Resolution Options

Investigative Resolution involves a prompt, thorough, and impartial investigation followed by a hearing.  During the investigation phase, the EO investigator will conduct interviews with the parties and witnesses and collect any relevant documentary evidence that is available.  Once the investigator has completed their initial investigation, the investigator will compile the information gathered into a Preliminary Investigative Report, which will be shared with the parties. The parties will have the opportunity to submit a written response to the Preliminary Investigative report and make additional investigation requests. The Investigator will review these requests and engage in any relevant and appropriate investigation. Any new substantive information that is gathered will be shared with the parties for their review and response. Next, the investigator will create a Final Investigative Report that summarizes the relevant evidence gathered. This Final Report will be shared with the parties as well as the Hearing Officer.  A virtual hearing will be held, during which the Hearing Officer and the parties' advisors will have the opportunity to ask questions of the parties and participating witnesses. At the conclusion of the hearing, the Hearing Officer will make a determination regarding responsibility using the preponderance of the evidence (more likely than not) standard of proof.  If the Respondent is found responsible, the Disciplinary Authority will determine the appropriate sanctions and remedies.  All parties have the ability to appeal the outcome as well as any sanctions. 

Learn more about Title IX Investigative Resolutions

Frequently Asked Questions about Investigative Resolutions

Who can be considered a witness in an Investigative Resolution?

Witnesses are individuals who may have information relevant to the incident, including individuals who may have observed the acts in question, may be able to provide contextual information, or may have other information related to the incident, the disclosure, the parties or related matters.  Where witnesses are interviewed as part of the investigation, the name of the witness and the information gathered in the interviews will be included in the final investigative report, which the parties will have the opportunity to review at the conclusion of the investigation.

What kind of evidence is collected during an Investigative Resolution?

The Investigator, not the parties, is responsible for gathering relevant evidence. The Investigator will gather relevant information or evidence, including documents, photographs, communications between the parties, medical records (subject to the consent of the applicable person), and other electronic records as appropriate. 

In general, a person’s medical and counseling records are confidential and not accessible to the Investigator unless the person voluntarily chooses to share those records with the Investigator in writing. In those instances, the relevant information from the records must be shared with the other party.

The Investigator may visit relevant sites or locations and record observations through written, photographic or other means. In some cases, the Investigator may consult with relevant experts when deemed appropriate and necessary by the university. The university will not consider polygraph results.

What rights do the Complainant and Respondent have during an Investigative Resolution?

During an Investigative Resolution, both the Complainant and Respondent have equitable opportunities, including the opportunity to participate in the investigation; to review and present information and evidence; to be accompanied by an advisor of their choice to any meeting and proceeding; and to timely notice of meetings at which their presence will be requested or required.

Can prior or subsequent conduct be considered during an Investigative Resolution?

Prior or subsequent conduct may be considered in determining pattern, knowledge, intent or motive. For example, evidence of an articulable pattern of sexual harassment by the Respondent, either before or after the incident in question, regardless of whether there has been a prior finding of a policy violation, may be deemed relevant to the determination of responsibility for the sexual harassment under investigation. The determination of relevance of pattern evidence will be based on an assessment of whether the previous or subsequent conduct was substantially similar to the conduct under investigation or indicates a pattern of similar sexual harassment. The Investigator will determine the relevance of this information, which may involve additional investigative steps, and both parties will be informed if evidence of prior or subsequent conduct is deemed relevant.

How much are the Complainant and Respondent expected to participate in an Investigative Resolution?

The university expects all members of the university community to cooperate fully with the university’s procedures for resolving a formal complaint. It is understood that there may be circumstances in which a Complainant or Respondent wish to limit their participation, and the university will respect the choice of the Complainant or Respondent as to how to engage in proceedings under the Policy. The university may, however, move forward with an investigation and resolution without the participation of a party or parties.

If a Complainant or Respondent chooses not to answer any or all questions in an investigation for any reason, the university will continue its process. The university will not draw any adverse inference solely from a Complainant’s or Respondent’s decision not to participate in the investigation; however, the Complainant or Respondent should be aware that declining to participate in the investigation may impact the timing and outcome of the case.

Parties are reminded that, consistent with the policy’s prohibition on retaliation, intimidation, threats of violence, or other conduct intended to cause a party or witness to not participate in an investigation or not appear for a hearing are expressly prohibited.

How long does the investigation stage of the Investigative Resolution take?

The Investigator will provide periodic updates to the parties about the status of the investigation, with a goal to complete the initial fact-gathering portion of the investigation within approximately 50 business days from the date of the Notice of Allegations.

What happens after the fact-gathering portion of the Investigative Resolution? 

At the conclusion of the initial fact-gathering portion of the investigation, the Complainant and Respondent will have an equal opportunity to inspect and review all evidence, directly related to the allegations in the formal complaint through a review of the Preliminary Investigative Report.

Each party will then have ten (10) business days to:

1. Provide written comment or feedback,
2. Submit additional information,
3. Identify additional witnesses, and/or
4. Request the collection of other information by the Investigator.

The Investigator will determine the appropriateness of additional investigative steps and the relevance of additional information.

If either party provides a written response or makes a request for additional investigation, the written response and any additional information gathered by the Investigator will be shared with the other party and incorporated as appropriate in the Final Investigative Report.

Any information gathered through additional investigation steps will be shared with both parties, and, as appropriate, each will have the opportunity for further response. Typically, each party will have three (3) business days to review any additional substantive information.

As necessary, the Investigator will designate reasonably prompt timeframes to ensure a timely completion of the process while also providing an adequate opportunity for both parties to respond thoroughly to the information gathered during the investigation.

What happens after the review of the Preliminary Investigative Report? 

Unless there are significant additional investigative steps requested by the parties or identified by the Investigator, normally within five business days after receipt and consideration of additional comments, questions, and/or information from the parties, the Investigator will prepare a Final Investigative Report that fairly summarizes the relevant evidence. 

Both parties will receive simultaneous written notification of the availability of the Final Investigative Report. Parties may provide their written response to the Final Investigative Report, if any, at least two business days prior to the scheduled hearing. 

What is the timeline between the Preliminary Investigative Report and the Final Investigative Report?

Typically, there is approximately 15 business days between the Preliminary Investigative Report being issued and the Final Investigative Report being issued. However, this timeframe may be extended depending on if additional relevant investigation is needed following the Preliminary Investigative Report.  

What is the timeline between the Final Investigative Report and hearing?

The Investigator will send the Final Investigative Report to each party and their advisor at least 10 business days prior to a hearing.

As such, a hearing will be scheduled for a date at least 10 business days after the Final Investigative Report is provided to the parties; typically a hearing will be held within 15 business days from the date that the Final Investigative Report was provided. This timeframe may be extended for good cause as provided for in the Policy; if granted, the reason for the extension will be shared with the parties in writing.

What if I can't make a scheduled hearing?

The Office of Equal Opportunity works with all parties to schedule the hearing for dates and times that allow everyone to participate. However, permission to postpone a hearing may be granted provided that the request to do so is based on a compelling emergency and, where possible, such request is provided to the Hearing Officer and Title IX Coordinator at least 48 hours prior to the time of the hearing.

Do I need to participate in the hearing?

The university expects all members of the university community to cooperate fully with the university’s procedures for resolving a formal complaint. However, it is understood that there may be circumstances in which a Complainant or Respondent may choose not to participate in the hearing and the university will respect that choice.

If you are concerned about participating in the hearing portion of the Investigative Resolution process, please contact the Office of Equal Opportunity to discuss your concerns.  There may be supportive measures that the Office of Equal Opportunity can facilitate prior to and during the hearing to address your concerns and facilitate your participation. 

Even if one or more parties choose not to participate in the hearing, the university may, however, move forward with the hearing. If a Complainant or Respondent chooses not to participate in a hearing, the university will not draw any adverse inference solely from a Complainant’s or Respondent’s decision not to participate; however, the Complainant or Respondent should be aware that declining to participate in the hearing may impact the outcome of the case.

The Hearing Procedures provide detailed information regarding the hearing process. 

Who presides over the hearing?

The Hearing Officer is the individual designated by the university to preside over the hearing and to issue a written determination regarding responsibility. The Hearing Officer will be impartial and free from actual bias or conflict of interest. The Hearing Officer will receive annual training regarding the university’s policies and procedures; the handling of sexual misconduct cases; how to conduct a hearing; issues of relevance, including when questions and evidence about the Complainant’s sexual predisposition or prior sexual behavior are not relevant; how to serve impartially by, among other things, avoiding prejudgment of the facts at issue, conflicts of interest, and bias; and other relevant issues. The Hearing Officer will also be trained on any technology that might be used during a hearing.

The parties will be informed of the identity of the Hearing Officer at least five (5) business days before the hearing. If the Hearing Officer has concerns that they cannot conduct a fair or unbiased review, the Hearing Officer must report those concerns to the Title IX Coordinator and a different Hearing Officer will be assigned. Similarly, a Complainant or a Respondent who has concerns that the assigned Hearing Officer cannot conduct a fair and unbiased hearing, may report those concerns to the Title IX Coordinator who will assess the circumstances and whether a different Hearing Officer should be assigned.

What is the role of an Advisor during the hearing?

While parties are permitted to have one advisor assist them during the investigation phase of the Investigative Resolution process, it is not required that parties have an advisor during the investigation phase.  However, parties are required to have an advisor for the hearing phase of the Investigative Resolution process.  If a party is not able or does not want to obtain their own advisor for the hearing, the university will provide them an advisor for free. 

While the advisor may be present, the advisor may not speak or otherwise participate in the hearing except for purposes of conducting cross-examination, when directed to do so by the Hearing Officer. Other than cross-examination, the advisor may not address the Hearing Officer and must comport themselves in a manner that is not disruptive to the hearing.

What if I don't have an Advisor for the hearing?

If a party does not have an advisor for the hearing, the Title IX Coordinator will appoint an advisor for the hearing, at no cost to the party, to ask cross-examination questions on behalf of the party.

Will witnesses be asked to participate in the hearing?

The Hearing Officer will identify any witnesses that they wish to hear from at the hearing based on a review of the Final Investigative Report. The Complainant and Respondent may each request the presence of any additional witnesses at the hearing, which will be determined based on relevance by the Hearing Officer.

The university cannot compel the attendance of any witness.

Typically, only witnesses who were identified and interviewed as part of the investigation may be called at the hearing. Under very limited circumstances, the Complainant, Respondent or Hearing Officer may identify a witness with relevant information who has not previously been interviewed. In such a case, the Hearing Officer will determine whether the new witness’s participation at the hearing is relevant and appropriate under the circumstances, and if so, may allow the witness to participate in the hearing or refer the matter to the Investigator for additional investigation.

Can any new evidence be considered during the hearing?

In the absence of good cause, information known to a party (or obtainable with reasonable diligence) but not provided to the Investigator will not be considered by the Hearing Officer in the determination of responsibility for a violation of the Policy.

What happens after the hearing?

After the hearing, the Hearing Officer will make a finding by the preponderance of the evidence as to whether the Respondent(s) violated the Policy and create the written notice of outcome as outlined below. In reaching a determination, the Hearing Officer may rely on relevant evidence that is otherwise permitted for consideration under this Policy and Procedures. The Hearing Officer has the discretion to determine the appropriate weight to assign to all relevant evidence.

If the Hearing Officer determines that the Respondent is responsible for violating the Policy, the Hearing Officer will refer the matter to the appropriate Disciplinary Authority who will determine the appropriate remedies and/or sanction(s) to be imposed.

If a Respondent is found responsible for violating the Policy, who is the Disciplinary Authority?

The Disciplinary Authority is typically the university administrator with appointing or other authority over the Respondent as follows:

• For student Respondents, the Disciplinary Authority is the Vice President for Student Affairs and Dean of Students or designee.
• For staff Respondents, the Disciplinary Authority is the Vice President for Human Resources or designee, who may consult with the Respondent’s direct supervisor.
• For a Respondent who is both a student and employee, the Disciplinary Authority is the Dean of Students or designee if the Respondent’s primary status is an enrolled student. The Disciplinary Authority is the Vice President for Human Resources or designee when the Respondent’s primary status is an employee who is enrolled as a student as a benefit of their own employment. Where there is a question about the predominant role of the Respondent, the Title IX Coordinator may direct that the Dean of Students and the Vice President for Human Resources work collaboratively as the Disciplinary Authority. Such a Respondent may be subject to any of the sanctions applicable to students and employees.
• For faculty Respondents, the Disciplinary Authority is the Provost and Executive Vice President for Academic Affairs or designee, who may consult with the Dean or Department Chair.

What information is included in the Written Notice of Outcome?

After the hearing, the Hearing Officer will create a written notice of outcome that will include the following:

• Identification of the allegations potentially constituting sexual harassment;
• A description of the procedural steps taken from the receipt of the formal complaint through the determination, including any notifications to the parties, interviews with parties and witnesses, site visits, methods used to gather other evidence, and hearings held;
• Findings of fact supporting the determination;
• Conclusions regarding the application of this Policy to the facts;
• A statement of, and rationale for, the result as to each allegation, including a determination regarding responsibility;
• Description of any sanctions imposed on the Respondent and whether remedies designed to restore or preserve equal access to the university’s education programs or activities will be provided to the Complainant; and
• Information about the appeal process.

Regardless of their participation in the Investigative Resolution process, the Title IX Coordinator will provide the Complainant and Respondent the written notice of outcome issued by the Hearing Officer simultaneously.

Remedial measures and sanctions will not be imposed until any appeal process in the Policy is final.

An Investigative Resolution was started, can I switch to a Negotiated Resolution?

Yes; The decision to pursue Negotiated Resolution may be made at any time after a Formal Complaint is filed and prior to reaching a determination regarding responsibility, provided that both parties provide their written consent to engaging in Negotiated Resolution.

A Negotiated Resolution was already started, can I switch to an Investigative Resolution?

Yes; Either party can request to end Negotiated Resolution and pursue an Investigative Resolution at any time prior to signing a Negotiated Resolution Agreement.

What is the timeline for an Investigative Resolution?

While it is not possible to predict how long the entire Investigative Resolution process will take, many cases take between 4-6 months to complete depending on the complexity of the case and whether an appeal is filed.

Investigative Resolution involves a prompt, thorough, and impartial investigation.  The first step in the investigation process is to put the Respondent on notice of the allegations under investigation. Next, the Equity and Title IX investigator will conduct interviews with the parties and witnesses and collect any relevant documentary evidence that is available.  

Once the investigator has completed the investigation, they will create an investigative report that summarizes the relevant evidence and may make preliminary factual outcome findings using the preponderance of the evidence standard (more likely than not) as to whether a policy violation occurred and whether the behavior at issue was prohibited harassment or discrimination, created a discriminatory hostile environment, and/or was related retaliation.

The investigator will then share the findings with the applicable management chain (such as direct manager or academic unit lead) so that they may determine what action to take. Respondents and, when applicable, complainants will be provided information regarding the applicable appeal process.

Learn more about Equal Opportunity Investigative Resolutions