlines will be stayed.

The Mediator will guide a discussion between the Parties. In circumstances where the Parties do not wish to meet face to face, any Party can request “caucus” Mediation, and the Mediator will conduct separate meetings with each of the Parties. Whether or not the Parties agree to meet face to face, each Party will be permitted to bring an Advisor to any part of the Mediation.

If the Mediation results in a resolution, the Mediator will memorialize in writing the agreement reached between the Parties and approved by the Office. The Office will monitor adherence to the agreement and close the Report when compliance is satisfactory.

If a resolution cannot be reached, or the Mediation is otherwise terminated prior to resolution, the Office will evaluate other options for resolution, including Investigation and Determination. 

Formal Investigation and Determination

In cases where the other resolution processes discussed above are unavailable, have been rejected by one or more of the Parties, have been unsuccessful, or are deemed inappropriate or insufficient by the Office, in its sole discretion, the Office may conduct a Formal Investigation and Determination.

General Investigative Procedures

Notice

At least five (5) business days prior to a Party’s initial interview, the Parties will receive the formal written Notice described in Section VII.C above. The Office will ensure that the Parties are updated throughout the Formal Investigation and Determination process, including by providing timely Notice of meetings in which a Party may participate and/or if there are updates to the alleged violation(s) that will be investigated based on information learned during the Investigation.

Non-Disclosure Agreements

The Parties and their Advisors will be asked to sign a non-disclosure agreement at the start of a Formal Investigation and Determination. The Investigative Team will not share confidential materials with any Party or Advisor who fails to sign a non-disclosure agreement. Witnesses will be asked to sign a non-disclosure agreement at the start of an interview, if applicable. Any Party or Witness who engages in the unauthorized disclosure of information and evidence obtained solely as a result of participation in any resolution process under this Policy and/or violates the non-disclosure agreement may be subject to discipline.

Gathering of Information

An Investigative Team has the authority and responsibility to gather information from all sources judged necessary for fair resolution of a Report. The Investigative Team will attempt to gather relevant information by interviewing the Parties and any other person(s) with relevant information about the alleged incident(s), and may also review documents and other materials that may be relevant to the Investigation, as follows:

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 non-disclosure agreement to prevent the dissemination of any evidence.

A Party is not required to provide any particular Witness or evidence for an Investigation to proceed, nor should a lack of such information dissuade any Party from participating in the process.

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.¹²

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: Certain types of evidence will not be considered or will only be considered under appropriate circumstances. For example, a Party’s medical, psychological, or similar records cannot be accessed, considered, disclosed, or otherwise used as part of the investigative process without the Party’s voluntary, written consent. Each Party has the right to request that evidence regarding their mental health diagnosis and/or treatment be excluded from consideration. However, if an individual wishes to present evidence of their own mental health diagnosis and/or treatment, they may do so in limited circumstances, to be determined by the Investigative Team based upon relevance.

A Party’s prior violations of this Policy will not be considered in determining responsibility and will therefore not be addressed in any Investigative Report. The Office is committed to ensuring that each Party has a meaningful opportunity to be heard in any given case; for this to occur, the Investigation and Determination of any one Report must be based on facts relevant to that Report and may not be influenced by allegations and determinations from another, separate Report. However, prior determinations of responsibility for allegations of the same type of Prohibited Conduct may be considered in the Sanctioning stage of the process.

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 sole discretion, modify any proposed question for appropriateness, relevance, or clarity. The Investigative Team may, in its sole 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 testifies credibly from personal observation is of greater weight than evidence offered by a Witness who is testifying from general knowledge alone. The Investigative Team will afford the greatest weight to credible testimony 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. It is possible for both a Respondent and a Complainant to list one or more of the same individuals as Witnesses.

The Investigative Team will attempt to contact and interview any Witnesses it deems to have relevant information, including but not limited to those identified by the Parties. Unless an applicable collective bargaining agreement provides otherwise, a Witness may not be accompanied to an interview by any other individual.

The Investigative Team may require any Employee or Contractor of the University to participate in an interview. An Employee’s or Contractor’s failure to participate in an interview upon request of the Investigative Team may be subject to separate disciplinary action.

All interviews conducted as part of the Investigation will be recorded by the Investigative Team, and each recording or a transcript of each recording will be made available to the Parties during the Summary of Evidence. No Witness may record any meeting or interview conducted as part of the investigative process.

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 showing evidence to support its determination of responsibility. The burden is not on any Respondent to prove that they did not engage in a violation of this Policy.

Summary of Evidence

The Investigative Team will prepare a Summary of Evidence containing a summary of all relevant, credible evidence on which the Investigative Team intends to rely. Where an Investigation involves multiple Complainants, multiple Respondents, or both, the Office may issue a single Investigative Report, and therefore prepare a single Summary of Evidence.

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 sole discretion over redactions, consistent with this Policy, the University’s FERPA policy, and other applicable laws and regulations.

Formal Investigation and Determination Procedures

In addition to the general investigative procedures noted above, where the Office conducts a Formal Investigation and Determination, the Investigative Team will conduct initial interviews with each Party separately. The Parties’ Advisors may be present for the interview. During these initial interviews, the Investigative Team will discuss with each Party the nature of the allegation(s), the rights and responsibilities of each Party, the prohibition against Retaliation, and the process to be followed. The Investigative Team will then speak to each Party in detail about the allegation(s) and ask each Party to provide a list of Witnesses and/or copies of any relevant documents or evidence to be considered. During the interview, a Party’s Advisor may talk quietly with the Party or pass notes in a non-disruptive manner; take breaks of reasonable length and frequency, at the Party’s request, to speak privately with the Party; review information provided to the Party by the Investigative Team; and seek clarity about questions posed to the Party. The Advisor may not intervene, including but not limited to speaking on behalf of the Party, answering questions posed to the Party, posing questions or making requests of the Investigative Team, providing information, or being disruptive. All interviews conducted as part of the Investigation will be recorded by the Investigative Team, and each recording or a transcript of each recording will be made available to the Parties, subject to FERPA and other applicable laws and policies. No Party or their Advisor may record any meeting or interview conducted as part of the investigative process, but Parties and Advisors may take written notes during meetings and interviews.

The Investigative Team will also collect evidence and interview Witnesses, as appropriate.

All Parties and Witnesses are obligated 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.

The initial allegations that are reported to the Office, as well as the allegations contained in the initial Notice to the Respondent(s), may not be the same as the final allegations submitted for Determination, which are dependent on the information gathered during the Investigation. Whenever there are additional or modified allegations to be investigated, Notice will be provided to both Parties.

Following the Investigative Team’s collection of evidence, the Office will provide a copy of the Summary of Evidence that has been watermarked and redacted in compliance with FERPA and other applicable laws and policies to the Parties and their respective Advisors for their review. Media exhibits such as video recordings and photographs of individuals will be available for in-person review, at a prearranged time. The Investigative Team will remind the Parties and each Advisor that the non-disclosure agreement signed at the start of the Formal Investigation and Determination remains in effect. A Party or Advisor who has not signed the non-disclosure agreement will not be permitted to access the Summary of Evidence or any evidence or descriptions of evidence.

The Parties will have five (5) business days to review the Summary of Evidence and to provide a written response. The written response may include (1) corrections to the Summary of Evidence, including correcting names, dates, and/or other minor factual errors; (2) additional clarifications to the Summary of Evidence; (3) arguments that the Summary of Evidence is inaccurate; (4) identification of additional Witnesses to be interviewed; (5) additional evidence to be considered or included as an exhibit in the Investigative Report; and/or (6) questions for the Investigative Team to ask of any other participant in the process, including Parties and Witnesses. Proposed questions should be related to the Summary of Evidence and should not be duplicative or seek a restatement of a fact that has already been included in the Summary of Evidence. 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 sole discretion, modify any proposed question for appropriateness, relevance, or clarity. The Investigative Team may, in its sole discretion, pose or decline to pose any proposed questions and may, in its sole discretion, incorporate responses, as appropriate, into the Summary of Evidence.

Each Party’s written response is that Party’s final opportunity to offer questions and propose corrections to the Summary of Evidence, including corrections of names, dates, or other minor factual errors. The Investigative Team will review all Parties’ written responses and make any appropriate changes to the Summary of Evidence, which the Parties may review, in the same manner that the Parties reviewed the initial Summary of Evidence, no fewer than five (5) business days before the Investigation is considered closed.

After the Parties’ written responses have been submitted and appropriate changes and corrections to the Summary of Evidence have been made, the Investigation is considered closed. The Investigative Team will finalize its Investigative Report, which will include (1) the final Summary of Evidence; (2) the Investigative Team’s factual findings and analysis; and (3) a determination of responsibility for each alleged violation of this Policy.

Any Party may, upon request to the Office, make arrangements to review a copy of the Investigative Report that has been redacted in compliance with FERPA and other applicable laws and policies to preserve the privacy of all participants in the process. Any such 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 it in whole or in part when reviewing it.

Each Party will receive a written Determination Letter, stating the Investigative Team’s determination(s) of responsibility.¹³ The Determination Letter will briefly summarize the alleged Prohibited Conduct that was the subject of the Formal Investigation and Determination, identify the provisions of this Policy at issue, and indicate the Office’s determination(s) as to whether the alleged Prohibited Conduct violated the Policy. The Determination Letter will also describe the applicable timeline for an appeal for the Respondent. Only the Respondent has the right to appeal.

If there is a determination of responsibility and as part of the sanctioning process, each Party may provide a written impact statement discussing how the alleged Prohibited Conduct has impacted them. The written 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 statement must be submitted within three (3) business days of the Determination Letter.

Each Party will be given written Notice that the Investigation has been closed.

Impact of a Law Enforcement Investigation or Proceeding

Any resolution process will ordinarily continue during any law enforcement investigation or proceeding. The Office may, however, need to temporarily delay a resolution process while law enforcement is gathering evidence. In such instances, the Office will resume the resolution process after learning that law enforcement no longer requires a delay or has completed the evidence-gathering stage of its investigation; the Office need not wait for the conclusion of any related criminal proceedings. It should be noted that the standards of criminal law are different than those employed by the University. While information collected by law enforcement may be included in a resolution process under this Policy, determinations in criminal investigations and proceedings may not be considered by the Office.

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 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 counseling or other support services.

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¹¹ Where a Party is a Student Group, Notice will initially be sent to members of the group known or believed by the University to serve in leadership positions, with a copy to the Student Group’s advisor. Such members of the Student Group will be the Student Group’s representative(s) in any resolution process under this Policy. The Student Group may, however, elect to designate different or other members to serve as its representative(s) in a resolution process by providing written Notice to the Office. Subsequent Notices will be sent to such representative(s) and the Student Group’s advisor. All of the Student Group’s representative(s) must attend each meeting or interview. References in this Policy to an individual Party or Parties will be interpreted to include the representative(s) of a Party that is a Student Group.

¹² Where a resolution process other than Investigation and Determination is commenced, no person responsible for administering that process (including, but not limited to, a facilitator of a Restorative Justice process or a Mediator) may subsequently serve as an Investigator or decision-maker in an Investigation and Determination regarding the same alleged Prohibited Conduct.

¹³ In the event that any evidence is gathered during the course of an Investigation that is not in English, the Office will obtain an official translation via University resources. Where the Office obtains a translation through University resources, or an outside company or agency, the translation received will be the official translation for the Investigative Team to consider; however, the Parties may offer their own clarifications, if relevant. The Investigative Team may ask the providing Party for a translation into English, at its discretion and in limited circumstances, such as when the text to be translated is not substantively related to the Investigation but will assist the Investigative Team in better understanding the material. Any translator may be asked to sign a non-disclosure agreement.

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 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 Student or Active Alum Respondent is found responsible for a violation of this Policy following an Investigation and Determination, a Sanction will be determined by the Dean of Student Affairs of the Student or Active Alum Respondent’s school, in consultation with the Investigative Team and the Office.¹⁴ The Sanction will be communicated to the Student or Active Alum 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.

When a Student Group is found responsible for a violation of the Policy following an Investigation and Determination, a Sanction will be determined by the Student Group’s Dean of Student Affairs or equivalent administrator at the applicable school, in consultation with the Investigative Team and the Office. The Sanction will be communicated to the Student Group by letter within ten (10) business days of the date of the Determination Letter. However, the time frame for Sanctioning decisions may be adjusted based on the availability of the individuals responsible for making the Sanctioning decisions. The administrative office through which the Student Group is recognized will be tasked with implementing appropriate Sanctions.

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 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; and/or
• Withholding or deferral of issuance of degree.

The University may impose one or more of the following Sanctions on an Active Alum determined to have violated this Policy:

• Revocation of honors and/or awards;
• Revocation of degree; and/or
• Revocation of alumni privileges.

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

• Reprimand/disciplinary warning;
• Deduction of funds from the Student Group’s budgetary allocation;
• Freezing of the 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 Student Group;
• Disciplinary probation of the Student Group;
• Disciplinary suspension of the Student Group; and
• De-recognition of the Student Group.

These lists are not exhaustive, and the Office may fashion other Sanctions appropriate to the circumstances of any particular case. Definitions of these Sanctions may be found in Appendix F.

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 be considered not 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. 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, 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. While there are no specific content requirements, 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 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 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 counseling or 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, Active Alum, or Student Group Party’s school or an Employee Party’s Supervisor, will determine whether such Supportive Measures are appropriate. Ongoing or additional Supportive Measures that do not unreasonably burden a Party may be considered and provided even if the Respondent is found not responsible for violating this Policy. These ongoing or additional Supportive Measures may also be available for individuals who choose not to file a Report or for Complainants who choose not to participate in the process or a part of the process. Potential ongoing or additional Supportive Measures include, but are not limited to:

• Issuing or maintaining a no-contact directive;
• Providing an escort;
• Moving a Student’s residence or an Employee’s worksite;
• Changing a Student’s academic schedule;
• Adjusting a Student’s or Employee’s work schedule;
• Allowing a Student to withdraw from or retake a class without penalty; and/or
• Providing access to tutoring or other academic support, such as extra time to complete or re-take a class.
  5. Additional Responses

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, Active Alums, and Student Groups; or revision of this Policy or related University policies.

Additional Responses

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, Active Alums, and Student Groups; or revision of this Policy or related University policies.

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¹⁴ For purposes of this Policy, an Active Alum’s school is the school of the University from which the Active Alum most recently received a degree.

All Respondents may appeal a determination of responsibility and/or Sanction within ten (10) business days after the Respondent receives a sanctioning Notice 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 Sanctioning officer 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. 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.

Inappropriateness of the Sanction:  An Appeal based on the imposed Sanction must explain why the Sanction is inappropriate based on the weight of the information provided during the Investigation and Determination.

Appellate Procedures

Appeals involving Student and Active Alum 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; the Dean of the Complainant’s school; and a Dean from another school. Should the Complainant and the Respondent attend or work for the same school or 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. Should the Parties both be Students or Active Alums of a graduate or professional school, Deans from graduate or professional schools will comprise the panel. Should one Party be an undergraduate Student or Active Alum and another Party a graduate or professional Student or Active Alum, the Appellate Panel will consist of the Dean of the Respondent’s school, the Dean of the Complainant’s school, and a Dean of a School from the academic level of the Respondent. All Deans will receive relevant training at least once a year on how the resolution and appeal processes work, the elements essential to a fair and balanced review, and the sensitive issues in reviewing cases of Discrimination or Discriminatory Harassment.

Appeals involving Student Group Respondents are decided by an Appellate Officer to be designated by the Office. The Appellate Officer will be a senior officer of the University.

Attached to their Appeal, the appealing Party may provide a written submission for the Appellate Panel or Officer 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 Notice, 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 or Officer 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 or Officer will have access to and the ability to review all applicable documents, including the Appeal, the complete Investigative Report and all exhibits, and any other materials submitted to the Investigative Team. The Appellate Panel or Officer may also request additional information from the Investigative Team and/or the Sanctioning officer. In the event that 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 or Officer.

The Appellate Panel or Officer 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 or Officer 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 with regard to Appeals generally will 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 or Officer 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 or Officer. The Appellate Panel or Officer will notify the Respondent 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.