Resolution

Support Only | Informal Resolution | Formal Investigation

Incidents of harassment and discrimination can have a broader effect on the working environment and create a working and learning environment that is not conducive to the mission of the university. While the office strives to give complainants a choice in what actions the office takes, there may be situations where the office is legally required to take action even when a complainant does not wish to file a formal complaint. 

Support Only

In some situations, no action is required but the target of the behavior may need support. In these situations, the office will work with the complainant to connect them to resources, provide training to a unit or department, engage in educational conversations, or provide other needed support.  

Informal Resolution

Some incidents can be resolved through an informal resolution. In these cases, parties mutually agree to resolve the allegation without a formal investigation. Informal resolutions often provide a quicker and more streamlined approach to resolving a formal complaint but may not be appropriate in all situations. Informal Resolutions may take the form of mediation, facilitated dialogues, shuttle diplomacy, or restorative justice. An informal resolution is finalized when an agreement is signed by both parties. Informal resolution agreements may contain disciplinary terms, educational components, or other terms that stop harassment or discrimination, prevent its recurrence, and remedy and effects of the behavior. 

Formal Investigation

After a formal complaint is filed, many cases will move to a formal investigation. The purpose of the formal investigation is to gather facts relevant to the allegation and, based on those facts, determine whether university policy has been violated.

Reviewing the Complaint

The first step in the formal investigation process is the filing of a formal complaint. When a formal complaint is received, the office will review the complaint to determine whether the office has jurisdiction to investigate the complaint, whether the complaint might be a policy violation, whether the university has jurisdiction over the respondent, and whether the office has enough information to proceed with a formal investigation. When more information is needed, an investigator may be assigned to conduct a preliminary inquiry to gather additional information. As a result of the preliminary inquiry, the formal complaint may proceed to a full investigation, the formal complaint may be dismissed and referred to another office, or the formal complaint may be dismissed with no referral.  

Providing Notice

The next step in a formal investigation is to provide the respondent with notice of the formal complaint. This notice will contain, among other things, notice of what behavior they have been alleged to have engaged in, their right to an advisor, what policy is alleged to have been violated, and resources.  

Meeting with Individuals

Following the notice of allegations and investigation, the assigned investigator will meet with both the complainant and respondent, separately, to gather information including verbal interviews as well as any other evidence the parties may have which may include text messages, emails, or other documents. Additionally, the investigator will interview any witnesses identified by the parties who the investigator believes to have relevant information to the investigation. In general, character evidence is not considered relevant. An investigator may also identify other individuals not provided by the parties who they believe have relevant information. The investigator may conduct follow-up interviews with all individuals.  

Investigative Report

Once the investigator has gathered all information they believe to exist or all information they have access to, the investigator will put together a thorough investigative report that fairly summarizes all relevant information that was provided including summaries of interviews and other documents or evidence provided. The report will also contain a summary of the steps taken in the investigation which will include a timeline of interviews. The report will conclude with an analysis of the facts and a finding as to whether policy was violated and, if so, what sanctions should be implemented.  

Recommendations

After the conclusion of an investigation, the office may make additional recommendations to HRM or the involved unit or department regarding larger cultural concerns. The office may also make recommendations related to the aftercare of the unit or department.