Formal Complaint Process

A Formal Complaint is a written statement providing details (i.e., time, place, and circumstance) of an act of alleged sexual harassment or sexual violence, typically received from the individual who experienced the alleged Policy violation, though it may be filed by the Title IX coordinator in some circumstances, as described above, seeking an investigation into the allegations and related proceedings under this Policy. In order to commence the Formal Complaint Process under these procedures, the individual who experienced the alleged Policy violation must submit the Formal Complaint Process Acknowledgement Form, including their signature or electronic signature, unless the Title IX coordinator does so, as described above. Once an individual who experienced the alleged Policy violation files a Formal Complaint, they shall be known as the Complainant throughout the process.

Upon receipt of a request to file a Formal Complaint of an alleged incident of sexual violence, the Title IX coordinator (or designee) will discern if there is sufficient information (such as the names of individuals involved, a reasonably detailed description of the incident, and additional relevant information) to permit an investigation and pursuit of the Formal Complaint Process.

A Formal Complaint may be filed at the time the Preliminary Report is made, or at any time thereafter. The Investigation and Hearing (exclusive of Appeal Procedure) of the Formal Complaint Process typically will be completed within seventy-seven (77) calendar days of the College’s receipt of the Formal Complaint. However, the College’s process allows for extensions of this time frame, and all other time frames specified below, when the College determines, in its sole discretion, that good cause for such extension(s) exists. Written notice to the Complainant and the Respondent notifying them of any extension(s), and the reasons for the extension(s), will be provided.

Additionally, upon initiation of a Formal Complaint, the Title IX Office must assess and provide information to the Parties (if not previously provided) with respect to the following:

  • Supportive Measures, the potential availability and benefit of such Measures,
  • No Contact Orders, the potential availability and impact of such Orders, and
  • Access to information on the Formal Complaint Procedures and Policies on Sexual Violence.

  1. Investigation Procedures Related to Formal Complaints

    To make a Preliminary Report regarding an alleged violation of the Policy, consult the Title IX coordinator. The Title IX coordinator is:

    Kristin Collado, Esq., Title IX Coordinator
    Phone Number: 914.323.6138
    Email Address: titleix@sarahlawrence.edu or kcollado@sarahlawrence.edu
    Campus Location: Andrews Annex, Room 102b

    1. Pre-Investigation

      Upon initiation of the Formal Complaint, the Title IX coordinator will send both the Complainant and the Respondent a Notice of Complaint. The Notice of Complaint will describe and include the following information:

      • The date, time, location, and allegations concerning the Policy violation(s);
      • The specific Code of Conduct and/or Policy provisions alleged to have been violated;
      • The Respondent is presumed not responsible unless and until the Adjudicator determines there is a preponderance of the evidence that the Policy violation(s) occurred; and
      • All possible sanctions.

      Additionally, the Parties will be notified how to submit the following:

      • Written statement: Either party may elect to make a written submission in support of or in response to the Formal Complaint. A Party may also choose to move forward without a written statement, and be interviewed. Parties may, as previously noted, decline to be interviewed, but that will not preclude interviews of other Parties and witnesses, and, where appropriate, a hearing under the Policy.

      The written statement must be prepared and submitted by the Party and not by their adviser. The written statement should follow these guidelines:

      • Its content should be relevant to the issues in the Notice of Complaint;
      • It should be professional in tone, non-disparaging, and not overly combative;
      • It should include or refer to probative information about the allegation(s);
      • It should not discuss the impact of the alleged violation(s) and/or investigation (impact is only appropriate for the sanctioning stage, if any).

      The written statement shall be no longer than five pages and consist of one-inch margins and Times New Roman 12-point font; however, a Party may request additional pages for their written statement, which may be granted at the discretion of the Title IX coordinator or their designee, for good cause shown

      • List of witnesses: Each Party may submit a list of individuals they believe are witnesses with relevant information surrounding the alleged incident(s) that are the subject of the Formal Complaint. The Parties should also include a short description of why they determine a witness has relevant information and should be interviewed. The Investigator(s) may decline to interview any witness whose information is cumulative, irrelevant to the allegations in the Formal Complaint, or otherwise not reasonably probative of those allegations, or who is not reasonably available for an interview. All individuals who are interviewed may also, at the interview, present witness lists or request that specific persons with pertinent information be contacted by the investigator.
      • Evidence: If a Party believes they have physical evidence surrounding the alleged incident(s), including electronic evidence like text messages or similar communications, the Party is encouraged to submit these materials promptly. Physical evidence, like clothing, also should be preserved and documented. Privileged information, such as health records, is never required to be submitted, but may be submitted if the Party whose health records are to be submitted consents to their submission. All individuals who are interviewed may also present evidence during the interview with the Investigator(s), although delays in the submission of evidence may limit or preclude its consideration during the Formal Complaint Process.
      • Adviser Form: The Complainant and Respondent are allowed to have an adviser throughout this process. For a detailed description of an adviser and their role, please see “Adviser”. If a Party wishes to have an adviser present during the interview process, the Party must complete and submit the Adviser Form in advance of the interview.

      Both the Complainant and Respondent will be given seven (7) calendar days from the Notice of Complaint to supply these materials (a written statement [if any], a proposed witness list, supporting evidence [if any], and the Adviser Form) to the Title IX coordinator or their designee. The Title IX coordinator does not play a role in reviewing or analyzing any statements, witness lists, or evidence presented by the parties, but promptly will give all such information to the Investigator(s) to utilize in the investigation.

      Upon receipt of the above materials or seven (7) or more calendar days after issuance of the Notice of Complaint, the Title IX coordinator or their designee will coordinate with all Parties (including the Complainant, the Respondent, and all witnesses made known at this time) to schedule an interview with the Investigator(s). The interview(s) typically will occur within fourteen (14) days of the Title IX coordinator’s receipt of the above materials, although events such as scheduled class breaks and unscheduled events may impact this timeline.

    2. Investigation Procedure

      The Investigator(s) will seek to complete the investigation and prepare the Final Investigatory Report (FIR) within thirty-five (35) calendar days of the date the Formal Complaint is filed. Extensions may become necessary, depending on any of the following:

      • The cooperation and availability of witnesses, whether the College is in session, and/or if there are criminal proceedings or criminal investigations under way with respect to the incident or incidents reported that delay the College’s internal proceedings; or
      • One or both Parties request a delay in the process, and that request is granted for good cause shown; or
      • Other extenuating or appropriate circumstances arise, the adequacy of which rests in the Title IX coordinator’s sole discretion.

      If the investigation cannot be completed within the thirty-five (35) day period, both the Complainant and Respondent will be notified in writing by the Title IX coordinator. Such written notification typically will be sent before the expiration of the expected completion date for the investigation.

      The typical steps of the Investigation Procedure are as follows:

      1. The Title IX coordinator and Investigator(s) will designate dates and times at which the Investigator(s) are available to conduct interviews on campus or by video if on campus is not possible. The Title IX coordinator or designee, will perform all administrative tasks involved in scheduling these interviews.
      2. Once all interviews are scheduled, the Investigator(s) meet with the scheduled individual(s). The Title IX coordinator, or other College representative, may be present at the start of the interview to review the Formal Complaint Process and other information pertaining to the interview. If an Adviser is present, the College representative may also review their role in the process.
      3. During the Investigation Procedure, all Parties involved will have the opportunity to provide further evidence regarding the events surrounding the incident(s) to the Investigator(s).

        The Investigator(s) also have the discretion to deem which submitted items of evidence are relevant to the case, although they shall identify in the FIR all evidence submitted, including a summary of the evidence deemed not relevant and the reasoning for that determination.

      4. During interviews, if the Investigator(s) identify other individuals as witnesses with potentially probative information, these other individuals may also be contacted, whether or not either Party has brought their names forward.
      5. After interviewing each involved Party and witness, the Investigator(s) will draft a summary of the relevant information from the interview and shall send it to the interviewee to review. The interviewee may confirm the contents of the summary or comment on new information or discrepancies within the summary. Any comments received from the interviewee will be included with the FIR, typically in an Appendix.
      6. The Investigator may conduct follow-up interviews with the Complainant, the Respondent, and/or relevant witnesses as deemed necessary and appropriate.
      7. When all the interviews have been concluded, the FIR drafted by the Investigator will be sent to the Title IX coordinator. The FIR should include factual information and may

        comment on the credibility of the witnesses and/or the Parties. However, in no event shall conclusions as to responsibility be stated, as that remains in the sole responsibility of the Adjudicator.

      8. In the event that the Title IX coordinator believes there may be material information missing from the FIR or an additional investigation is warranted, the Title IX coordinator can direct the Investigator(s) to investigate further and supplement the FIR. The Title IX coordinator shall identify the particular additional information to be gathered or the additional investigation warranted in writing to the Investigator(s), and the Investigator(s)’s supplementation will be included in the Appendix of the FIR.
      9. When the Title IX coordinator has determined that the FIR is complete and comprehensive, the Title IX coordinator will direct the Investigator(s) to allow the Parties and their advisers to inspect and review the directly related evidence, including transcripts or notes of all interviews conducted as part of the investigation. However, such evidence will be redacted if it is not directly related to the allegations or is otherwise privileged. Additionally, the Parties and their advisers may not make copies, download, preserve, share or otherwise disseminate or maintain the evidence which was shared with them for the purpose of the evidence review process.
      10. The Parties will then have ten (10) calendar days following inspection and review of the evidence to submit a written response to the evidence, if they choose to do so. Any written response to the evidence will be included in an addendum to the FIR.
      11. Following the evidence review period, the FIR promptly will be forwarded to the Hearing Coordinator by the Title IX coordinator.

      The submission of the FIR to the Hearing Coordinator will close the investigative record. In the event that, after submission of the FIR but prior to the hearing, any additional evidence is identified by any involved person, the Title IX coordinator shall have the sole discretion to determine whether such evidence is previously unavailable relevant evidence which, when considered, may materially alter the outcome. If the evidence is approved for inclusion with the FIR, the Title IX coordinator will so indicate in an addendum to the FIR, with the date of submission and the identity of the submitter also identified. Additionally, the Title IX coordinator will consider whether to direct further investigation and extension, reschedule the hearing, authorize a reply in response to the supplemental evidence, or grant accommodations to ensure that a full hearing record is assembled on terms that are fair to the Parties.

      The FIR is to remain confidential and shall only be accessible to necessary and appropriate individuals, including but not limited to: designated Investigator(s), Title IX coordinator, Hearing Coordinator, Hearing Adjudicator, the Complainant, the Respondent, the parties’ advisers, and such other persons, if any, who in the Title IX coordinator’s discretion are necessary and appropriate recipients. All persons receiving the FIR are expected, and obliged, to maintain the information reported in it in confidence, and not to share it with any person who lacks a legitimate need to know.

  2. Hearing Procedure

    Within five (5) calendar days of forwarding the completed FIR to the Hearing Coordinator, the Title IX coordinator will send the final Notice of Complaint and Hearing (also known as the “Hearing Notice”), including any changes or additions to the allegations to be adjudicated, to the Respondent and the Complainant. This Hearing Notice will describe or incorporate the following:

    • The date, time, location, and allegations concerning the conduct violation(s);
    • The specific Code of Conduct and/or Policy provisions alleged to have been violated;
    • The Respondent is presumed not responsible unless and until the Adjudicator determines there is a preponderance of the evidence that the Policy violation(s) occurred; and
    • All possible sanctions.

    The Hearing Notice will specify the date and time of the hearing, which in most circumstances will be no less than ten (10) nor more than twenty (20) calendar days after the date of the Notice. After the Hearing Notice is sent, the hearing will be completed within twenty (20) days, unless there is a need for an extension, which may be granted in the Hearing Coordinator’s sole discretion, for good cause shown. Notification of any extension will be given in writing to both Parties.

    If a supplemental statement or additional evidence is offered at or after the hearing, the presumption will be that good cause for such submissions at this point in the proceedings does not exist. The burden shall be on the submitting Party to overcome this presumption, and to establish the relevance of the information, any reasonable excuse for the delay in submission, and the fairness of the submission at this point in the proceedings. If the additional evidence is deemed relevant and appropriate for consideration, the Hearing Coordinator also will consider whether additional investigation is appropriate, whether rescheduling of the hearing is warranted, whether the hearing should be continued or reopened, whether any adverse Party shall be granted an opportunity to respond in writing, or whether any other remedial measures are warranted.

    1. Before the Hearing

      • The Hearing Coordinator will arrange separate meetings with the Complainant and the Respondent to review the Hearing Notice and the Final Investigatory Report (and all addenda), and to answer questions regarding those documents and the hearing process. Both parties must have their adviser present at this review.
        • Review of the FIR at these meetings does not authorize submission of additional proposed revisions or comments, beyond those referenced in Section B of the Investigation Procedure above. The pre-hearing review instead allows for transparency, permitting each party to see the Final Investigatory Report in its entirety, and allowing them the opportunity to prepare for the hearing accordingly.
        • The parties may not keep or make copies and/or download the Final Investigatory Report or its attachments unless explicitly allowed to do so by the Hearing Coordinator.
        • If, at any time, a Party changes their adviser, the Title IX coordinator and Hearing Coordinator must be notified immediately. Should a Party change or lose an adviser, the Party has three (3) calendar days to notify the College of their new adviser or be appointed an adviser by the College. The adviser must then review the FIR within five (5) days of their appointment.
      • The Complainant and Respondent will be informed at these meetings that they may submit an impact statement to the Hearing Coordinator. Submission of this statement shall be no later than one (1) calendar day prior to the day the hearing commences. The impact statement(s) shall be provided to the Hearing Adjudicator, henceforth known as the Adjudicator, or the AVP HR; only if there has been a finding of responsibility. The impact statements shall be read during the sanctioning phase, and may be considered in assessing any sanction.
      • Prior to the hearing, the Hearing Coordinator also will provide the Adjudicator access to the FIR and other related materials.

    2. Rules of the Hearing

      • The hearing is closed to the public. Attendees at the hearing shall include the Hearing Coordinator, the Hearing Adjudicator, the Complainant, the Respondent, their advisers, and witnesses. Witnesses shall only be present in the hearing during their respective participation in the process.
      • For in-person hearings: The Hearing Coordinator will make reasonable efforts to secure a space for the hearing that is appropriate and private. The hearing room will be set up with a screen or wall between the two Parties. The Parties in all events will be able to hear one another, but generally not see one another.
      • For virtual hearings: Skype, Zoom, or other electronic means may be used to conduct a virtual hearing. At the direction of the Hearing Coordinator or Adjudicator, participants may turn their camera on or off at designated times.
      • If the Complainant, the Respondent, or witnesses fail to appear, the hearing will continue as scheduled, unless for good cause the Hearing Adjudicator determines otherwise.
      • All speakers must be recognized by the Hearing Adjudicator prior to speaking. No interruptions will be tolerated.
      • The Parties will not question or address each other or witnesses directly. Advisers of the Parties have the opportunity to engage in cross-examination (henceforth known as “questioning”) of the other Party and of witnesses. Advisers will be allowed to have a view of the individual they are questioning. An adviser is not allowed to question their advisee.
        • If a Party does not select an adviser, the College will select and supply an adviser for that Party, solely for the purpose of questioning. This adviser shall be furnished without cost to the Party. For further information, please see “Adviser” under Definition of Roles under This Policy in Policy on Sexual Violence.
        • Questioning: Advisers may pose relevant questions about any information shared or any issue raised during the hearing. The Adjudicator may determine whether a proposed question is relevant and appropriate. Should the question be deemed irrelevant, the Adjudicator will provide the rationale for that conclusion. Should the question be approved as relevant, the Party or witness in question may provide their answer. The Adjudicator’s decision on such matters is final.
        • If any Party involved, or their adviser, fails to follow the instructions of the Hearing Coordinator, they may be removed. If an adviser is removed, a Party will choose a new adviser.
        • Brief breaks during the hearing will be taken at the request of either Party or the Adjudicator. The Parties and their adviser may consult in private during the hearing, but any break in the hearing for purposes of consultation may not occur while a question is pending. The Hearing Coordinator will determine the reasonableness of requests for breaks.

    3. Order of Business for the Hearing

      Generally, hearings will follow the order of business listed below. However, variations may occur depending on the circumstances of an individual case, and are in the sole discretion of the Hearing Adjudicator.

      1. The Hearing Coordinator makes introductions of the Hearing Adjudicator, the Parties, and their advisers; no witnesses will be in the hearing room until the time they are called to present information to the Adjudicator.
      2. The Hearing Coordinator and Hearing Adjudicator explain the hearing process and answer any questions related to the process.
      3. Both the Complainant and Respondent may, but are not obliged to, attend or participate at the hearing.
      4. The Complainant may make an opening statement in addition to any written statement in the FIR.
      5. The Respondent may make an opening statement in addition to any written statement in the FIR.
      6. The Complainant testifies, answers questions from the Hearing Adjudicator and any questions posed by the Respondent’s adviser in accordance with the rules of the hearing stated above.
      7. The Respondent testifies, answers questions from the Hearing Adjudicator and any questions posed by the Complainant’s adviser in accordance with the rules of the hearing stated above.
      8. The witnesses answer questions from the Hearing Adjudicator and any questions posed by the advisers of both the Complainant and the Respondent in accordance with the rules of the hearing stated above.
      9. The Complainant may, but is not obliged to, make a final statement.
      10. The Respondent may, but is not obliged to, make a final statement.
      11. The Hearing Adjudicator dismisses all participants.

      Opening statements and final statements made by the Parties must follow the following guidelines:

      • the statements will refer only to probative and relevant information;
      • the statements will be professional and not overly combative or disparaging in tone;
      • the statements will not reference evidence not presented at the hearing, or introduce new information that was not provided during the investigation or hearing, including evidence or information excluded from consideration by the Adjudicator.

  3. Adjudication

    1. Deliberations

      Upon completion of the hearing, the Adjudicator will deliberate to determine if the Respondent is responsible for the violation(s) alleged in the Hearing Notice. If it is not possible for the Adjudicator to make a decision the same day as the hearing concludes, the Complainant and the Respondent shall be notified by the Title IX coordinator of an anticipated date for release of a decision.

      Upon completion of the hearing, the Adjudicator will deliberate to determine if the Respondent is responsible for the violation(s) alleged in the Hearing Notice. If it is not possible for the Adjudicator to make a decision the same day as the hearing concludes, the Complainant and the Respondent shall be notified by the Title IX coordinator of an anticipated date for release of a decision.

      The Adjudicator will make one of the following determinations for each alleged Policy violation:

      • Not Responsible: The Respondent will be found not responsible when the Adjudicator determines that it is more likely than not that the alleged behavior did not occur, there was insufficient evidence to determine that it was more likely than not that the behavior occurred, and/or the behavior that occurred was not in violation of the Policy Against Sexual Violence or other applicable policies under SLC’s General Code of Conduct.
      • Responsible: The Respondent will be found responsible when the Adjudicator determines that it is more likely than not that the alleged behavior did occur, and that the behavior was in violation of the College Policy Against Sexual Violence or other applicable violations of SLC’s Code of Conduct.

    2. Notification & Decision

      If the Respondent is found not responsible for all allegations:

      • The Adjudicator will prepare the Decision Letter, including the Adjudicator’s stated rationale for that determination.
      • The Adjudicator will send the letter to the Hearing Coordinator, who shall provide copies of the Decision Letter, simultaneously or in a reasonably contemporaneous fashion, to both the Respondent and the Complainant.

      If the Respondent is found responsible for one or more allegations:

      The Adjudicator will notify the Hearing Coordinator of the decision before deliberating on sanctions. The Hearing Coordinator then will inform the Adjudicator of the Respondent’s prior conduct history at the College, if any, including any past findings of domestic violence, dating violence, stalking, sexual assault, or sexual exploitation. The Hearing Coordinator also shall share with the Adjudicator any impact statements received from the Complainant and/or the Respondent. No Party is compelled to address or comment upon their own mental health diagnosis and/or treatment in their impact statements, and the Adjudicator shall draw no conclusion or make no inference from the absence of such information from any impact statement. The Adjudicator will consider the question of sanctions.

      Typically, the Decision Letter will be sent to the parties within three (3) calendar days of the conclusion of the Adjudicator’s deliberations. The Decision Letter will include the following information:

      • Written determination regarding responsibility:
        • Specifying the findings of fact made,
        • Providing conclusions about whether the charged conduct occurred, and
        • Providing the reasoning for each such conclusion;
      • Disciplinary sanctions to be imposed on the Respondent (if applicable); and
      • Restorative remedies for the Complainant (if applicable).

      Both Parties have the right to choose whether to disclose or discuss the outcome of the conduct process. They are also guaranteed the right to have all information obtained during the course of the conduct process be protected from public release by the College until the appeals panel makes a final determination, unless otherwise required by law.

    3. Sanctions for Violations of Sexual Violence

      1. Procedure for Sanctioning for Student Respondents:

        If the Respondent is found responsible for violating the Policy Against Sexual Violence, the Adjudicator may impose one or more of the following sanctions, as indicated for the specific violation. If more than one violation of the Policy is found to have occurred, the Respondent may face enhanced sanctions. Additional, different, or enhanced sanctions for other conduct violations or College Policy violations may be possible as well.

        For a finding of sexual exploitation, sexual harassment, relationship violence, and/or stalking, the sanction can include:

        • Social probation, which may include restriction from particular College buildings, areas of campus, and/or College activities
        • Loss of College housing, either permanently or for a defined period of time
        • Suspension from the College for a minimum of one full semester
        • Expulsion

        For a finding of sexual assault:

        • Suspension from the College for a minimum of two full semesters. In the event that a finding of responsibility for sexual assault is made during the course of a semester, a Respondent is suspended immediately, and the two full semesters during which the Respondent shall be suspended are subsequent to the current term.
        • Expulsion

        In addition to the above sanctions, the Adjudicator may require a Respondent to participate in mandatory educational programs, an evaluation by Counseling and Psychological Services, or other remedial or restorative measures as deemed appropriate by the Adjudicator.

      2. Sanctioning for Staff and Faculty:

        For cases involving a staff or faculty member, the Adjudicator will provide any finding of responsibility, or lack thereof, and the rationale for such decision to the Title IX coordinator. Then, the Title IX coordinator will supply this decision and rationale to the assistant vice president of human resources. The AVP HR will determine any penalties to be imposed, as provided below:

        • Written warning (only available for a finding of harassment).
        • Formal reprimand (only available for a finding of harassment)
        • Suspension without pay: In the case of a faculty member, the AVP HR will make this recommendation to the Advisory Committee on Appointments.
        • Termination of employment: The AVP HR will make this recommendation to the president for staff members or to the provost for faculty members. If applicable, the provost may begin the process for revocation of tenure

  4. Appeal Process

    1. Basis for Appeal

      Either the Complainant or the Respondent may appeal the Adjudicator’s decision. An appeal may address only the four following grounds:

      • A material procedural error occurred, and that error was significantly prejudicial to the outcome of the hearing as it affects the student appealing.
      • Previously unavailable relevant evidence, which was not available, or not known to the student appealing at the time of the hearing, is identified, which when considered may materially alter the outcome. Information that the appealing student chose not to pursue with due diligence, or present at the time of the hearing, is not considered new information.
      • College personnel involved in the case presented a conflict of interest or bias that was significantly prejudicial to the outcome of the findings.
      • The sanction imposed was inappropriate (either excessive or insufficient) based on the weight of the information provided during the investigation and/or hearing.

    2. Submitting an Appeal

      An appeal must be submitted to the Hearing Coordinator within five (5) calendar days of the Appealing Party’s receipt of the Adjudicator’s decision letter, which time may be extended for good cause shown by the Title IX coordinator or the coordinator’s designee. Extension requests shall be determined in the sole discretion of the Title IX coordinator or the coordinator’s designee. The Nonappealing Party will promptly be notified if an appeal is submitted, and be provided with a copy of the appeal documents. Nonappealing Parties may themselves submit a written response to the appeal for the Appeals Panel to consider, within five (5) days of being provided with the Appealing Party’s appeal documents, which time may be extended for good cause shown by the Title IX coordinator or the coordinator’s designee. Extension requests shall be determined in the sole discretion of the Title IX coordinator or the coordinator’s designee. No further submissions shall be permitted absent permission of the Title IX coordinator.

      All appeal statements, responses, and/or replies must be sent by the student requesting the appeal (not on behalf of the student by an adviser or parent). Each appeal statement shall be no longer than five pages and consist of one-inch margins and Times New Roman 12-point font. No attachments or exhibits will be accepted. However, any references to the FIR and other materials can be made in the appeal statements or response.

    3. Appeal Deliberations

      Upon receipt of an appeal, the Hearing Coordinator will call together an Appeals Panel to review the appeal. An appeal is not a new hearing, but a reviewing body that will evaluate the grounds for appeal of the Adjudicator’s determination in light of the hearing record as a whole. The Appeals Panel will meet alone (without the presence of the parties, witnesses, Adjudicator, or Hearing Coordinator).

      The three-member Appeals Panel will consist of the provost/dean of the faculty (or the dean’s designee), serving as chair, and two members of the trained pool of faculty and staff members who were not involved in the investigation or adjudication of the underlying matter, selected by the Hearing Coordinator. The Appeals Panel members shall not include individuals with a conflict of interest or who had prior nonpublic information about the conduct charged.

      The Appeals Panel will in most instances make its decision within ten (10) calendar days of the receipt of the final appeal-related submission(s). However, extenuating circumstances may result in an extension, which shall be considered in the sole discretion of the Appeals Panel chair. If there is an extension, both parties will be informed in writing of the delay, and will be given an estimate of when the appeal will be determined.

      The Appeals Panel will use only the following to make its decision:

      • Consideration of the merits of the appeal based on the written appeal request, and/or any responses or replies submitted subsequent to the appeal request;
      • The Final Investigatory Report and any addenda or supplements to that Report;
      • Other information provided to the Adjudicator at the hearing (such as documents or statements); and, if applicable,
      • The recording of the hearing;

      Based on these materials, the Appeals Panel may:

      • Affirm the Adjudicator’s determination and/or sanctions;
      • Alter the sanctions rendered, if sanctions have been imposed and the appropriateness of the sanction is raised as a reason for appeal. However, the Appeals Panel’s sanction must stay within the sanctioning guidelines as outlined above;
      • Alter the determination, or remand the matter for further investigation or deliberation if the Appeals Panel concludes that a significant material procedural error was made; or
      • Send the case back to the original Adjudicator for a new hearing if new information, as defined above, has arisen that in the Appeals Panel’s judgment may have altered the outcome. If potential bias or conflict of interest is identified, or if in the Hearing Coordinator’s discretion the appointment of an alternate Adjudicator would be appropriate, the Hearing Coordinator will select a new member from the Adjudicator pool.

    4. Revisiting Cases Based on New Information

      If the case is returned by the Appeals Panel on the basis of new information, this new information may require that additional investigation occur prior to any new hearing proceedings. The Appeals Panel, in collaboration with the Title IX Office, will determine whether the new information requires another investigation.

      • If the new information requires supplemental investigation, the case will follow the timeline of investigation and hearing procedure, in which the original investigator of the case shall be responsible for conducting this investigation within thirty-five (35) days, and the hearing shall take place within twenty-five (25) days after the investigation, absent good cause shown for an extension.
      • If the new information does not require any supplemental investigation, the case shall be heard within twenty (20) days, or as soon as practicable in the event the academic calendar does not allow the hearing to be scheduled, or in the absence of good cause shown for an extension.
      • In the event that both Parties do not wish to proceed with a second hearing, they may consider other options for resolution, suggested and facilitated by the Hearing Coordinator. However, any alternate process must be agreed upon by both Parties and by the Hearing Coordinator.

      Although new information may be presented or identified during any supplemental investigation, there shall be no changes made to the original FIR. New information, including any information gathered in a supplemental investigation, will be added as an addendum to the original Report. Both parties will have the opportunity to view the new information before it is sent back to the Adjudicator.

      The decision of the Appeals Panel will be final, and no further appeals are permitted by either Party, except in the case where the Committee sends the case back to the Adjudicator to conduct a new hearing.