Part C: Resolution Procedures

Saint Mary’s College will act on any Notice/Formal Complaint of violation of the Sex Discrimination and Sexual and Gender-Based Misconduct Policy (“the Policy”) that the Title IX Coordinator¹ or any other Official with Authority receives. The College uses the following sets of procedures to address these complaints:

• Formal Grievance Procedures
  • Compliant with the federal Title IX regulations
  • Applies to all students, employees, and third parties regardless of role as complainant or respondent
  • Applicable to all Formal Complaints of alleged violations of any categories of Prohibited Conduct listed above
  • Involves an investigation and live hearing, including cross-examination through party advisors
• Informal Resolution

The Formal Grievance Process is the College’s primary resolution approach unless all parties and the College agree to an Informal Resolution. The parties’ preferences are considered but it is ultimately determined at the Title IX Coordinator’s discretion. 

Resolution proceedings are private. All persons present at any time during a resolution process are expected to maintain the privacy of the proceedings in accordance with this Policy.

There is an expectation of privacy around what Investigators share with parties during interviews and for any materials the institution shares with the parties during the resolution process. The parties have discretion to share their own knowledge and evidence with others if they choose, except for information the parties agree not to disclose as part of an Informal Resolution. The College encourages parties to discuss any sharing of information with their advisors before doing so.

Upon receipt of Notice or a Formal Complaint of an alleged Policy violation, the Title IX Coordinator will initiate a prompt initial assessment to determine the College’s next steps. The Title IX Coordinator will contact the complainant to offer supportive measures, provide information regarding resolution options, and determine how they wish to proceed.

Collateral misconduct includes potential violations of other Saint Mary’s College policies that occur in conjunction with alleged violation of this Policy, or that arise through the course of the investigation, for which it makes sense to provide one resolution for all allegations. Thus, the collateral allegations may be charged along with potential violations of the Policy, to be resolved jointly under these procedures. In such circumstances, the Title IX Coordinator may consult with College officials who typically oversee such conduct (e.g., human resources, student conduct, academic affairs) to solicit their input as needed on what charges should be filed, but the exercise of collateral allegations under these procedures is within the Title IX Coordinator’s discretion. All other allegations of misconduct unrelated to incidents covered by this Policy will typically be addressed separately through procedures outlined in the appropriate student, employee, faculty, and staff handbooks.

The College uses the preponderance of evidence standard of evidence when determining whether a policy violation occurred. This means the College will decide whether it is more like than not, based upon the available information at the time of the decision, that the respondent violated this Policy.

To initiate Informal Resolution, a complainant or respondent may make such a request to the Title IX Coordinator at any time prior to a Final Determination or the Title IX Coordinator may offer the option to the parties.

The College will obtain voluntary, written confirmation that all parties wish to resolve the matter through Informal Resolution before proceeding and will not pressure the parties to participate in Informal Resolution.

To engage in Informal Resolution, a complainant must first submit a Formal Complaint. 

Three approaches to Informal Resolution are detailed in this section.

1. Supportive Resolution – When the Title IX Coordinator can resolve the matter informally by providing supportive measures (only) designed to remedy the situation. This option involves only the party who opts for it.
2. Accepted Responsibility – When a respondent accepts responsibility violating Policy and accepts the recommended sanction(s), and the complainant(s) and Title IX Coordinator are agreeable to the resolution terms.
3. Alternative Resolution – When the parties agree to resolve the matter through an alternative resolution mechanism (which could include, but is not limited to, mediation, shuttle negotiation, restorative practices, facilitated dialogue, etc.), as described below.

It is not necessary to pursue Informal Resolution first in order to pursue a Formal Grievance Process. Any party participating in Informal Resolution can withdraw from the Informal Resolution process at any time and initiate or resume the Formal Grievance Process.

The parties may agree, as a condition of engaging in Informal Resolution, on what statements made or evidence shared during the Informal Resolution process will not be considered in the Formal Grievance Process should the Informal Resolution process not be successful.¹

If an investigation is already underway, the Title IX Coordinator has discretion to determine if the investigation will be paused, if it will be limited, or if it will continue during the Informal Resolution process.

Prior to engaging in Informal Resolution, the College will provide the parties with written notice of the reported misconduct and any sanctions (only in the case of Accepted Responsibility) or measures that may result from participating in such a process, including information regarding any records that the College will maintain and under which circumstances they may be released.

The College will obtain voluntary, written confirmation that all parties wish to resolve the matter through Informal Resolution before proceeding and will not pressure the parties to participate in Informal Resolution.

Informal Resolution Approaches

Supportive Resolution

Most commonly offered once a Formal Complaint is filed (whereas supportive measures are offered in response to Notice). The Title IX Coordinator will meet with the Complainant to determine reasonable supports that are designed to restore or preserve the complainant’s access to the College’s education program and activity. Such supports can be modified as the complainant’s needs evolve over time or circumstances change.

If the respondent has received the NOIA, the Title IX Coordinator may also provide reasonable supports for the respondent as deemed appropriate. This option is available when the complainant does not want to engage the other resolution options and the Title IX Coordinator does not believe there is a need to sign a Formal Complaint. At the discretion of the Title IX Coordinator, this resolution option can result in an agreement between the complainant and the College that does not require assent from any other party, as long as it does not unduly burden any other party or function punitively with respect to them.

Accepted Responsibility

The respondent may accept responsibility for any or all of the alleged Policy violations at any point during the Formal Grievance Process. If the respondent indicates an intent to accept responsibility for all alleged Policy violations, the ongoing process will be paused, and the Title IX Coordinator will determine whether Informal Resolution is an option.

If Informal Resolution is available, the Title IX Coordinator will determine whether all parties and the College are able to agree on responsibility, restrictions, sanctions, restorative measures, and/or remedies. If so, the Title IX Coordinator implements the accepted Finding that the respondent is in violation of College Policy, implements agreed-upon restrictions and remedies, and determines any other appropriate responses in coordination with other appropriate administrator(s), as necessary.

When a resolution is reached, the appropriate sanction(s) or responsive actions are promptly implemented to effectively stop the discrimination or harassment, prevent its recurrence, and remedy the effects of the discriminatory conduct, both on the complainant and the community.

Alternative Resolution

The College offers a variety of alternative resolution mechanisms to best meet the specific needs of the parties and the nature of the allegations. Alternative resolution may involve agreement to pursue individual or community remedies, including targeted or broad-based educational programming or training; supported direct conversation or interaction between the parties; indirect action by the Title IX Coordinator or other appropriate College officials; and other forms of resolution mechanisms will result in an agreed-upon outcome, while others are resolved through dialogue. 

All parties must consent to the use of an alternative resolution approach, and the parties may, but are not required to, have direct or indirect contact during an alternative resolution process.

The Title IX Coordinator has the authority to determine whether alternative resolution is available or successful, to facilitate a resolution that is acceptable to all parties, and/or to accept the parties’ proposed resolution, usually through their advisors, often including terms of confidentiality, release, and non-disparagement.

The Title IX Coordinator may consider the following factors to assess whether Alternative Resolution is appropriate, or which form of Alternative Resolution may be most successful for the parties:

• The parties’ amenability to Alternative Resolution
• Likelihood of potential resolution, considering any power dynamics between the parties
• The nature and severity of the alleged misconduct
• The parties’ motivations to participate
• Civility of the parties
• Results of a violence risk assessment/ongoing risk analysis
• Disciplinary history of the respondent
• Whether an emergency removal is needed
• Skill of the Alternative Resolution Facilitator(s) with the type of complaint
• Complaint complexity
• Emotional investment/capability of the parties
• Rationality of the parties
• Goals of the parties
• Adequate resources to invest in Alternative Resolution (time, staff, etc.)

The parties may not enter into an agreement that requires the College to impose specific sanctions, though the parties can agree to certain restrictions or other courses of action. For example, the parties cannot require a student to be suspended, but the parties can agree that the respondent temporarily or permanently withdraw. The only approach sanctions can be levied by the institutions is “Accepted Responsibility.”

Parties do not have the authority to stipulate restrictions or obligations for individuals or groups that are not involved in the alternative resolution process. The Title IX Coordinator will determine whether additional or community remedies are necessary to meet the institution’s compliance obligations in addition to the alternative resolution.

The Title IX Coordinator maintains records of any resolution that is reached and will provide notification to the parties of what information is maintained. Failure to abide by the resolution agreement may result in appropriate responsive/disciplinary actions (e.g., dissolution of the agreement and resumption of the Formal Grievance Process, referral to a conduct process for failure to comply, application of the enforcement terms of the agreement). Where the failure to abide by the Informal Resolution Agreement terms results in a failure to remedy a Policy violation, the Title IX Coordinator must consider whether to dissolve the agreement and reinstate the Formal Grievance Process to remedy the impact as required by law. The results of Formal Complaints resolved by alternative resolution are not appealable.

If an Informal Resolution option is not available or selected, the College will initiate or continue an investigation and subsequent Formal Grievance Process to determine whether the Policy has been violated.

The College relies on a pool of individuals (“The Pool”) to carry out the resolution options outlined in this Policy.

Pool Member Roles: Pool members are trained annually, and can serve in any of the following roles at the Title IX Coordinator’s discretion:

• Intake of and initial guidance pertaining to Formal Complaints
• Initial Assessment (perform or assist with)
• Advisor to Parties
• Informal Resolution Facilitator
• Investigator
• Hearing Facilitator
• Decision-maker
• Dismissal Appeal Decision-maker
• Appeal Decision-maker

Pool Member Appointment

The Title IX Coordinator, in consultation with senior administrators as necessary, appoints the Pool, which acts with independence and impartiality. Although members of the Pool are typically trained in a variety of skill sets and can rotate amongst different roles listed above in different Formal Complaints, the College can also designate permanent roles for individuals in the Pool.

The College may utilize external persons or services to fill any of the above roles. Training of external persons and services will be vetted to ensure appropriate training and experience is demonstrated and verified.

The Title IX Coordinator will provide the parties with a written Notice of Investigation and Allegation(s) Letter (“NOIA”) upon commencement of the Formal Grievance Process. Amendments and updates to the NOIA may be made as the investigations progresses and more information becomes available. For climate/culture investigations that do not have an identifiable respondent, the NOIA will be sent to the department/office/program head for the area/program being investigated.

The NOIA will include:

• A meaningful summary of all allegations
• The names of the involved parties (if known)
• The precise misconduct being alleged
• The date and location of the alleged incident(s) (if known)
• The specific policies/offenses implicated
• A statement that the College presumes the respondent is not responsible for the reported misconduct unless and until the evidence supports a Final Determination that the Policy has been violated
• The name(s) of the Investigator(s), along with a process to notify the Title IX Coordinator of any conflict of interest that the Investigator(s) may have in advance of the interview process
• A statement that determinations of responsibility are made at the conclusion of the process and the parties will be given an opportunity during the review and comment period to inspect and review all Relevant and Directly Related Evidence obtained
• A statement of the potential sanctions/responsive actions that could result
• A statement about the College’s policy on Retaliation
• Information about process confidentiality
• Information on the parties right to have an advisor of their choosing and suggestions for ways to identify an advisor
• A statement informing the parties that the College’s Policy prohibits knowingly making false statements, including knowingly submitting false information during the Formal Grievance Process
• Information about how a party may request disability accommodations or other support assistance during the Formal Grievance Process
• An instruction to preserve evidence that is directly related to the allegations

Notification will be made in writing and may be delivered by one or more of the following methods: in person, mailed the parties’ local or permanent address(es) as indicated in official College records, and/or emailed to the parties’ SMC-issued email or other provided email account. Email is an official method of communication for the College and is the primary method of communication. Once mailed, emailed, and/or receiving in-person, notice is presumptively delivered.

The College will make a good faith effort to complete the Formal Grievance Process within sixty to ninety (60-90) business days, including any appeals, which the Title IX Coordinator can extend as necessary for appropriate cause. The parties will receive regular updates on the progress of the process, as well as notification and a rationale for any extensions or delays, and an estimate of how much additional time will be needed to complete the process.

Investigations are completed expeditiously, normally within sixty (60) business days, though some investigations may take longer, depending on the nature, extent, and complexity of the allegations, witness availability, law enforcement involvement, and other factors.

The College may undertake a short delay in its investigation (several days to a few weeks) if circumstances require. Such circumstances include, but are not limited to, a request from law enforcement to temporarily delay the investigation, the need for language assistance, the absence of parties and/or witnesses, and/or health conditions. The College will promptly resume its Formal Grievance Process as soon as feasible. During such a delay, the College will implement and maintain supportive measures for the parties as deemed appropriate.

College action(s) or processes are not typically altered or precluded on the grounds that civil or criminal charges involving the underlying incident(s) have been filed or that criminal charges have been dismissed or reduced.

The College will make a good faith effort to complete the Formal Grievance Process as promptly as circumstances permit and will regularly communicate with the parties to update them on the progress and timing of the process.

No individual materially involved in the administration of the Formal Grievance Process, including the Title IX Coordinator, Investigator(s), and Decision-maker, may have or demonstrate a conflict of interest or bias for a party generally, or for a specific complainant or respondent.

The Title IX Coordinator will vet the assigned Investigator(s), Decision-maker, and Appeal Decision-maker for impartiality by ensuring there are no actual or apparent conflicts of interest or disqualifying biases. The parties may raise a concern regarding bias or conflict of interest at any time during the Formal Grievance Process, and the Title IX Coordinator will determine whether the concern is reasonable and supportable. If so, another Pool member, or other trained individual, will be assigned, and the impact of the bias or conflict, if any, will be remedied. If the source of the conflict of interest or bias is the Title IX Coordinator, concerns should be raised with the Provost, Carol Ann Gittens. 

The Formal Grievance Process involves an objective evaluation of all Relevant Evidence obtained, including evidence that supports that the respondent violated the Policy and evidence that supports that the respondent did not violate the Policy. Credibility determinations may not be based solely on an individual’s status or participation as a complainant, respondent, or witness. All parties have a full and fair opportunity, through the investigation process, to suggest witnesses and questions, to provide evidence, and to receive a written Investigation Report that accurately summarizes this evidence.

Witnesses who are Saint Mary’s College Employees are strongly encouraged to cooperate with and participate in the College’s investigation and Formal Grievance Process. Student witnesses and witnesses from outside the College community are encouraged to cooperate with college investigations and to share what they know about a Formal Complaint.

Interviews may be conducted in person, via online video platforms (e.g., Zoom, Microsoft Teams, FaceTime, WebEx), or, in limited circumstances, by telephone. The College will take appropriate steps to ensure the security/privacy of remote interviews.

Parties and witnesses may also provide written statements in lieu of interviews or choose to respond to written questions, if deemed appropriate by the Investigator(s), though not preferred.

It is standard practice for investigators to create a record of all interviews pertaining to the Formal Grievance Process, by recording, transcript, or written summary. The parties may review copies of their own interviews upon request. No unauthorized audio or video recording of any kind is permitted during investigation meetings.

All interviews are recorded, and all involved persons should be made aware of the audio and/or video recording. The recording and/or transcript of those meetings will be provided to the parties for their review, after which the parties may suggest additional questions to be asked of another party or witness or additional witnesses. Those subsequent meetings or interviews are also recorded and/or transcribed.

The Investigator(s) and the Decision-maker(s) will only consider Relevant or Directly Related Evidence.

Neither the investigation nor the hearing will consider:

1. Questions or evidence about the complainant’s sexual predisposition.¹
2. Questions or evidence about the complainant’s prior sexual behavior, unless such questions and evidence about the complainant’s prior sexual behavior are offered to prove that someone other than the respondent committed the alleged conduct, or if the questions or evidence concern specific incidents of the complainant’s prior sexual behavior with respect to the respondent and are offered to prove consent.2
3. Questions or evidence about a party or witness’s records that are made or maintained by a physician, psychologist, or psychiatrist unless the party or witness provides voluntary, written consent for the records to be considered.

Within the boundaries stated above, the investigation and the hearing can consider character evidence, if offered, but that evidence is unlikely to be relevant unless it is fact evidence or relates to a pattern of conduct.

Previous disciplinary action of any kind involving the respondent may not be considered unless there is an allegation of a pattern of misconduct. Such information may also be considered in determining an appropriate sanction upon determination of responsibility. Barring a pattern allegation, this information is only considered at the sanction stage of the process and is not shared until then.

All investigations are thorough, reliable, impartial, prompt, and fair. They involve interviewing all available, relevant parties and witnesses, obtaining relevant evidence, and identifying sources of expert information, as necessary.

After an interview, parties and witnesses will be asked to verify the accuracy of the recording, transcript, or summary of their interview. They may submit changes, edits, or clarifications. If the parties or witnesses do not respond within the time period designated for verification, objections to the accuracy of the recording, transcript, or summary will be deemed to have been waived, and no changes will be permitted.

The College may consolidate complaints against more than one respondent, or by more than one complainant against one or more respondent(s), when the allegations arise from the same facts or circumstances or implicate a pattern, collusion, and/or other shared or similar actions.

Investigations involve the following:

• Determining the names of and contacting all involved parties and potential witnesses to parties and potential witnesses to participate in an investigation interview
• Identifying issues and developing a strategic investigation plan, including a witness list, evidence list, intended investigation timeframe, and order of interviews for the parties and witnesses
• Providing written notification of the date, time, and location of all investigation meetings, including the expected participants and purpose
• Conducting any necessary follow-up interviews with parties or witnesses
• Providing the parties and witnesses an opportunity to verify the accuracy of either a summary or transcript of the interview(s)
• Soliciting the names of suggested witnesses and questions each party wishes to have asked of another party or witness
• Writing a Draft Investigation Report that gathers, assesses, and synthesizes the evidence, accurately summarizes the investigation and party and witness interviews, and provides all Relevant Evidence
• Compiling a Directly Related Evidence File
• Providing the parties and their respective advisors an electronic or hard copy of the Draft Investigation Report as well as an opportunity to inspect and review all of the evidence obtained as part of the investigation that is directly related to the reported misconduct, including evidence upon which the college does not intent to rely in reaching a determination, for a ten (10)-business-day review and comment period so that each party may meaningfully respond to the evidence. The parties may elect to waive the full ten (10) days.
• Incorporating any new, Relevant Evidence and information obtained through the parties’ review of the Draft Investigation Report and any follow-up meetings into the Final Investigation Report
• Responding in writing (typically within the Final Investigation Report) to the relevant elements of the parties’ responses to the Draft Investigation Report
• Sharing the Final Investigation Report with the Title IX Coordinator for their review and feedback
• Providing the Title IX Coordinator with the Final Investigation Report and Directly Related Evidence File

Provided that the Formal Complaint is not resolved through Informal Resolution and the allegations are still within the scope of this Policy, once the Final Investigation Report is shared with the parties, the Title IX Coordinator will refer the matter for a hearing.

The hearing cannot be held less than ten (10) business days from the date the Final Investigation Report is transmitted to the parties and the decision-maker – unless all parties and the decision-maker agree to an expedited timeline.

The Title IX Coordinator will select an appropriate decision-maker from the Pool and provide to them a copy of the Final Investigation Report and the file of Directly Related Evidence.

The decision-maker will not have had any previous involvement with the Formal Complaint. The Title IX Coordinator may elect to have an alternate from the Pool sit in throughout the hearing process if a substitute is needed for any reason (or in the event of training a new decision-maker).

Those who have served as an investigator in the case will be a witness in the hearing and therefore may not serve as a decision-maker. Those who are serving as advisors for any party may not serve as a decision-maker in the same matter.

The Title IX Coordinator may not serve as a decision-maker in the matter but may serve an administrative facilitator of the hearing if their previous role(s) in the matter do not create a conflict of interest. Otherwise, a designee may fulfill the facilitator role. The hearing will convene at a time and venue determined by the Title IX Coordinator. 

The following provisions apply to a live hearing:

Hearing Venue Options and Recordings. The live hearing may occur in person or via video technology. The decision-maker and parties must be able to simultaneously see and hear a party or witness while that person is speaking. Both options are considered fair and equitable. Alternative arrangements may able be made at the Title IX Coordinator’s discretion.

• Hearings will by default be held via video conference.
  • All hearings will be recorded, and the parties may request a copy of the recording from the Title IX Coordinator following the live hearing.
• No unauthorized recordings are permitted, and verification that no recordings by any parties are being made will occur at the live hearing by verbal acknowledgement of each person in attendance.

Scheduling. Hearings for alleged violations that occur near or after the end of an academic term (assuming the respondent is still subject to the Policy) and are unable to be resolved prior to the end of the term will typically be held immediately after the end of the term, including during the summer, as needed, to meet the College’s resolution timeline and ensure a prompt resolution. Employees, including parties and witnesses, who do not have 12-month contracts are still expected to participate in Formal Resolution Processes that occur during months between contracts.

Hearing Participants. Persons who may be present for a hearing include:

•  Decision-maker(s)
  • Hearing Facilitator
  • Investigator(s)
  • Parties and their Advisors
  • Anyone providing authorized accommodations (e.g., language assistance)
  • Title IX Coordinator (if not the Hearing Facilitator)
  • Anyone who may be “shadowing” for training purposes
  • Anyone else deemed necessary by the decision-maker
  • Witnesses are present only during their portion of their testimony

Advisors. The parties may have the assistance of an advisor of their choice at the hearing or can make a request that the Title IX Coordinator appoint an advisor for them. Appointed advisors are attorneys for the advisee. If a party wishes to have an attorney as their advisor they must locate and pay for that attorney themselves.

• During the pre-hearing meeting and live hearing, parties may only be accompanied by their advisor. No other persons (e.g., additional support persons, advisors, friends, family) may accompany, attend, or listen in on the hearing unless explicitly authorized by the Title IX Coordinator, with each party being provided the same opportunity.
  • During the hearing, all questions that a party wishes to ask must be posed by the advisor, not the parties.
• If the party does not have an advisor, the Title IX Coordinator will provide the party with an advisor solely for the purpose of advisor-conducted questioning.

Impact Statements. Each party may submit an impact and/or mitigation statement to the Title IX Coordinator that the decision-maker will review during any sanction determination.

• Upon receipt of an impact and/or mitigation statement, the Title IX Coordinator will review the impact/mitigation statement to determine whether any immediate needs exist.
  • The Title IX Coordinator will only provide the impact statements to the decision-maker if the decision-maker determines that the Policy has been violated. When the Title IX Coordinator shares the impact statements with the decision-maker, they will also be shared with the parties.

Disability Accommodations and Other Assistance. Parties should contact the Title IX Coordinator at least five (5) business days prior to the hearing to arrange any disability accommodations, language assistance, and/or interpretation services that may be needed at the hearing, if possible.

Conflicts of Interest or Bias. The decision-maker must not have a bias for or against complainants or respondents generally or the individual complainant or respondent involved in the Formal Complaint.

• The decision-maker must recuse themselves if such bias or conflict of interest exists.
  • If the decision-maker believes there is possible conflict of interest or bias, they will consult with the Title IX Coordinator about possible recusal or removal.
  • The parties may raise challenges that the decision-maker is biased or has a conflict of interest. The parties must raise challenges with the Title IX Coordinator within two (2) business days of the date of the hearing notice.
• The Title IX Coordinator will only remove or replace a decision-maker in situations of demonstrated bias or conflicts of interest. Perceptions of bias or conflict are not sufficient to cause removal.
• If a decision-maker recuses themselves as the result of a conflict of interest or bias, or is removed, the Title IX Coordinator will promptly appoint a new decision-maker who does not have a conflict of interest or bias and notify the parties accordingly.

Evidence Provided to Decision-maker and Parties.

• The decision-maker will be provided electronic copies of the Final Investigation Report and all relevant but not impermissible evidence, including the names of all parties, witnesses, and advisors at least ten (10 business days in advance of the hearing.
  • The parties will also be provided with electronic copies of all the materials provided to the decision-maker as part of the hearing notice, unless those materials have already been provided.¹

The Title IX Coordinator will send the parties a Notice of Hearing letter no less than ten (10) business days prior to the hearing. Once mailed, emailed, and/or received in-person, notice is presumptively delivered. The notice includes:

• A description of the alleged violation(s), a list of all policies allegedly violated, a description of the applicable hearing procedures, and a statement of the potential sanctions/responsive actions that could result.
• The time, date, and location of the hearing.
• A description of any technology that will be used to facilitate the hearing.
• Relevant information regarding hearing logistics, pre-hearing meetings, the Final Investigation Report, the parties and witnesses participating in the hearing, the identity of the decision-maker, details related to questioning, the role of advisors, impact/mitigation statements submission, and how to request disability accommodations or other assistance.

Witnesses are encouraged to participate in, and make themselves reasonably available for, the hearing. If a hearing is held in-person, they may participate via video technology that allows the decision-maker and the parties to see and hear the witness while that person is speaking. Witnesses are not permitted to be accompanied by an advisor without the Title IX Coordinator’s express permission. At the discretion of the decision-maker, a witness may participate by phone if no other reasonable alternative is available.

The decision-maker or Title IX Coordinator will notify all witnesses of their requested participation in the hearing at least three (3) business days prior to the hearing. Witnesses will be present for the hearing only during their testimony.

If a party or witness does not appear at the scheduled hearing, the hearing may be held in their absence. For compelling reasons, the decision-maker and Title IX Coordinator may reschedule the hearing.

Any witness scheduled to participate in the hearing must have been first interviewed by the investigator(s), unless:

• All parties and the decision-maker assent to the new witness’s participation in the hearing without remanding the interview back to the investigator
• The decision-maker deems the evidence presented by the new witness to be relevant and not information already established in the record, and
• The witness’s late involvement was not the result of bad faither by the witness, parties, or others.

If the above criteria are not met, but the witness’s evidence is deemed relevant and not duplicative, the decision-maker may, at their discretion, engage in any of the following actions:

• Delay the hearing
• Provide the parties with at least three (3) business days to review the relevant portions of the new witness’s statements, if such statements are submitted
• Remand the Formal Complaint back to the investigator for further investigation or verification
• Allow the parties to review and comment on the testimony of the new witness¹

If the evidence is deemed not relevant, the decision-maker may proceed with the hearing absent the new witness’s participation.

The decision-maker will offer to convene pre-hearing meeting(s) with the parties and their advisors to familiarize them with the hearing process and invite them to submit questions or topics they wish to ask or discuss at the hearing. This allows the decision-maker to consider their relevance ahead of time to avoid any improper evidentiary introduction in the hearing or to provide recommendations for more appropriate phrasing.

However, this advance review opportunity does not preclude the advisors from asking a question for the first time at the hearing or from asking for a reconsideration on the decision-maker’s pre-hearing decision based on any new information or testimony offered at the hearing. The decision-maker will consider arguments that evidence identified by the investigator(s) as directly related but not relevant may be argued to be relevant. The decision-maker will document and share their rationale for any evidence or question exclusion or inclusion, if any, at a pre-hearing meeting with each party.

The decision-maker will work with the parties to finalize a witness list for the hearing, and the decision-maker or Title IX Coordinator will notify any witnesses of the hearing’s logistics. The decision-maker, only with the agreement of all parties, may decide in advance of the hearing that certain witnesses do not need to be present if their testimony can be adequately summarized by the investigator(s) in the Final Investigation Report or during the hearing, and their presence is not essential to assess their credibility.

Pre-hearing meeting(s) will not be recorded. The pre-hearing meetings will typically be conducted as separate meetings with each party/advisor, and can be done remotely, or as a written communication exchange. The decision-maker will work with the parties to establish the format and timing of the meetings and will circulate a summary of any rulings made to ensure all parties and advisors are aware.

Evidentiary Considerations

The parties must provide all evidence to the investigator(s) prior to completion of the Final Investigation Report. Evidence offered after that time will be evaluated by the decision-maker for relevance. If deemed relevant, the parties and decision-maker must agree to admit it into the record. If the evidence is deemed not relevant, the decision-maker may proceed with the hearing absent the new evidence.

The new Relevant Evidence will be admitted to the record if:

• All parties and the decision-maker assent to the new evidence being included in the hearing without remanding the Formal Complaint back to the investigator,
• The evidence is not duplicative of evidence already in the record, and
• The new evidence was either not reasonably available prior to the conclusion of the Final Investigation Report, or the failure to provide it in a timely manner was not the result of bad faith by the parties, witnesses, or others.

If the above criteria are not met, but the evidence is deemed materially relevant and not duplicative, the decision-maker may, at their discretion, engage in any of the following actions:

• Delay the hearing
• Provide the parties with at least five (5) business days to review the Relevant Evidence
• Remand the Formal Complaint back to the investigator for further investigation or analysis
• Allow the parties time to review and comment on the new evidence

If the evidence is deemed relevant, the decision-maker may proceed with the hearing without allowing the new evidence.

Collateral Misconduct

The decision-maker has the authority to hear and make determinations on all allegations of sex-based discrimination, sexual, and gender-based misconduct, and Other Prohibited Conduct under this Policy and may also hear and make determinations on any additional alleged collateral misconduct that occurred in concert with the sex-based discrimination, sexual, and gender-based misconduct, even though those collateral allegations may not specifically fall within this Policy.

Joint Hearings

In complaints involving more than one respondent and/or involving more than one complainant accusing the same person of substantially similar conduct, the default procedure will be to hear the allegations jointly.

However, the Title IX Coordinator may permit the investigation and/or hearings pertinent to each respondent or Formal Complaint to be conducted separately if there is a compelling reason to do so. In joint hearings, separate determinations of responsibility will be made for each respondent and/or for each Formal Complaint with respect to each alleged policy violation.

Introductions and Hearing Procedures Explanation

The decision-maker will:

• Explain the hearing procedures
• Introduce the participants
• Answer any procedural questions prior to and as they arise throughout the hearing

Investigator Presentation of Final Investigation Report

The investigator(s) will present a summary of the Final Investigation Report, including a review of the facts that are contested and those that are not. The investigator may be questioned first by the decision-maker and then by the parties through their advisors. The investigator may attend the duration of the hearing or be excused after their testimony at the decision-maker’s discretion.

Testimony and Questioning

The parties and witnesses may provide relevant information in turn, beginning with the complainant’s opening statement, then the respondent’s, and then questioning in the order determined by the decision-maker. The decision-maker will facilitate questioning of the parties and witnesses first by the decision-maker and then by the parties through their advisors.

All questions are subject to the decision-maker’s relevance determination. The advisor will pose the proposed question orally, electronically, or in writing (orally is the default, but other means of submission may be permitted). The proceeding will pause to allow the decision-maker to consider the question (and state it if it has not already been stated aloud), and the decision-maker will determine whether the question will be permitted, disallowed, or rephrased. The decision-maker will explain any decision to exclude a question as not relevant, or to reframe it for relevance.

If the parties raise an issue of bias or conflict of interest of an investigator or decision-maker at the hearing, the decision-maker may elect to address those issues, consult with legal counsel, refer them to the Title IX Coordinator, and/or preserve them for appeal. If bias is not an issue at the hearing, the decision-maker should not permit irrelevant questions that probe for investigator bias.

Refusal to Submit to Questioning and Inferences

Any party or witness may choose not to offer evidence and/or answer questions at the hearing, either because they do not attend the hearing, or because they attend but refuse to participate in some or all questioning. The decision-maker can only rely on the available Relevant Evidence in making a Final Determination. The decision-maker may not draw any inference solely from a party’s or witness’s absence from the hearing or refusal to answer any or questions. Typically, after brief opening statements, the order of questioning will be questions from the decision-maker, questions from the party’s own advisor, then questions from the other’s parties’ advisor. The same order will be used for questioning of witnesses, who do not typically make opening statement. The parties then make brief closing statements, and then the hearing transitions into closed session for deliberation.

An advisor may not be called as a witness at a hearing to testify to what their advisee has told them during their role as an advisor unless the party being advised consents to that information being shared.

Hearing Recordings

The College records hearings (but not deliberations) for purposes of review in the event of an appeal. No unauthorized audio or video recording of any kind is permitted during the hearing.

The decision-maker, the parties, their advisors, appeal decision-makers, and other appeal decision-makers, and other appropriate College officials will be permitted to review the recording upon request to the Title IX Coordinator. No unauthorized disclosure, including sharing, copying, or distribution of the recording is permitted.

After closing statements from the parties, the decision-maker will deliberate in closed session to determine whether the respondent is responsible for the alleged Policy violation(s) based on the standard of evidence. Deliberations are not recorded.

When there is a Finding of responsibility on one or more of the allegations, the decision-maker may then consider the previously submitted party impact and/or mitigation statement(s) in determining appropriate sanction(s). The Title IX Coordinator will ensure that each of the parties has an opportunity to review and submitted impact and/or mitigation statement(s) once they are submitted.

The decision-maker will then prepare a written statement detailing all Findings and Final Determinations will also review any pertinent conduct history provided by the Title IX Support and Compliance Office and will determine the appropriate sanction(s). The decision-maker may consult with the Title IX Coordinator and/or Director of the Office of Community Life, if required.

The decision-maker will then prepare a written statement detailing all Findings and Final Determinations, the rationale(s) explaining the decisions(s), the evidence used in support of the determination(s), the evidence not relied upon in the determination(s), any credibility assessments, and any sanction(s) and rationales explaining the sanction(s), and will deliver the statement to the Title IX Coordinator for review.

This statement shall be submitted to the Title IX Coordinator within five (5) business days of the end of the deliberations unless the Title IX Coordinator grants an extension. 

The decision-maker or Title IX Coordinator will provide the parties with a written outcome notification of the Formal Grievance Process. The outcome notification will specify the Finding for each alleged policy violation, any sanction(s) that may result, which the College is permitted to share pursuant to federal or state law, and a detailed rationale, written by the decision-maker, supporting the Finding(s) to the extent the College is permitted to share under federal or state law.

The notification will also detail the parties’ equal rights to appeal, the grounds for appeal, the steps to request an appeal, and when the determination is considered final if no party appeals.

The decision-maker or Title IX Coordinator will provide the parties with the outcome notification simultaneously, or without significant delay between notifications. The written outcome notification may be delivered by one or more of the following methods: in person, mailed to the parties’ local or permanent address as indicated in official College records, or emailed to the parties’ College-issued or other approved email account. Email is the primary method of communication. Once mailed, emailed, and/or received in person, the outcome notification is presumptively delivered.

See Appendix B

Factors the decision-maker may consider when determining sanctions and responsive actions include, but are not limited to:

• The nature, severity of, and circumstances surrounding the violation(s)
• The respondent’s disciplinary history
• The need for sanctions/actions to bring an end to the discrimination, harassment, retaliation, and/or other prohibited conduct
• The need for sanctions/actions to prevent the future recurrence of discrimination, harassment, retaliation, and/or other prohibited conduct
• The need to remedy the effects of discrimination, harassment, retaliation, and/or other prohibited conduct on the complainant and the community
• The impact on the parties
• The respondent’s acknowledgement of responsibility or contrition
• Any other information deemed relevant by the decision-maker

The sanctions will be implemented as soon as feasible once a Determination is final, either upon the outcome of any appeal or the expiration of the window to appeal, without an appeal being requested.

The sanctions described in the procedures are not exclusive of, and may be in addition to, other actions taken, or sanctions imposed, by external authorities.

Student Sanctions

The following are the common sanctions that may be imposed upon Students singly or in combination:

• Formal Warning: a formal statement that the conduct was unacceptable and a warning that further violation of any College policy, procedure, or directive will result in more severe sanctions/responsive actions.
• Required Counseling: A mandate to meet with and engage in either College-sponsored or external counseling to better comprehend the misconduct and its effects
• Restrictions or Loss of Privileges: Denial of specified privileges for a designated period of time. Examples include, but are not limited to, guests, computer uses, housing selection, participation in athletics, leadership positions, cocurricular activities, on-campus student employment, recreational, and/or social activities, or restriction to locations or events.
• No Contact Directive: A directive to refrain from contact with a specific person(s) and/or location(s), includes direct or indirect communication; including, but not limited to, in-person or electronic communication, and/or through a third party.
• Fines: As appropriate to the violation, a fine may be imposed.
• Restitution: A required payment to the College and/or complainant for loss, damage, or injury incurred as a result of a violation.
• Probation: A written reprimand for violation of institutional policy. Probation is for a designated period of time and includes the probability of more severe disciplinary sanctions if the student is found to violate any institutional policy, procedure, or directive during the probationary period. Probation may include denial of specified privileges, exclusion from cocurricular activities, exclusion from designated areas of campus, no contact directives, and/or other measures deemed appropriate.
• Stayed Suspension: When the nature of the violation is serious enough that Suspension is warranted but there may be factors and/or conditions that support allowing the student to remain at the College. If found in violation of any Code of Conduct or other College policy during the times of stayed status, removal from the College (without refund) may result and take effect immediately without further review. The student is also subject to additional sanctions appropriate to the new violation.
• Suspension: Separation from the College, or one or more of its facilities, for a defined period of time, typically not to exceed two (2) years, after which the student is eligible for return. Eligibility may be contingent upon satisfaction of specific conditions noted at the time of suspension, on successfully applying for readmission, or upon a general condition that the student is eligible to return if the College determines it is appropriate to re-enroll/readmit the student. The student is typically required to vacate College property within 24 hours of notification of the action, though this deadline may be extended at the discretion of the College. During a college-wide suspension, the student is banned from college property, functions, events, and activities unless they receive prior written approval from an appropriate College official. This action may be enforced with a trespass action, as necessary.
• Expulsion: Permanent separation from the College. The student is banned from college property, and the student’s presence at any college-sponsored activity or event is prohibited. This action may be enforced with a trespass action, as necessary.
• Withholding Diploma: The College may withhold a student’s diploma for a specified period of time and/or deny a student participation in commencement activities as a sanction if the student is found responsible for violating policy.
• Other Actions: In addition to, or in place of, the above sanctions, the College may assign any other sanctions (e.g. educational) as deemed appropriate.

Employee Sanctions/Responsive/Corrective Actions

Responsive actions for an employee who has engaged in discrimination, harassment, retaliation, and/or other prohibited conduct may include, but is not limited to:

• Verbal or Written Warning
• Performance Improvement Plan/Management Process
• Enhanced Supervision, Observation, or Review
• Required Counseling
• Required Training or Education
• Probation
• Denial of Pay Increase/Pay Grade
• Loss of Oversight or Supervisory Responsibility
• Demotion
• Transfer
• Shift or schedule adjustments
• Reassignment
• Delay of (or referral for delay of) Tenure Track Progress
• Assignment to a New Supervisor
• Restriction of Stipends, Research, and/or Professional Development Resources
• Suspension/Administrative Leave with Pay
• Suspension/Administrative Leave without Pay
• Termination
• Other Actions: In addition to, or in place of, the above sanctions/responsive actions, the College may assign any other responsive actions as deemed appropriate

Students

Should a respondent decide not to participate in the Formal Grievance Process, the process proceeds absent their participation to a reasonable resolution. If a student respondent withdraws from the College, the Formal Grievance Process typically ends with a dismissal, as the College has lost primary disciplinary jurisdiction over the withdrawn student. However, the College may continue to Grievance Process when, at the discretion of the Title IX Coordinator, doing so may be necessary to address safety and/or remedy any ongoing effects of the alleged discrimination, harassment, retaliation, and/or other prohibited conduct.

Regardless of whether the Formal Complaint is dismissed or pursued to completion of the Formal Grievance Process, the College will continue to address and remedy any systemic issues or concerns that may have contributed to the alleged violation(s), and any ongoing effects of the alleged behavior to the complainant and the community.

When a student withdraws, or takes a leave of absence, while the process is pending, the student may not return to the College in any capacity until the Formal Complaint is resolved and any sanctions imposed are satisfied. If the student indicated they will not return, the Title IX Coordinator has discretion to dismiss the Formal Complaint and bar the student from returning. The Registrar may be notified accordingly.

If a student respondent takes a leave of absence for a specified period of time (e.g., one semester or term), the Formal Grievance Process may continue remotely. If found in violation, that student is not permitted to return to the College unless and until all sanctions, if any, have been satisfied.

Employees

Should an employee respondent decide not to participate in the Formal Grievance Process, the process proceeds absent their participation to a reasonable resolution. If an employee respondent leaves their employment with the College with unresolved allegations pending, the Formal Grievance Process typically ends with dismissal, as the College has lost primary disciplinary jurisdiction over the former employee. However, the College may continue the Formal Grievance Process when, at the discretion of the Title IX Coordinator, doing so may be necessary to address safety and/or remedy any ongoing effects of the alleged discrimination, harassment, retaliation, and/or other prohibited conduct.

Regardless of whether the Formal Complaint is dismissed or pursued to completion of the Formal Grievance Process, the College will continue to address and remedy any systemic issues or concerns that may have contributed to the alleged violation(s), and any ongoing effects of the alleged behavior to the complainant and community.

When an employee resigns and the Formal Complaint is dismissed, the employee may not return to the College in any capacity. Human Resources will be notified accordingly. A note may be placed in the employee’s file that they resigned with allegations pending and are not eligible for academic admission or rehire with the College. The records retained by the Title IX Coordinator may will reflect that status.

The Title IX Coordinator will designate an appeal decision-maker from an available pool of trained internal or external individuals to hear the appeal. No appeal decision-maker will have been previously involved in the Formal Grievance Process for the Formal Complaint.

Appeal Grounds

Appeals are limited to the following grounds:

1. A procedural irregularity affected the outcome of the matter
2. There is new evidence that was not reasonably available at the time the determination regarding responsibility was made that could affect the outcome of the matter
3. There was a conflict of interest or bias for or against complainants or respondents generally or the specific complainant or respondent by a role involved in the process (i.e., Title IX Coordinator, investigator, decision-maker) that affected the outcome of the matter

Appeal Request

Any party may submit a written appeal request to the Title IX Coordinator within three (3) business days from the date of the notice of outcome.

The appeal request will be forwarded to the appeal decision-maker for consideration to determine if the request meets the appeal grounds (a Review for Standing). This is not a review of the merits of the appeal, but solely a determination as to whether the request could reasonably be construed to meet the grounds and is timely filed.

If the appeal request does not provide information that meets the grounds in these procedures, the request will be denied by the appeal decision-maker, and the parties and their advisors will be simultaneously notified in writing of the denial and the rationale.

All other parties and their advisors, the Title IX Coordinator, and, when appropriate, the investigator(s) and/or the decision-maker will be provided a copy of the appeal request with the approved grounds and then be given three (3) business days to submit a response to the portion of the appeal that was approved and involves them. The appeal decision-maker will forward all responses, if any, to all parties for review and comment.

The non-appealing party (if any) may also choose to appeal at this time. If so, that appeal request will be reviewed by the appeal decision-maker to determine if it meets the grounds in these procedures and will either be approved or denied. If approved, it will be forwarded to the party who initially requested an appeal, the Title IX Coordinator, and the investigator(s) and/or decision-maker, as necessary, who will submit their responses, if any, within three (3) business days. Any such responses will be circulated for review and comment by all parties. If denied, the parties and their advisors will be notified in writing.

No party may submit any new appeal request after this time period. The appeal decision-maker will collect any additional information needed and all documentation regarding the approved appeal grounds, and the subsequent responses will be shared with the appeal decision-maker, who will promptly render a decision.

Appeal Determination Process

In most circumstances, appeals are confined to a review of the written documentation or record of the original determination and pertinent documentation regarding the specific appeal grounds. The appeal decision-maker will deliberate as soon as is practicable to review the merits of the appeal.

Appeal decisions are to be deferential to the original determination, making changes to the Finding/Final Determination only when there is clear error and to the sanction(s)/responsive action(s) only if there is a compelling justification to do so. All decisions apply the preponderance of the evidence standard of evidence.

An appeal is not an opportunity for the appeal decision-maker to substitute their judgment for that of the original decision-maker merely because they disagree with the Finding and/or sanction(s).

The appeal decision-maker may consult with the Title IX Coordinator and/or legal counsel on questions of procedure or rationale, for clarification, if needed. The Title IX Coordinator will maintain documentation of all such consultation.

Appeal Outcome

An appeal may either be granted or denied. Appeals that are granted should normally be remanded (or partially remanded) to the original investigator(s) and/or decision-maker will corrective instructions for reconsideration. In rare circumstances where an error cannot be cured by the original investigator(s) and/or decision-maker or the Title IX Coordinator (as in cases of bias), the appeal decision-maker may order a new investigation and/or a new hearing with new persons serving in the investigator and decision-maker roles.

A notice of appeal outcome letter will be sent to all parties simultaneously, or without significant time delay between notifications. The appeal outcome letter will specify the Finding on each appeal ground, any specific instructions for remand or reconsideration, all sanction(s) that may result which the College is permitted to share according to federal or state law, and the rationale supporting the essential Findings to the extent the College is permitted to share under federal or state law.

Written notification may be delivered by one or more of the following methods: in person, mailed to the parties’ local or permanent address as indicated in official institutional records, or emailed to the parties’ college-issued email or other approved account. One mailed, emailed, and/or received in person, the appeal outcome letter will be presumptively delivered. 

Once an appeal is decided, the outcome is final and constitutes the Final Determination; further appeals are not permitted, even if a decision or sanction is changed on remand (except in the case of a new determination). When appeals result in no change to the finding or sanction, that decision is final. When an appeal results in a new Finding or sanction, that Finding or sanction can be appealed one final time on the grounds listed above and in accordance with these procedures.

If a remand results in a new Finding or sanction that is different from the original Finding or sanction, that new Finding or sanction can be appealed, once, on any of the available appeal grounds.

Sanction Status During the Appeal

Any sanctions imposed as a result of the Final Determination are stayed (i.e., not implemented) during the appeal process, and supportive measures may be maintained or reinstated until the appeal determination is made.

If any of the sanctions are to be implemented immediately post-determination, but pre-appeal, then the emergency removal and interim suspension procedures (detailed above) for a show cause meeting on the justification for doing so must be permitted within two (2) business days of implementation.

Following the conclusion of the Formal Grievance Process, and in addition to any sanctions implemented or Informal Resolution terms, the Title IX Coordinator may implement additional long-term remedies or actions with respect to the parties and/or the College community that are intended to stop the discrimination, harassment, retaliation, and/or other prohibited conduct, remedy the effects, and prevent recurrence.

These remedies/actions may include, but are not limited:

• Referral to counseling and health services
• Referral to the Employee Assistance Program
• Course and registration adjustments, such as retroactive withdrawals
• Education to the individual and/or community
• Permanent alteration of housing assignments
• Permanent alteration of work arrangements for employees
• Provision of campus safety escorts
• Climate surveys
• Policy modification and/or training
• Provision of transportation assistance
• Implementation of long-term contact limitations between the parties
• Implementation of adjustments to academic deadlines, course schedules, etc.

At the Title IX Coordinators discretion, the parties may be provided certain long-term support or measures even if no Policy violation is found. When no Policy violation is found, the Title IX Coordinator will address any remedies the College owes the respondent to ensure no effective denial of educational access.

The College will maintain the confidentiality of any long-term remedies/actions/measures provided confidentiality does not impair the College’s ability to provide these services.

All respondents are expected to comply with the assigned sanctions, responsive actions, corrective actions, and/or Informal Resolution terms within the timeframe specified by the final decision-maker, including the appeal decision-maker, or the Informal Resolution agreement.

Failure to abide by the sanction(s)/action(s) imposed by the date specified, whether by refusal, neglect or any other reason, may result in additional sanction(s)/action(s), including suspension, expulsion and/or termination from the College.

Supervisors are expected to enforce completion of sanctions/responsive actions for their employees.

A suspension imposed for non-compliance with sanctions will only be lifted when compliance is achieved to the Title IX Coordinator’s satisfaction.

The Title IX Support and Compliance Office is responsible for maintaining records relating to all reports and complaints of sex-based discrimination, sexual harassment, sexual misconduct, and the College’s response. Files will be kept in accordance with Saint Mary’s College record retention policy for a period of at least seven (7) years from the date of the report or notice. Records may be maintained longer at the discretion of the Title IX Coordinator in cases where parties have a continuing affiliation with the College. All records pertaining to pending litigation or a request for records will be maintained in accordance with instructions from legal counsel.

The Title IX Support and Complaint Office has implemented the Record Maintenance and Access Policy to guide record management related to all reports and College responses related to reports of sex-based discrimination, sexual harassment, sexual misconduct, any situations specified in this Policy, and any and all records in accordance with state and federal laws. See Appendix E for this policy.

Saint Mary’s College is committed to providing reasonable accommodations and support to qualified students, employees, and others with disabilities to ensure equal access to the College’s resolution processes.

Anyone needing such accommodations or support should contact the Director of Student Disability Services for students, or Human Resources for employees, who will review requests and, in consultation with the person requesting the accommodation and the Title IX Coordinator, determine which accommodations are appropriate and necessary for full participation in the process.

Saint Mary’s College will address other reasonable requests for support for the parties and witnesses, including:

• Language services/interpreters
• Access and training regarding use of technology throughout a resolution process
• Other support as deemed reasonable and necessary to facilitate participation in a resolution process