After written notice of allegation of formal complaint is delivered to the complainant and respondent, the investigator will send written notice of investigation to the complainant and respondent. The investigator is responsible for gathering information for the investigation and writing the investigative report, and will generally follow the procedures listed here, including attempting to make contact with the complainant, respondent, and witnesses for the purpose of collecting information for the investigation. The investigative report does not include any findings, recommendations, or assessments of credibility. OEO personnel do not serve as decision makers in Equal Opportunity and Non-Discrimination formal complaint hearings. 

The complainant, respondent, and witnesses are invited to participate in the investigation process and may submit any information, including their own written statement, they would like to submit for the investigation with the understanding that the complainant, respondent, and their advisors of choice will have full access to all materials collected by and submitted to the investigator for the formal complaint investigation. 

Investigations will generally follow this time frame:

• Phase 1 Evidence Collection: within 90 business days with exceptions
• Phase 2 Drafting of the Investigative Report
• Phase 3 Complainant and Respondent Review of and Response to Evidence gathered in the draft investigative report: 5 business days
• Phase 4 Complainant and Respondent Review Final Investigative Report and Submit Final Response: 5 calendar days.

*Review of the draft and final investigative reports total 10 business days when they are provided to all parties.

Exceptions, Extensions and Deadlines

At any point during the investigation, the OEO investigator may determine it is necessary to extend or reopen the periods for evidence collection and/or review. In such cases, timelines for evidence collection or review may be modified by the OEO. Parties will be notified of any such decisions and rationale in writing.

Anticipated timelines, deadlines, restrictions or procedures detailed here will not be altered except in necessary or extreme circumstances, for good cause, in order to uphold the intent of the process, as determined by the OEO. If an extension is granted, the complainant and respondent in a formal complaint will be informed of the reason for the extension. Complainants and respondents may request extensions for good cause under these procedures. The determination regarding whether or not an extension will be granted rests with the Director of the Office of Equal Opportunity.

After the OEO has received a written formal complaint from the complainant and received confirmation from the complainant of their intent to file a formal complaint, the OEO will issue a written notice of allegation of the formal complaint to the respondent and the complainant. The OEO will make reasonable efforts to contact and discuss supportive measures, resources and these procedures with the respondent and complainant including encouraging each party to schedule an appointment to meet with the OEO to review procedures and supportive measures. During the formal complaint process, the OEO will make reasonable efforts to contact the complainant and respondent at regular intervals to check in and provide information about supportive measures.

If the complainant has requested initiation of the investigation and hearing procedure, the notice of allegation will include that the OEO will conduct the investigation. If the complainant has requested initiation of an available alternative resolution procedure, the notification will specify that the formal complaint is being referred to an office other than the OEO for exploration of alternative resolution. If other allegations are identified for investigation after the written notice of allegation has been issued, notice of additional allegations must be provided to the parties whose identities are known.

• The date, time and location of the alleged incident and the names, if known, of the complainant and respondent.
• A description of the incident(s) that is/are the focus of the formal complaint and access to the full formal complaint submitted by the complainant to the OEO so that the respondent and complainant have full access as soon as possible and before they would be expected to make statements for an investigation or alternative resolution procedure.
• The specific policy alleged to have been violated and that if other allegations are uncovered during the course of an investigation, the OEO will send a separate written notification of allegation or make a referral to the proper office.
• Information regarding formal complaint investigation procedures, adjudication procedures and alternative resolution procedures.
• Information about reasonably available supportive measures.
• The right of the complainant and respondent to bring an advisor of choice to any meetings and proceedings, information on the role of the advisor in procedures and how to notify the OEO of their choice.
• The presumption that no policy violation has occurred unless proven otherwise by a preponderance of the evidence in an adjudication process and that in conducting the investigation the OEO serves fairly and impartially.
• The right of the respondent to inspect and review the formal complaint submitted by the complainant, before participating in an investigative interview or submitting a response.
• Confirmation that the OEO will conduct the formal complaint investigation (if investigation and hearing option has been chosen).
• The equal opportunity of both parties to have sufficient time to prepare before participating in investigative interviews (if the investigation and hearing option has been chosen).
• The equal opportunity of both parties to submit evidence and inspect and review evidence submitted.
• The equal opportunity of the complainant and respondent to have 5 business days upon receipt of notification from the OEO to submit a response to the evidence collected included in the draft investigative report (if the investigation and hearing option has been chosen).
• The equal opportunity of the complainant and respondent to have 5 business days to submit a response to the final investigative report, upon receipt of the report (if the investigation and hearing option has been chosen).
• The prohibition against retaliation for parties participating in procedures under Policy 1302 and Policy 1324.
• That parties are instructed to preserve any potentially relevant evidence in any format.
• That the formal complaint investigation is the only opportunity prior to a hearing for the complainant and respondent to submit evidence and statements (if the investigation and hearing option has been chosen).
• That the formal complaint investigation procedure is the only opportunity prior to a hearing for the OEO investigator to receive submissions by witnesses (if the investigation and hearing option has been chosen).
• How to schedule an appointment with the OEO to ask questions regarding the procedures and discuss supportive measures.
• Notification that participation in either the investigation and hearing process and/or alternative resolution process is voluntary, that the OEO welcomes and encourages participation by parties, but has no mechanism to compel parties to participate or provide information.

Transcript Notation

If a student respondent withdraws while under an OEO investigation, a notation will be placed on the student respondent’s transcript until a final decision in the case is rendered. In cases where a student respondent is found responsible and suspended, a notation will be placed on the student respondent’s transcript for the duration of the suspension or expulsion.

Such notations will read, as applicable: 

• Withdrew while under investigation for violation of Student Standards of Conduct
• Expelled for violation of Student Standards of Conduct
• Suspended for violation of Student Standards of Conduct

Student respondents receiving a transcript notation for a suspension will have it automatically removed by the Office of the Registrar once the suspension period has ended. After a period of three years, students may contact the Office of Student Accountability and Restorative Practices to request removal of a notation for good cause shown.

Participation in the formal complaint investigation and hearing process is voluntary for the complainant, respondent and witnesses and the university has no mechanism for compelling individuals to participate.

The OEO is responsible for collecting evidence for the investigation and does not have a mechanism for compelling individuals or agencies to share documents, video and audio that may be relevant to the investigation of a formal complaint including but not limited to medical reports, educational records, correspondence (either electronic or mailed) that may have taken place between parties involved, surveillance video, police reports, personal text messages, phone records, other electronic communication, pictures, video, maps, room layouts, etc. If the university is unable to obtain such information, parties who wish to include any such information may submit it directly to the OEO.

The OEO cannot access, accept, consider, disclose or otherwise use a party’s records that are made or maintained by a physician, psychiatrist, psychologist or other recognized professional or paraprofessional acting in the professional or paraprofessional’s capacity, or assisting in that capacity and which are made or maintained in connection with the provision of treatment to the party, unless the party voluntarily provides written consent to the OEO to include the information in the investigation.

The OEO cannot access, accept, consider, disclose or otherwise use a party’s records that are made or maintained by a physician, psychiatrist, psychologist or other recognized professional or paraprofessional acting in the professional or paraprofessional’s capacity, or assisting in that capacity and which are made or maintained in connection with the provision of treatment to the party, unless the party voluntarily provides written consent to the OEO to include the information in the investigation. If the complainant or respondent voluntarily elect to submit information for the investigation that would be considered privileged, they must complete and return the “OEO Consent to Include Privileged Documents” form provided to them with written notice of allegation. A copy of the form must accompany each submission.

At any point during the investigation, the OEO may determine it is necessary to extend or reopen the periods for evidence collection and/or review. In such cases, timelines for evidence collection or review may be modified by the OEO. Parties will be notified of any such decisions and rationale in writing.

Phase 1 Evidence Collection

The investigator will collect information and evidence which includes interviewing parties who wish to participate and collecting and accepting documentation, information and statements from parties. The OEO strives to complete its investigation within 90 business days. The time frame for evidence collection may vary depending on the overall scope of the investigation, the volume of evidence and the availability and responsiveness of the complainant, respondent and witnesses to requests made by the OEO investigator.

Phase 2 Writing the Draft Investigative Report

The OEO investigator will then write the draft investigative report. The OEO investigator does not complete the final investigative report until all parties have been provided the opportunity to inspect and review the evidence within the draft investigation report at the Office of Equal Opportunity. All parties are provided 5 business days to review the draft investigative report in person at the Office of Equal Opportunity and to provide responses.

Phase 3 Complainant and Respondent Review of and Response to Evidence

All evidence collected during the information/evidence collection period will then be made available to the complainant and respondent and their respective advisors of choice for review for a period of 10 business days. 

• The complainant and respondent will each have until the conclusion of that 10-business-day period to submit a written response to the evidence directly to the OEO. The OEO is not required to accept late submissions.
• Upon receipt of those responses, the OEO will determine whether evidence collection and review should continue or whether to proceed with the next steps. If evidence collection and review will continue, the OEO will notify the parties.

Phase 4 Complainant and Respondent Review the Final Investigative Report and Submit Final Response

Upon completion of the final investigative report, the OEO will make the investigative report available to the complainant and respondent and their respective advisors of choice for a period of 5 business days for review and for the complainant and respondent to submit a final response to the investigative report by the close of the 5-business day review period. The investigator is not required to accept late submissions.

The OEO treats all witnesses as incident witnesses who are invited to share any information they have and to represent their own and not another party’s perspective. Incident witnesses are individuals who are believed to have information about the incident(s) that is (are) the focus of the formal complaint investigation.

Generally, the OEO will identify incident witnesses to contact for the investigation of the formal complaint. The complainant and respondent may also identify witnesses.

While the OEO will make reasonable attempts to reach out to all potential witnesses, there is no mechanism for the OEO to compel witnesses to participate.

Generally, a witness should not be an advisor of choice.

Report Contents

In the report, the OEO investigator will present a fair summary of all relevant evidence but will not present findings, make recommendations or weigh credibility. 

Once the notification is sent to the complainant and the respondent that the draft investigative report has been completed, the OEO will notify the complainant and respondent that the investigation portion of the formal complaint process has concluded unless the OEO decides to extend the investigation. All parties will have the opportunity to provide responses to the draft investigative report as well as the final investigative report.

• The complainant, respondent and their advisors of choice will continue to have access to all of the materials the OEO has made available to them including the investigative report, all responses and all evidence that has been collected by and submitted to the OEO.
• All such material will also then be made available to the university authority responsible for administering the hearing and reaching an outcome. This does not preclude the university entity responsible for the adjudication process from also making the materials available to the complainant, respondent and their advisors of choice.

• The OEO will retain a copy of the investigative report for a period of at least seven years.
• The OEO will continue to provide reasonably available supportive measures and referrals for supportive measures available through other university offices and the community to the complainant and respondent.
• The OEO is involved with the administration of the hearing process. Therefore, parties involved in the formal complaint process will have to communicate directly with the OEO regarding all matters related to the hearing including but not limited to informing the OEO of who will be serving as advisor of choice, scheduling availability, etc.
• The OEO investigator for the formal complaint may appear at the formal complaint hearing as an administrative witness to provide an overview of the investigative procedures and to answer questions about procedures but will not provide any recommendations, conclusions or assessments of credibility.

Refer to Policy 1324 for the procedures the university will follow to adjudicate formal complaint allegations that fall within the scope of both Policy 1302 and Policy 1324