Appendix A: Discrimination, Harassment, and Sexual Misconduct Grievance Procedures

NOTE: In cases involving only students or student respondents, the investigation and adjudication procedures will be those outlined in the college’s policies relating to student misconduct: https://dean.williams.edu/policies/ 

Members of the Williams College community who believe they have been subjected to discrimination, harassment, or sexual misconduct are encouraged to bring these concerns forward. Concerns may be brought directly to the Office of Institutional Diversity and Equity (to the Vice President, the Assistant Vice President/Title IX Coordinator). Reports may also be made to an appropriate deputy of the office (for students, the Dean of the College; for staff, the Director of Human Resources; for Faculty, the Dean of the Faculty) or relevant American with Disabilities Act (ADA) officer, who will then work with the Office of Institutional Diversity and Equity to resolve the concern. Campus Safety and Security, local police, and state and/or federal agencies may also be contacted, either immediately or at any point during a college investigation. Normally, college investigations and hearings can occur simultaneously with external ones.

The college’s procedures seek to ensure a prompt, fair, and impartial investigation and resolution. College officials who receive training on issues related to discrimination, harassment, and sexual misconduct, as well as on conducting a hearing process that protects the rights and safety of aggrieved parties and promotes accountability will conduct these procedures.

The standard of proof used in adjudicating of cases of alleged discrimination, harassment, and sexual misconduct will be preponderance of the evidence. 2 Possible sanctions if a student or employee of the college is found responsible for violation of the college’s Non-Discrimination, Harassment and Sexual Misconduct Policy include the full range of disciplinary sanctions available at the college, up to and including suspension from the college for one or more semesters and expulsion, in the case of a student, or dismissal in the case of a college employee.

In cases of sexual misconduct, the investigation and adjudication process is overseen by the Title IX Coordinator; in all other discrimination and harassment cases, the Assistant Vice President for  Institutional Diversity and Equity has oversight. The person alleging discrimination is here called the “complainant”; the party accused of violating college policy is called the “respondent.” Both the complainant and the respondent are encouraged to participate in the process of investigation and adjudication.

1 These procedures may also be followed in cases involving complaints of discrimination, harassment or sexual misconduct brought against college employees or students by persons who are not members of the college community, e.g. visitors to the campus or participants in college programs or activities.
2 These procedures may also be followed in cases involving complaints of discrimination, harassment or sexual misconduct brought against college employees or students by persons who are not members of the college community, e.g. visitors to the campus or participants in college programs or activities.

I. Cases involving student respondents

A staff or faculty member who experiences conduct on the part of a student that they believe violates the college’s Non-Discrimination, Harassment and Sexual Misconduct Policy should contact the Dean of the College, the Vice President for Institutional Diversity and Equity or the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator. The local police, state or federal officials may also be contacted. Normally, college investigations and hearings can occur simultaneously with external ones. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will ensure that the staff or faculty member is provided the information and support stipulated by the college’s Non-Discrimination, Harassment and Sexual Misconduct Policy.

The investigation and adjudication processes will be those outlined in the college’s policies relating to student misconduct: https://dean.williams.edu/policies/.

II. Cases involving a student complainant and a faculty or staff member
A student who experiences conduct on the part of a staff or faculty member that the student believes violates the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy is encouraged to report that conduct to the Dean of the College, the Vice President for Institutional Diversity and Equity or the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, or to Campus Safety and Security. The local police, state or federal officials may also be contacted. Normally, college investigations and hearings can occur simultaneously with external ones.

Once an incident is reported, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with relevant deputy or deputies, will determine what support and accommodations, if any, should be made immediately available to the complainant. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will inform the respondent of the allegation(s) in writing.

In some cases, a student alleging discrimination or harassment may pursue either an informal or a formal process.

A. Informal process
The informal process is an opportunity to bring resolution to a complaint through awareness, education, and/or a facilitated discussion. An informal resolution may be appropriate if the complainant, the respondent, and the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and the relevant deputy or deputies can all come to an agreement about the facts and desirable resolution to the case.

The informal process is not appropriate for most cases that involve a student and a member of the faculty or staff; for complaints of sexual misconduct apart from certain instances of discriminatory harassment; and for any complaint involving behavior that potentially endangers members of the college community and/or is potentially criminal in nature. In other cases, if both the complainant and the respondent prefer an informal process, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the relevant deputy or deputies, will decide if an informal resolution is appropriate and advisable.

During an informal process, fact-finding occurs to the extent necessary to understand the conflict and protect the interest of the parties and the college community, but no determination is made of whether college policy has been violated.

Informal resolutions may include, but are not limited to:

  • Training;
  • Changes to work or academic arrangements;
  • Housing reassignment;
  • Informal discussion with a person whose conduct, if not stopped, could rise to the level of discrimination or harassment;
  • Advisory discussion with the respondent’s supervisor or chair;
  • “No contact” directive to the parties;
  • Suspension.

Information obtained by the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the relevant deputy or deputies, during the course of the informal complaint process will be shared only to the extent necessary to understand the conflict and protect the interest of the parties and the college community.

At any point during or following the informal process, the complainant and/or the respondent may end the informal process and request a formal process. The Assistant Vice President for  Institutional Diversity and Equity/Title IX Coordinator will inform, in writing, the complainant or respondent if the other party opts out of the informal process.

B. Formal process
Before the formal investigation and adjudication begins, the Assistant Vice President for Institutional Diversity and  Equity/Title IX Coordinator, in consultation with relevant deputy or deputies, will assign the complainant and the respondent each a different trained advisor from the college staff. Advisors will explain the formal process to their assigned advisee and will also serve as a resource for any questions or concerns.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will provide to both the complainant and the respondent a written statement of their rights and responsibilities and a description of these processes, including the requirements of confidentiality and the rules forbidding retaliation.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will make available at any time before, during or after the hearing process, and whether or not the complainant participates in the investigation and adjudication, reasonable and appropriate accommodations to increase the complainant’s safety and well-being on campus. These may include no-contact orders with the respondent and/or other parties, changes of housing accommodations, and academic accommodations such as extensions, tutors, and changes of class schedule. Accommodations may also include changes of class modality (for example, switching to an independent study) if needed in order to ensure access to academic opportunity for the complainant in a class taught by a faculty member who is the respondent. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will inform the complainant in writing of the college’s obligation to provide these accommodations and resources as soon as the complaint comes forward; will work with relevant deputies to arrange any appropriate  accommodations for the respondent; and will inform the respondent in writing of the college’s readiness to provide these accommodations and resources.

1. Rights, including rights of non-participation
During all parts of the investigation and adjudication processes, both the complainant and respondent have the right to have an advisor of their choosing (either the trained college advisor or any other person, including an attorney) present with them. The advisor may speak to the complainant/respondent at any time during the process but may not speak for them to the investigator, to the relevant administrators, or to the adjudication panel.

If a student reports an incident but does not wish to participate in the investigation and adjudication process, the situation will be reviewed by a committee comprised of the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, the relevant deputy or deputies, and a third member: in cases of sexual misconduct, the Director of Sexual Assault Prevention and Response; in other discrimination or harassment cases, the Associate Dean for Institutional Diversity and Equity. That committee will determine whether there is sufficient information to proceed with an investigation and adjudication without the participation of the complainant. If the committee determines that the case should proceed without the complainant, it will make every effort to protect their confidentiality (see Section II-S: Non-Discrimination, Harassment, and Sexual Misconduct Policy, “Confidentiality”).

If it is determined that a process will go forward, the deputy relevant to the respondent will inform the respondent of the allegations in writing.

If a respondent chooses not to participate in the investigation and adjudication process, the process will proceed without their contribution to the determination of the facts of the case. The respondent should note that the appeal process based on the appearance of new information not available to the adjudication panel does not apply in cases of deliberate omission of information by the respondent, including refusal by the respondent to participate in the investigation.

2. Investigation
The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the relevant deputy or deputies, will assign a person trained in discrimination investigations to determine the facts of the case as completely as possible. This investigator will hear statements from the complainant and respondent, ask follow up questions, reach out to and collect statements from others who have evidence/information relevant to the question of violation of the college’s Non-Discrimination, Harassment and Sexual Misconduct Policy, and ask follow-up questions as needed. The complainant and respondent may each direct the investigator toward people to interview and may frame questions to be asked of others. The investigator will respect these directives unless they violate standards of good practices for such investigations or are clearly redundant or irrelevant. If the investigator decides not to pursue a question or interviewee submitted by one of the parties in the case, they will so inform that party in writing of the decision. All of those contacted by the investigator will be required to maintain the confidentiality of the investigation. The investigator will also gather any additional evidence available (for example, health care records, with permission of the person to whom they refer, or evidence of patterns of  discrimination). The investigator may consult with the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and any relevant deputies in decisions regarding the investigation process. The statements of the complainant and respondent will be recorded (audio). The investigator will produce a report of the findings, which will include a list of those interviewed and copies of any additional material referenced.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and relevant deputies will review the report and may request that additional information be gathered. They will also ensure that the report does not contain material that is inadmissible in the decision process, such as irrelevant prior sexual history.

The investigator’s report will be shared with the complainant and respondent once it is complete.3 The complainant and respondent each have 10 days following the receipt of the report to write a response to it if they wish to do so. At that time, both may request that further information be gathered. Responses will be included in the official materials sent forward to the adjudication panel. If the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator agrees that further information should be gathered, the investigator will be charged with pursuing the additional information and, if appropriate, issuing an amendment or supplement to the report. The complainant and respondent will be given an additional 10 days to respond to any such additional or supplemental report.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and each of the deputies relevant to the complainant and respondent will review the report and the responses of both parties, and determine whether the alleged behavior of the respondent is properly within the purview of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy.

If the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and the relevant deputies determine that the respondent’s alleged behavior is not within the purview of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy, they will so inform the complainant and respondent in writing and will direct the complainant to any other relevant college or legal processes that may address the behavior. The complainant may bring the investigator’s report over into other relevant college processes.

If the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and relevant deputies determine that the respondent’s alleged behavior is within the purview of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy, the case will move forward to the adjudication process, described below. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will communicate this determination, in writing, to the complainant and respondent.

3 The information shared at this point will include the alleged incident(s) being considered and a summary of interviews.

3. Adjudication Process
An adjudication panel of five trained members will make the decision about whether there has been a violation of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy. Four “yes” votes are necessary for a finding that there has been a violation. If such a violation is found to have taken place, then the same panel recommends an appropriate sanction. Sanctions are ultimately determined according to the procedures in the Staff and Faculty Handbooks as described and modified below.

For each case, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator in consultation with the relevant deputy or deputies will appoint an adjudication panel and inform the complainant and respondent in writing. The panel will consist of a member of the office of the Dean of the College plus four additional members, drawn from the Standing Grievance Panel. If the respondent is a member of the faculty, at least two persons on the adjudication panel will be faculty. If the respondent is a member of the staff, at least two persons on the adjudication panel will be staff. The complainant and respondent will have the opportunity to state whether there are those they feel should not participate in the panel due to bias or any other reason which would prevent them from making a fair assessment of the evidence. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator in consultation with the relevant deputy or deputies will make the final decision on any such requests for recusal and inform the complainant and respondent in writing. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will ensure that all members of the adjudication panel are trained.

The panel will start its deliberations by reading the investigator’s report, along with the responses to the report (if any) from the complainant and respondent. After discussion, the panel will decide whether there are additional questions that need to be asked. If so, the investigator will go back to the parties to ask those questions. The panel may ask questions of the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator or other relevant college officials.

The panel will decide whether there is a preponderance of the evidence showing a violation of the college’s Non- Discrimination, Harassment, and Sexual Misconduct Policy.

If the panel determines that there has been a violation of the college’s policy, the complainant and respondent will each be so informed in writing, and each then will have the opportunity to briefly address the committee, either in person, by media communication, or in writing, before a sanction is considered. (The two parties will do this separately – neither one in the presence of the other. It is optional rather than required to make such a statement.) This opportunity is not one in which the facts of the case are discussed or questions are asked by the committee. Rather, it is an opportunity for both parties to present directly to the panel in their own “voices” any additional information, including information about the impact of the incident in question. This opportunity is limited to 15 minutes or the written equivalent thereof. Each party’s trained college advisor will provide them with guidelines on what is and is not permitted in this part of the process.

The panel will then recommend a sanction to the relevant senior administrator (Dean of the Faculty for respondents who are members of the faculty, the Director of Human Resources for respondents who are members of the staff). The complainant and respondent will each be informed in writing of the recommended sanction. Final decisions as to sanctions are determined by the relevant procedures described in the Staff and Faculty Handbooks.

4. Appeal of the finding
Both parties have the right to appeal the finding made by the adjudication panel on whether or not there was a violation of the college’s Non-Discrimination, Harassment and Sexual Misconduct Policy. This right to appeal of the finding is limited to (a) significant procedural lapses or (b) the appearance of substantive new evidence not available at the time of the original decision. Each party has 15 days following the receipt of the written decision to indicate their intention to appeal. Requests for appeal, with reasons, should be sent in writing to the Vice President for Institutional Diversity and Equity. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will inform, in writing, the complainant or respondent if the other party chooses to appeal the finding.

If either the complainant or the respondent wishes to have other people interviewed to determine whether they have substantive new information pertinent to the case that was not available at the time of the original decision, the following process will be followed:

(1) The person wishing to appeal will write to the Vice President for Institutional Diversity and Equity describing whom they wish to have interviewed and on what topic.
(2) The Vice President or a designee will ask the person whether they do, in fact, have information on that topic.
(3) If they do, the investigator will ask them questions or request a written statement. The appeal process will be suspended until the completion of these steps.

The Vice President for Institutional Diversity and Equity will grant appeals only in cases where the procedural problems or new evidence are considered substantive enough to have had a significant effect on the outcome of the initial hearing. If the appeal is granted, its disposition is determined by the Vice President for Institutional Diversity and Equity, who may affirm the decision of the adjudication panel, return the matter to the original adjudication panel, or summon a new adjudication panel, and who may task those panels with reviewing the decision either in
whole or in part.

A decision by the Vice President for Institutional Diversity and Equity to affirm the original panel’s decision shall be final. Subject to the scope of the instructions from the Vice President for Institutional Diversity and Equity, the review by a panel after referral from the Vice President for Institutional Diversity and Equity may result in a change in the decision as to whether or not a violation of the college’s policy as regards non-discrimination, harassment, and sexual misconduct has occurred, or may result in an increase in sanction, a decrease in sanction, or no change in sanction. If the decision of the reviewing panel is to affirm the original decisions as to violation and as to sanction, that decision shall be final. If the decision of the reviewing panel is to change the original decision either as to violation or as to sanction, the reviewing panel’s decision shall be subject to appeal in accordance with the foregoing procedures. The results of any such second appeal process shall be final, not subject to further appeal.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will communicate the outcome of any appeal simultaneously and in writing to the complainant and the respondent.

5. Final determination of sanction in cases involving respondents who are members of the faculty
If the recommended sanction is termination of the respondent’s appointment for cause, the Dean of the Faculty will initiate proceedings pursuant to Section II-V: Termination of Faculty Appointment for Cause of the Faculty Handbook. If the recommended sanction is a major sanction, such as suspension from service for a stated period, the Dean of the Faculty will initiate proceedings pursuant to Section II-W: Procedures for Imposition of Sanctions on Faculty other than Dismissal, “Major Sanctions,” of the Faculty Handbook. If the recommended sanction is a minor sanction, the Dean of the Faculty will initiate proceedings in accordance with Section II-W., “Minor Sanctions,” of the Faculty Handbook. In all cases covered by this policy the sole determination to be made according to the processes described in Sections II-V: Termination of Faculty Appointment for Cause and II-W: Procedures for Imposition of Sanctions on Faculty other than Dismissal of the Faculty Handbook will be the final sanction to be imposed on the respondent. The determination by the adjudication panel that the respondent violated the college’s
Non-Discrimination, Harassment and Sexual Misconduct Policy shall be final and shall not be subject to review or reconsideration in the sanctions process.

The sanctions panel convened at this stage of the process will receive as evidence the letter of findings and recommended sanction from the adjudication panel described in sub-section II.B.3. above. The sanctions panel will also have access to the report of the investigator and to previous disciplinary records of the respondent, if any. The sanctions panel may request assistance from the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, or deputy or duties.

The faculty member does not have the right to compel the complainant to appear before the sanctions panel. The complainant’s testimony may be represented by the investigator’s report. Although the complainant cannot be compelled to appear before the sanctions panel, in all cases covered by this policy the complainant will have an equal right as the respondent to be heard by the Dean of the Faculty, any hearing committee convened pursuant to the provisions of Section II-V: Termination of Faculty Appointment for Cause or Section II-W: Procedures for Imposition of Sanctions on Faculty Other than Dismissal, and by the Board of Trustees.

Final decisions as to sanctions will be reported in writing simultaneously to the complainant and the respondent, as well as to the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and relevant deputies.

6. Final determination of sanction in cases involving respondents who are members of the staff
Final determination of sanctions involving respondents who are members of the staff will be made by the Director of Human Resources, in conjunction with the Coordinator and relevant supervisor(s) of the staff member. They may take into account previous disciplinary records of the staff member in making their decision regarding sanction. Final decisions as to sanctions will be reported in writing simultaneously to the complainant and the respondent, as well as to the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator.

Additional Matters
The complainant and respondent will each be assigned a trained college advisor to help them navigate the process. Each party can bring this advisor with them to all parts of the process, including the investigation. These trained college advisors may not be part of a hearing panel regarding the case. Both the complainant and respondent have the right to have another advisor of their choosing present with them for all parts of the process, including any meeting with campus officials, with the adjudication and/or sanctions panels, and with the investigator. However, the complainant and respondent may bring only one advisor with them—either the trained college advisor or the other advisor of their choosing—to any part of the process. Advisors may speak to the individual being advised, the complainant or respondent, at any time during the process but may not speak directly to the investigator or to the members of adjudication and/or sanctions panels.

Both parties have full access to the support services provided by the college throughout the process. For students, this includes the resources of the Health Center and Integrative Well-being Services; for faculty and staff, the Employee Assistance Program.

Retaliation of any kind against the complainant or any witness is strictly prohibited. Any retaliation will be treated as a new and additional violation of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy.

III. Cases involving faculty and/or staff members only
A staff or faculty member who experiences conduct on the part of a staff or faculty member that potentially violates the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy is encouraged to report that conduct to the Vice President for Institutional Diversity and Equity or the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator. Reports may also be made to an appropriate deputy (for staff, the Director of Human Resources; for faculty, the Dean of the Faculty). The local police, state or federal officials may also be contacted. Normally, college investigations and hearings can occur simultaneously with external ones.

Once an incident is reported, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with relevant deputy or deputies, will determine what immediate support and accommodations, if any, should be made available to the complainant. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will inform the respondent of the allegation(s) in writing. With some exceptions, a member of the college community reporting an incident of alleged discrimination may pursue either an informal or a formal process.

A. Informal process
The informal process is an opportunity to bring resolution to a complaint through awareness, education, and/or a facilitated discussion. An informal resolution may be appropriate if the complainant, the respondent, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and the relevant deputy or deputies can all come to an agreement about the facts and desirable resolution to the case.

The informal process is not appropriate for complaints of sexual misconduct, apart from certain instances of discriminatory harassment, or for any complaint involving behavior that potentially endangers members of the college community and/or is potentially criminal in nature. In other cases, if both the complainant and the respondent prefer an informal process, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the relevant deputy or deputies, will decide if an informal resolution is appropriate and advisable.

During an informal process, fact-finding occurs to the extent necessary to understand the conflict and protect the interest of the parties and the College community, but no determination is made of whether college policy has been violated.

Informal resolutions may include, but are not limited to:

  • Training;
  • Changes to work or academic arrangements;
  • Housing reassignment;
  • Informal discussion with a person whose conduct, if not stopped, could rise to the level of discrimination or harassment;
  • Advisory discussion with the respondent’s supervisor or chair;
  • “No contact” directive to the parties;
  • Suspension.

Information obtained by the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the relevant deputy or deputies, during the course of the informal complaint process will be shared only to the extent necessary to understand the conflict and protect the interest of the parties and the college community.

At any point during or following the informal process, the complainant and/or the respondent may end the informal process and request a formal process. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will inform, in writing, the complainant or respondent if the other opts out of the informal process.

B. Formal process
Before the formal investigation and adjudication begins, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the relevant deputy or deputies, will assign the complainant and the respondent each a different trained advisor from the college staff. Advisors will explain the formal process to their assigned advisee and will also serve as a resource for any questions or concerns.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will provide to both the complainant and the respondent a written statement of their rights and responsibilities, and a description of these processes, including the requirements of confidentiality and the rules forbidding retaliation.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will make available at any time, before, during or after the hearing process, and whether or not the complainant participates in the investigation and adjudication, reasonable and appropriate accommodations to increase the complainant’s safety and well-being on campus. These may include no-contact orders with the respondent and/or other parties, changes of housing if living in college housing, and changes of work duties if necessary to avoid conflict. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will work with the relevant deputy or deputies to arrange any appropriate accommodations for the respondent and will inform the respondent in writing of the College’s readiness to provide these accommodations and resources.

1. Rights, including rights of non-participation
During all parts of the investigation and adjudication processes, both the complainant and respondent have the right to have an advisor of their choosing (either the trained college advisor or any other person, including an attorney) present with them. The advisor may speak to the complainant/respondent at any time during the process but may not speak for them to the investigator, to the relevant administrators, or to an adjudication panel.

If a faculty or staff member reports an incident but does not wish to participate in the investigation and adjudication process, the situation will be reviewed by a committee comprised of the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, the relevant deputy or deputies, and the Director of Sexual Assault Prevention and Response if the case involves sexual misconduct, or the Associate Dean for Institutional Diversity and Equity in other discrimination or harassment cases. That committee will determine whether there is sufficient
information to proceed with an investigation and adjudication without the participation of the complainant. If the committee determines that the case should proceed without the complainant, it will make every effort to protect their confidentiality (see Section II-S: Non-Discrimination, Harassment, and Sexual Misconduct Policy, “Confidentiality”).

If it is determined that the process will go forward, the deputy relevant to the respondent will inform the respondent of the charges in writing.

If a respondent chooses not to participate in the investigation and adjudication process, the process will proceed without their contribution to the determination of the facts of the case. The respondent should note that the appeal process based on the appearance of new information not available to the adjudication panel does not apply in cases of deliberate omission of information by the respondent, including refusal by the respondent to participate in the investigation.

2. Investigation
The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the relevant deputy or deputies, will assign a person trained in discrimination investigations to determine the facts of the case as completely as possible. This investigator will hear statements from the complainant and respondent, ask follow up questions, reach out to and collect statements from others who have evidence/information relevant to the question of violation of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy, and ask follow-up questions as needed. The complainant and respondent may each direct the investigator toward people to interview and may frame questions to be asked of others. The investigator will respect these directives unless they violate standards of good practices for such investigations or are clearly redundant or irrelevant. If the investigator decides not to pursue a question or interviewee submitted by one of the parties in the case, they will so inform that party in writing of the decision. All of those contacted by the investigator will be required to maintain the privacy of the investigation. The investigator will also gather any additional evidence available (for example, health care records, with permission of the person to whom they refer, or evidence of patterns of discrimination). The investigator may consult with the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and the relevant deputy or deputies in decisions regarding the investigation process. The statements of the complainant and respondent will be recorded (audio). The investigator will produce for the administrators and/or the adjudication panel a report of findings, which will include a list of those interviewed and copies of any additional material referenced.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and the relevant deputy or deputies will review the report and may request that additional information be gathered. They will also ensure that the report does not contain material that is inadmissible in the decision process, such as irrelevant prior sexual history.

The investigator’s report will be shared with the complainant and respondent once it is complete.4 The complainant and respondent each have 10 days following the receipt of the report to write a response to it if they wish to do so. At that time, both may request that further information be gathered. Responses will be included in the official materials sent forward to the relevant administrators (in the event of an administrative resolution) or the adjudication panel. If the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator agrees that further
information should be gathered, the investigator will be charged with pursuing the additional information and, if appropriate, issuing an amendment or supplement to the report. The complainant and respondent will be given an additional 10 days to respond to any such additional or supplemental report.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and the deputy or deputies relevant to the complainant and respondent will review the report and the responses of both parties, and determine whether the alleged behavior of the respondent is properly within the purview of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy. If the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and the relevant deputy or deputies determine that the respondent’s alleged behavior is not within the purview of the college’s Non- Discrimination, Harassment, and Sexual Misconduct Policy, they will so inform the complainant and respondent in writing, and will direct the complainant to any other relevant college or legal processes that may address the behavior. The complainant may bring the investigator’s report over into other relevant College processes.

If the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and relevant deputy or deputies determine that the respondent’s alleged behavior is within the purview of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy, the case will move forward to the adjudication process, described below. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will communicate this determination, in writing, to the complainant and respondent.

4 The information shared at this point will include the alleged incident(s) being considered and a summary of interviews.

3. Adjudication Process
After receiving the investigator’s report, the complainant may choose to pursue an administrative resolution of the complaint or proceed straight to an adjudication panel. A complainant choosing the administrative resolution may end that process at any time and move instead to a hearing by an adjudication panel. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will inform the respondent in writing of the complainants’ decision to seek administrative resolution.

3a. Administrative Resolution
Two executive officers of the college will oversee the administrative resolution process for the complaint. Ordinarily, the two executive officers will be those to whom the complainant and respondent report (the Dean of the Faculty for faculty, and the executive officer to whom the staff member’s department reports for staff). In cases where both complainant and respondent have the same executive officer, or in cases where the complainant or respondent believe their own executive officer cannot fairly adjudicate the complaint, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, after consultation with the complainant and respondent, will determine which two executive officers of the college will oversee the administrative resolution process and inform the complainant and respondent in writing. If it is an executive officer whose behavior is at issue in the complaint, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the President of the College and after conversation with both complainant and respondent, will select two other executive officers to oversee the administrative resolution process.5

The executive officers, who will be trained by the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator or a designee, will read and consider the investigator’s report, along with any responses to that report written by the complainant and respondent. If the executive officers decide that additional questions need to be asked, the investigator will go back to the parties to ask those questions. The executive officers may also ask questions of the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator or other relevant college officials.

The executive officers will reach a finding and report it to both the complainant and the respondent. If it is the judgment of the executive officers that the respondent committed the act(s) alleged by the complainant and thereby violated the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy, they will seek a resolution of the complaint. They will also confer with the respondent’s department supervisor. The complainant’s executive officer will keep the complainant informed of any progress made in resolving the grievance, reporting to the complainant within one month of the filing of the complaint. This period may be extended beyond one month if the complainant and the complainant’s executive officer agree that an extension is needed.

The executive officers will apprise the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator of the resolution that is proposed. To be successful, the terms of the resolution proposed by the executive officers must be acceptable to both the complainant and the respondent. The executive officers will put both the finding of responsibility and the terms of the proposed resolution in writing, giving a copy to the complainant and another to the respondent. Each party will have 10 days to indicate their acceptance of the terms as constituting a satisfactory resolution of the grievance by returning a signed copy to the executive officers. Upon receipt of both signed copies, the respondent’s executive officer, as well as the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, will place them in their file of complaints of discrimination, harassment, and sexual misconduct and take such actions as are called for in the resolution.

The executive officers’ attempt at a resolution will have failed if either the complainant or the respondent chooses not to accept the terms proposed. If the complainant or the respondent does not accept the proposed resolution, either of them may, again within 10 days of receiving the proposed terms in writing, instruct the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator to convene an adjudication panel. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will inform the complainant and respondent that the complaint is proceeding to a hearing by an adjudication panel.

5 Executive officers of the college are: The President of the College, the Dean of the Faculty, the Provost, the Dean of the College, the Vice President for Campus Life, the Vice President for Finance & Administration and Treasurer, the Vice President for College Relations, the Vice President of Institutional Diversity and Equity, the Chief Investment Officer, the Chief Communications Officer, and the Assistant to the President and Secretary of the Board of Trustees.

3b. Adjudication Panel
If the complainant decides to forgo administrative resolution or if administrative resolution is not acceptable to the complainant or respondent, the decision about whether there has been a violation of the college’s Non- Discrimination, Harassment, and Sexual Misconduct Policy will be made by an adjudication panel of five trained members. Four “yes” votes are necessary for a finding that there has been a violation. If such a violation is found to have taken place, then the same panel recommends an appropriate sanction. Sanctions are ultimately determined according to the relevant procedures in the Staff and Faculty Handbooks as described and modified below.

For each case, the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the relevant deputy or deputies, will appoint an adjudication panel and inform the complainant and respondent in writing. The adjudication panel will be drawn from the Standing Grievance Panel. If one party in the complaint is a member of the faculty and the other party is a member of the staff, the adjudication panel will consist of two members of the faculty, two members of the staff, and a chair. If the complainant and respondent are both faculty, then the panel will consist of five members of the faculty, one of whom will be chair. If the complainant and respondent are both staff, then the adjudication panel will consist of five members of the staff, one of whom will be chair. The complainant and respondent will have the opportunity to state whether there are those they feel should not participate in the adjudication panel due to bias or any other reason which would prevent them from making a fair assessment of the evidence. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator, in consultation with the relevant deputy or deputies, will make final decisions on any such requests for recusal and inform the complainant and respondent in writing. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will ensure that all members of the adjudication panel are trained.

The panel will start its deliberations by reading the investigator’s report, along with the responses to the report (if any) from the complainant and respondent. After discussion, the panel will decide whether there are additional questions that need to be asked. If so, the investigator will go back to the parties to ask those questions. The adjudication panel may ask questions of the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator or other relevant College officials.

The panel will decide whether there is a preponderance of the evidence showing a violation of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy.

If the panel determines that there has been a violation of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy, the complainant and respondent will each be so informed in writing, and each then will have the opportunity to briefly address the committee, either in person, by media communication, or in writing, before the sanction is considered. (The two parties will do this separately – neither one in the presence of the other. It is optional rather than required to make such a statement.) This opportunity is not one in which the facts of the case are discussed or questions are asked by the committee. Rather, it is an opportunity for both parties to present directly to the panel in their own “voices” any additional information, including information about the impact of the incident in question. This opportunity is limited to 15 minutes or the written equivalent thereof. Each party’s trained college advisor will provide them with guidelines on what is and is not permitted in this part of the process.

The panel will then recommend a sanction to the relevant senior administrator (Dean of the Faculty for respondents who are members of the faculty, the Director of Human Resources for respondents who are members of the staff.) The complainant and respondent will each be informed in writing of the recommended sanction. Final decisions as to sanctions are determined by the procedures described in the Staff and Faculty Handbooks.

4. Appeal of the finding
Both parties have the right to appeal the finding made by the adjudication panel on whether or not there was a violation of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy. This right to appeal of the finding is limited to (a) significant procedural lapses or (b) the appearance of substantive new evidence not available at the time of the original decision. Each party has 15 days following the receipt of the written decision to indicate their intention to appeal. Requests for appeal, with reasons, should be sent in writing to the Vice President for Institutional Diversity and Equity. The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will inform, in writing, the complainant or respondent if the other party chooses to appeal the finding.

If either the complainant or the respondent wishes to have other people interviewed to determine whether they have substantive new information pertinent to the appeal that was not available at the time of the original decision, the following process will be followed:

(1) The person wishing to appeal will write to the Vice President for Institutional Diversity and Equity describing whom they wish to have interviewed and on what topic.
(2) The Vice President or a designee will ask the person whether they do, in fact, have information on that topic.
(3) If they do, the investigator will ask them questions or request a written statement. The appeal process will be suspended until the completion of these steps.

The Vice President for Institutional Diversity and Equity will grant appeals only in cases where the procedural problems or new evidence are considered substantive enough to have had a significant effect on the outcome of the initial hearing. If the appeal is granted, its disposition is determined by the Vice President for Institutional Diversity and Equity who may affirm the decision of the adjudication panel, return the case to the original adjudication panel, or summon a new adjudication panel, and who may task those panels with reviewing the decision either in whole or
in part.

A decision by the Vice President for Institutional Diversity and Equity to affirm the original panel’s decision shall be final. Subject to the scope of the instructions from the Vice President for Institutional Diversity and Equity, the review by a panel after referral from the Vice President for Institutional Diversity and Equity may result in a change in the decision as to whether or not a violation of the college’s policy as regards non-discrimination, harassment, and sexual misconduct has occurred, or may result in an increase in sanction, a decrease in sanction, or no change in
sanction. If the decision of the reviewing panel is to affirm the original decisions as to violation and as to sanction, that decision shall be final. If the decision of the reviewing panel is to change the original decision either as to violation or as to sanction, the reviewing panel’s decision shall be subject to appeal in accordance with the foregoing procedures. The results of any such second appeal process shall be final, not subject to further appeal.

The Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator will communicate the outcome of any appeal simultaneously and in writing to the complainant and the respondent.

5. Final determination of sanction in cases involving respondents who are members of the faculty
If the recommended sanction is termination of the respondent’s appointment for cause, the Dean of the Faculty will initiate proceedings pursuant to Section II-V: Termination of Faculty Appointment for Cause of the Faculty Handbook. If the recommended sanction is a major sanction, such as suspension from service for a stated period, the Dean of the Faculty will initiate proceedings pursuant to Section II-W: Procedures for Imposition of Sanctions on Faculty Other than Dismissal, “Major Sanctions,” of the Faculty Handbook. If the recommended sanction is a minor sanction, the Dean of the Faculty will initiate proceedings in accordance with Section II-W., “Minor Sanctions,” of the Faculty Handbook.

In all cases covered by this policy the sole determination to be made according to the processes described in Sections II-V: Termination of Faculty Appointment for Cause and II-W: Procedures for Imposition of Sanctions on Faculty Other than Dismissal of the Faculty Handbook will be the final sanction to be imposed on the respondent. The determination by the adjudication panel that the respondent violated the college’s Non-Discrimination, Harassment and Sexual Misconduct Policy shall be final and shall not be subject to review or reconsideration in the sanctions process.

The sanctions panel convened at this stage of the process will receive as evidence the letter of findings and recommended sanction from the adjudication panel described in sub-section III.B.3b. above. The sanctions panel will also have access to the report of the investigator and responses written by either party to that report, and to previous disciplinary records of the respondent, if any. The sanctions panel may request assistance from the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator.

The faculty member does not have the right to compel the complainant to appear before the sanctions panel. The complainant’s testimony may be represented by the investigator’s report.
Although the complainant cannot be compelled to appear before the sanctions panel, in all cases covered by this policy the complainant will have an equal right as the respondent to be heard by the Dean of the Faculty, any hearing committee convened pursuant to the provisions of Section II-V: Termination of Faculty Appointment for Cause or II-W: Procedures for Imposition of Sanctions on Faculty Other than Dismissal, and by the Board of Trustees.

Final decisions as to sanctions will be reported in writing simultaneously to the complainant and the respondent, as well as to the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator.

6. Final determination of sanction in cases involving respondents who are members of the staff
Final determination of sanctions involving respondents who are members of the staff will be made by the Director of Human Resources, in conjunction with the Assistant Vice President for Institutional Diversity and Equity/Title IX Coordinator and relevant supervisor(s) of the staff member. They may take into account previous disciplinary records of the staff member in making their decision regarding sanction. Final decisions as to sanctions will be reported in writing simultaneously to the complainant and the respondent, as well as to the Assistant Vice President
for Institutional Diversity and Equity/Title IX Coordinator.

Additional matters
The complainant and respondent will each be assigned a trained college advisor to help them navigate the process. Each party can bring this advisor with them to all parts of the process, including the investigation. These trained college advisors will not be part of a hearing panel regarding the case. Both the complainant and respondent have the right to have another advisor of their choosing present with them for all parts of the process, including any meeting with campus officials, with the adjudication and/or sanctions panels, and with the investigator. However, the complainant and respondent may bring one advisor with them—either the trained college advisor or the other advisor of their choosing—to any part of the process. Advisors may speak to the complainant/respondent at any time during the process but may not speak directly to the investigator or to the adjudication and/or sanctions panels.

Both parties have full access to the support services, including the Employee Assistance Program, provided by the college throughout the process.

Retaliation of any kind against the complainant or any witness is strictly prohibited. Any retaliation will be treated as a new and additional violation of the college’s Non-Discrimination, Harassment, and Sexual Misconduct Policy.