Formal Procedure

A32B

If informal resolution is unsuccessful, unavailable (such as in the instance of sexual assault), or if the grievant chooses the formal procedure, a formal written complaint must be filed. The written complaint will include details of the allegations of violations of the University policy against harassment and discrimination including, but not limited to, the alleged violations, the date(s) and time(s) of the alleged violations and any witnesses or other relevant information about the complaint. If the ADHRER is involved in the complaint, the grievant should submit the statement to the Director of Human Resources. If the ADHRER is involved in the complaint or is unavailable to complete the investigation, the Director of Human Resources will investigate or assign an investigator who will then take on the duties of the ADHRER as described below.

Upon receipt of the written complaint, the ADHRER will notify the accused, the University accused employee’s supervisor(s), the Provost and Vice President for Academic Affairs, and, if the case involves sex discrimination or sexual harassment, the University’s Title IX Coordinator  or Title IX Deputy Coordinator as applicable, and in cases of disabilities discrimination, the 504 Officer. The University will conduct a prompt, thorough, and impartial investigation. Investigations involving conduct within the scope of Title IX will be addressed through the Title IX process as identified in  the Title IX and Sexual Misconduct Policy.

The ADHRER will undertake an investigation of the allegations contained in the written statement. Depending on the nature of the allegations, the investigation could include interviews with the grievant, the accused and/or witnesses; review of written documentation and relevant policies; and any other steps necessary to thoroughly investigate the allegations. The investigation will be conducted as expeditiously as possible, and the results of the investigation will be forwarded to the Provost and Vice President for Academic Affairs. At that time, academic support staff with faculty rank or administrative staff with faculty rank who are accused of violating the policy must notify the Provost and Vice President for Academic Affairs whether they choose the faculty or staff procedure. Once notification is given, the accused may not change procedures.

Within 14 calendar days of the ADHRER’s receipt of the written complaint, the Provost and Vice President for Academic Affairs or his/her designee, will assemble a three-member hearing committee. One member of the committee will be a faculty member, appointed by the Chair of Academic Council; one member will be a staff member, appointed by the Provost and Vice President for Academic Affairs from a list of staff recommended by the Staff Advisory Council; and one administrator, at the level of Assistant Dean or above, appointed by the Provost and Vice President for Academic Affairs. To be eligible for appointment, an appointee must have completed training in University discrimination and harassment policies and procedures (including Title IX and 504/ADA obligations), and have no conflict of interest in the complaint. If the Provost and Vice President for Academic Affairs finds an appointee to have a conflict of interest or be unable to complete the required training in a timely fashion, the Provost and Vice President for Academic Affairs will request an additional three names from the appointer and choose one name from that list.

The hearing committee will elect a Chair by majority vote who will serve as the convener of the committee.

The Provost and Vice President for Academic Affairs will provide the hearing committee with a copy of the results of the confidential investigation conducted by the ADHRER. After reviewing the results of the investigation, the committee will conduct a hearing regarding the allegations and investigation findings. Both the grievant and the accused each may be accompanied and advised at the hearing by a University student or employee; however, no attorneys may be present or participate in the hearing. Reasonable provisions will be made for University employees or students to appear as witnesses.

The hearing should normally be completed within 30 calendar days from the receipt of the investigation. Within 14 calendar days of the completion of the hearing, the committee will provide a written report of responsibility or non-responsibility for policy violations. The committee will provide a copy of this report to the grievant, the accused, the ADHRER, the Provost and Vice President for Academic Affairs and, in cases involving sex discrimination or sexual harassment, the University’s Title IX Coordinator or Title IX Deputy Coordinator  as applicable, and in cases of disabilities discrimination, the 504 Officer. The committee will also issue a recommendation to the Provost and Vice President for Academic Affairs for sanctions, if any, to be assigned to the accused if the accused is found responsible for any alleged policy violation.

Either the grievant or the accused may request an appeal of the hearing committee’s finding of responsibility or non-responsibility by providing a written notice of appeal to the Provost and Vice President for Academic Affairs within seven calendar days of the Hearing Board’s determination. Appeals of the Hearing Board’s decision may only be made on the basis of 1) substantial violations of the procedures of this policy and/or 2) the emergence of new, material information relevant to the alleged policy violations. Written notice of appeal must identify the basis of the appeal and should include sufficient detail to support the appeal. If the Provost and Vice President for Academic Affairs is involved in the case, the grievant should submit the statement to the President of the University, who will then take on the duties of the Provost and Vice President for Academic Affairs as described in this paragraph. Upon receipt of this written appeal, the Provost and Vice President for Academic Affairs will review the information from the formal procedure plus any new information submitted and permit the non-appealing party an opportunity to provide information relevant to the appeal if desired. The Provost and Vice President for Academic Affairs will make a final determination of responsibility and notify the grievant and accused of the outcome within 30 calendar days of receiving the request for appeal. If the Provost and Vice President for Academic Affairs upholds a decision of responsibility, she or he will assign sanctions and communicate in writing this decision and sanctions to the accused, the accused’s supervisor, the ADHRER, and, in cases involving sex discrimination or sexual harassment, the University’s Title IX Coordinator or Title IX /Deputy Coordinator as applicable, and in cases of disabilities discrimination, the 504 Officer. Any decision to issue sanctions by the Provost and Vice President for Academic Affairs will be placed in the accused’s personnel file.

If no appeal is filed of the hearing committee findings, the Provost and Vice President for Academic Affairs will determine appropriate corrective actions including sanctions upon a review of the hearing committee findings and file. A written summary of corrective action will be provided to the accused, the accused’s supervisor, the ADHRER, and, in cases involving sex discrimination or sexual harassment, the University’s Title IX Coordinator or Title IX Deputy Coordinator as applicable, and in cases of disabilities discrimination, the 504 Officer within 14 calendar days of the Provost and Vice President for Academic Affairs receiving the reports of the hearing committee.

The University will maintain documentation of the complaint, its investigation, and hearing process under this policy. In cases involving sex discrimination or sexual harassment, all documentation will be filed with the University’s Title IX Coordinator or Title IX Deputy Coordinator  as applicable, and in cases of disabilities discrimination, the 504 Officer.