RESOLUTION PROCESS
Formal Resolution
Filing a Complaint for Formal Resolution - In order to proceed to a Formal Resolution process, a Complaint must typically be filed by either a complainant, or the university. A Complaint has a very specific definition under this Code and differs from solely making a report to the University which has been discussed in the previous sections.
A Complaint must include:
- The complainant’s digital or physical signature (or an indication that the complainant is the person filing the Complaint), or a signature from a university official (Director of Student Conduct, Title IX Coordinator (if sexual or gender based misconduct) or designee.; and
- An allegation of misconduct as defined under this Code that, if true, may result in a sanction of suspension or expulsion. This may include the following, if known:
- Where the incident(s) occurred
- What incident(s) occurred
- When the incident(s) occurred
- Identity of respondent, if known
- A request for an alternative resolution or investigation/hearing
Complaints are drafted by a conduct authority for “signature” by the appropriate official or complainant; Reports and requests for Formal Resolution may be made via the electronic Maxient form, via email, phone call, in person or via mail.
Non-participating complainant - In the event that the individual who filed the complaint declines to participate in an Intake Interview, and if the complaint contains an allegation meeting all of the jurisdictional elements of the Student Code of Conduct, the complaint is signed or includes an electronic submission from the complainant, and requests an investigation, that will constitute a Complaint. If a complainant chooses not to participate, they will still receive updates regarding the resolution process, unless the complainant chooses in writing not to receive them.
University-initiated complaint - The University will have the discretion to sign and initiate a Complaint and that will be evaluated in the context of the University’s responsibility to provide a safe and nondiscriminatory environment for its employees and students. The factors that the University may consider in this regard include the seriousness of the alleged misconduct, whether there have been other complaints or reports of misconduct by the alleged respondent, and the nature of the allegations such as use of weapons, drugs or intoxicants, serial violations or other threats to the complainant or the community.
Consolidation of cases - In the event that the allegations under this policy also involve allegations of a violation of a separate policy, the Director of Student Conduct and Title IX Coordinator will have discretion to consolidate those other allegations within one investigation or hearing.
Alternative Resolution of a Formal Complaint - The University may offer to the parties the option of alternative resolution at any time. Either party may also request, in writing, to proceed with an alternative resolution. Participation in the alternative resolution process is voluntary for both complainant and respondent. Both parties and the University must agree to the use of alternative resolution to resolve the complaint.
If an alternative resolution option is preferred, the Title IX coordinator will assess whether the complaint is suitable for alternative resolution and will then take steps to determine if the other party is also willing to engage in alternative resolution. Both parties must agree, in writing, to an alternative resolution.
The University may determine that alternative resolution is not appropriate, for example, where other formal action may be reasonably necessary to prevent continuing or future misconduct, where there is a threat to the safety of the complainant or campus community, or where multiple reports have occurred against the same respondent.
When either party requests an alternative resolution, the Title IX Coordinator will provide the complainant and respondent written notice that includes:
- The specific allegation and the specific conduct that is alleged to have occurred;
- The requirements of the alternative resolution process including the circumstances under which it precludes the parties from resuming a complaint arising from the same allegations;
- The right of either party to end the alternative resolution process at any time and instead choose to pursue a formal investigation process;
- Any consequences resulting from participating in the alternative resolution process, including the records that will be maintained or could be shared;
A statement indicating that the decision to accept a complaint does not presume that the conduct at issue has occurred, nor presumed not responsible, unless and until, at the conclusion of the formal investigation and adjudication processes, there is a determination of responsibility;
- An explanation that each party may be accompanied by an advisor and a support person of their choice;
- The date and time of the initial meeting with the Title IX Coordinator or process facilitator, with a minimum of two (2) days notice;
- Information regarding supportive measures, which are available equally to the respondent and to the complainant.
If either party does not voluntarily agree in writing to pursue an alternative resolution, or if the complainant, respondent, or University, at any time, determines that alternative resolution is no longer appropriate, the University will promptly inform the complainant and respondent in writing that the complaint will proceed through the investigation and hearing process.
Once the final terms of an alternative resolution have been agreed upon by both parties, in writing, the matter will be considered closed, and no further action will be taken. Voluntary agreements under the alternative resolution process are not subject to appeal.
The alternative resolution process is generally expected to be completed within thirty (30) business days and may be extended for good cause. Both parties will be notified, in writing, of any extension and the reason for the extension.
Records of any alternative resolution will be maintained and may be shared with other offices as appropriate.
Investigation/Hearing for a Formal Complaint - When a Complaint is filed and an alternative resolution is either not appropriate or not agreed to by both parties, the parties will receive a notification describing the alleged violation(s) and the time and place for the informational meeting.
At the informational meeting, the respondent will be provided with information regarding what process will be followed which depends on the nature of the reported misconduct.
Notice of Complaint and Investigation - Within a reasonable period of time from the filing of a Complaint and prior to the start of an investigation, the respondent and complainant will be provided, in writing, with a Notice of Investigation. Such notice will include:
- The Complaint containing the specific allegation and the specific conduct that is alleged to have occurred; the identities of the complainant and respondent; and the date and location (if known) of the conduct that is alleged to have occurred;
- The procedures that will be followed, including an explanation that each party will have the right to review relevant evidence prior to the completion of the investigation;
- An explanation that each party may be accompanied by a support person of their choice;
- The date and time of the initial interview with the conduct authority;
- Information regarding amnesty granted during this process;
- Information regarding supportive measures.
The decision to accept a Complaint does not presume that the conduct at issue has occurred, and the respondent is presumed not responsible, unless and until, at the conclusion of the process below, there is a determination of responsibility.
Should additional allegations be brought forward, a revised notice of investigation will be provided to both parties, in writing.
Initial Review Meeting - At the start of the investigation and hearing process, an initial review meeting will be scheduled. This meeting is designed to prepare the student to review the Complaint, review the next steps, review options, and to answer questions about the process.
The initial review meeting is the first step in the conduct review process and serves to provide the respondent with the opportunity to discuss the allegations that led to the referral as well as a range of potential sanctions for the violation in question should the charges be substantiated.
Responsibilities of Respondents, Complainants, and Witnesses - All participants in the conduct review process have the following responsibilities:
- To be honest and forthright in all information they provide during the conduct review process. Presenting false and misleading information during this process may be considered a separate Code violation.
- To attend all required meetings, conferences, or hearings, as scheduled, unless alternate arrangements are made in advance.
- To refrain from disruption of the conduct review process. Disruption of this process may be considered a separate Code violation.
- Complainants and respondents have the responsibility during the investigation process to provide information that they believe may be relevant, as well as to provide names of witnesses that they believe may have relevant information.
Relevancy of Evidence: Information submitted as evidence will be determined to be relevant or irrelevant, meaning whether it tends to make a material fact more or less probable than it would be without the evidence. Relevancy recommendations will be made initially by the investigator in the investigation report, and ultimately determined by the hearing authorities.
Relevant information can include direct observations by witnesses or those who someone spoke with immediately after an incident, video, text, or photographs, emails, business or medical records, social media posts, journals, phone or security records, etc. Typically, information that is submitted simply to demonstrate a party’s character or truthfulness in general will not be considered relevant.
Support Person - Being involved in a student conduct process can be stressful, and many students find it helpful to have the support of someone they trust during the process. Students are allowed to bring a support person of their own choosing to any meeting or interview to provide support. A support person is someone who can provide emotional support and guidance to a student during the conduct review process. If needed, the Office of Student Affairs can assist students in identifying an appropriate support person from the University community.
The support person may attend any meetings and the hearing with the student, and may assist the student in considering questions, understanding expectations and the process. However, the support person may not actively participate in or interfere with the proceedings. If there is a conflict of interest related to the support person, the Office of Student Affairs reserves the right to disqualify that support person. The student would then be required to obtain a new support person. When possible, the conduct authority will make reasonable adjustments in order to accommodate a support person’s schedule. However, the University is not obligated to reschedule meetings and/or hearings to accommodate the support person. A student may select a new support person in the event of a scheduling conflict.
Conflict of Interest or Bias - If an investigation is initiated, the University will appoint a trained investigator and hearing officer. The investigator and hearing officer may be an employee or third-party hired by Willamette University.
Any investigator(s) chosen to conduct an investigation must be impartial and free from any conflict of interest.
After a Notice of Investigation is issued to the complainant and respondent, each party may object to the designated investigator on the grounds of a demonstrated bias or actual conflict of interest. Both parties will have two (2) business days from the date of the Notice of Investigation to object to the selection of the investigator on those grounds. Objections should be made, in writing, to the Title IX Coordinator. If the objection is substantiated as to either the investigator or a specific hearing officer, that individual will be replaced.
A conflict of interest may include, for example, situations where an assigned official is a party’s family member, close friend, current or former faculty member, advisor or has other similar relationships with a party. The fact that an individual is the same or different gender, race, etc. of a party or individual involved in the process, or regarding someone’s professional experience (e.g. former prosecutor or defense attorney) is not considered a conflict or bias and requests for changes in staffing on these bases will not be considered.
Investigation Interviews - Where this process is followed, the University strives to complete the interview and investigation process within forty (40) business days, which may be extended for good cause by the Director of Student Conduct or Title IX Coordinator. Both parties will be notified, in writing, of any extension granted, the reason for the extension and the new anticipated date of conclusion of the investigation.
The investigator(s) will interview all parties and relevant witnesses and gather relevant evidence provided by the parties and any identified witnesses. Interviews may be conducted in person, or via video conference. The investigator(s) will prepare a neutral summary of each interview. Each party will be provided with an opportunity to offer relevant witnesses and evidence. Information or evidence that is not provided to the investigator will not generally be allowed during the hearing, unless it can be clearly demonstrated that such information was not reasonably known to or available to the parties at the time of the investigation.
Site Visit(s): The Investigator(s) may visit relevant sites or locations and record observations through written, photographic, or other means.
Expert Consultation(s): The Investigator(s) may consult medical, forensic, technological or other experts when expertise on a topic is needed in order to achieve a fuller understanding of the issues under Investigation.
Coordination with Law Enforcement: The Investigator will contact any law enforcement agency that is conducting its own investigation to inform that agency that a University Investigation is also in progress; to ascertain the status of the criminal investigation; or to determine the extent to which any evidence collected by law enforcement may be available to the University in its investigation.
Evidence Review and Investigation Report
At the conclusion of all interviews and fact gathering, and when the evidence has been gathered, the investigator will provide each party the opportunity to review all of the evidence gathered that is relevant to the allegation(s). This will include evidence both supporting or not supporting the allegations at issue.
Given the sensitive nature of the information provided, the information will be provided in a secure manner. Neither the complainant nor the respondent (nor their support person) may copy, remove, photograph, print, image, videotape, record, or in any manner otherwise duplicate or remove the information provided. Any student or employee who fails to abide by this requirement may be subject to discipline. Any support person who fails to abide by this may be subject to discipline and/or may be excluded from further participation in the process.
Response to Evidence: Each party will have five (5) days in which to respond to the evidence, in writing, and submit it to the investigator/conduct authority. The investigator will incorporate any relevant response provided by the parties into the Final Investigation Report.
Along with their response to the evidence, each party may also submit a written request for additional investigation, such as a request for a follow-up interview(s) with existing witnesses to clarify or provide additional information, including offering questions to the investigator to pose to witnesses or to the other party. This response may include written questions that a party would like the investigator to ask of any party or witness. The investigator will have the discretion to determine which questions are relevant and whether to pose them and may choose to explain to the party who proposed the questions any decision to exclude a question as not relevant. Any questions submitted by parties will still be included in the record available to the appeals officer as appropriate.
This is the final opportunity for parties to offer new evidence.
Upon receipt of each party’s response to the evidence reviewed, the investigator will determine if any additional investigation is needed. The investigator will consider the responses provided, may pose questions to parties or witnesses as appropriate, and may interview new relevant witnesses, or accept new, relevant, evidence.
If new relevant evidence is provided by either party, or gathered by the investigator, the newly gathered evidence (including answers to clarifying questions) will be made available for review by each party. Each party will have additional time as determined by the investigator in which to respond to the new evidence. Each may provide a response in writing to the investigator, and the investigator will incorporate any written response provided by the parties into the Final Investigation Report.
New Evidence at Hearing: Any evidence to be considered by the Hearing Authority must be provided to the Investigator. Information that was not provided to the Investigator will not be allowed during the hearing itself, unless it can be clearly demonstrated that such information was not reasonably known to, or available to, the parties at the time of the investigation. Should new evidence be presented at the hearing, the Hearing Authority will have the authority to delay the hearing and send the matter back for further, limited investigation.
Final Investigation Report - The investigator will prepare a written report of all of the relevant evidence gathered and all investigative steps taken to date. The investigator will not make any determinations of policy violations. The investigator may suggest preliminary factual findings based on relevant evidence and credibility assessments. The investigator will attach to the Final Investigation Report any responses received in writing from the parties and will include as an attachment all relevant evidence gathered during the investigation, as well as all interview transcripts and interview summaries.
Conclusion of Investigation, Threshold Review of Report
Prior to issuing the Final Investigative Report to the Parties, the Director of Student Conduct or Title IX Coordinator, in consultation with the Investigator, will review the draft Final Investigation Summary and make a threshold determination either to dismiss the Complaint or certain allegations within the Complaint, or to proceed to a Hearing.
Dismissal is appropriate only when required (as described in the Dismissal Section below). A dismissal decision under this provision may not be based solely on an assessment of the credibility of a party or witness and may be appealed within five (5) business days, using one of the permissible grounds for appeal.
The Hearing phase of the process begins when the Director of Student Conduct or Title IX Coordinator or designee sends the Notice of Hearing and concludes when the Hearing Authority issues a written Final Determination. Specific deadlines and dates calculated according to these procedures will be outlined in communications from the University.
Post-Investigation Resolution Options
Shortly after receiving the Final Investigation Report, the Parties will receive a Notice of Resolution Options from the Director of Student Conduct or their designee. The parties will then again be offered the opportunity to consider an Alternative Resolution prior to proceeding to a Hearing.
Alternative Resolution: Within five (5) business days of the Notice of Resolution Options, the parties may choose to not proceed to a Hearing, and instead proceed with an Alternative Resolution, as described above. Both parties must voluntarily agree in writing to the Alternative Resolution, and if so, the complaint will be resolved by the Alternative Resolution agreement. At this stage, an Alternative Resolution may involve, among other options, an acceptance of responsibility or violation agreement by the respondent as described in the Alternative Resolution section.
If both parties do not agree to Alternative Resolution, the complaint will proceed to a Hearing.
Hearing Process - The purpose of a hearing is to provide an equitable forum for the review of the available information regarding an alleged incident of misconduct. The preponderance of the evidence standard is used in determining responsibility, and the respondent is presumed not responsible unless responsibility is established by a conscientious and rational judgment on the whole record indicating it is more likely than not the alleged misconduct occurred.
Each party will be provided with a Notice of Hearing, which will include information regarding the date of the hearing, the names of the assigned Hearing Authorities, and any deadlines for submission of evidence, names of witnesses, or questions to be reviewed by the Hearing Authorities. The hearing will be scheduled no less than ten (10) business days from the date of the Notice of Hearing.
Hearings will be scheduled as far in advance as possible. The Hearing facilitator will provide three possible hearing dates to the Parties and their Advisors; one of those dates must be chosen. Exceptions may be granted for good cause. The Hearing facilitator will consult the students’ academic schedules prior to scheduling any conferences or hearings. If there is a legitimate need to reschedule a hearing or conference, the student must contact the Hearing facilitator as soon as possible before the scheduled date to request rescheduling. Any unexcused failure to attend a hearing or conference will result in the hearing being held in the student’s absence.
Hearing Authority – The hearing authority is responsible for processing cases involving alleged misconduct as described in this Code.
- Hearing Officer – Appropriate staff members from the University community or agency contracted by the University who are responsible for hearing matters involving alleged violations of this Code and serve to advise both the complainant and the respondent regarding procedures related to this Code. They have the authority to hold pre-hearing conferences, to serve as a hearing officer in an administrative hearing and to serve as a hearing officer on a panel hearing. They have the authority to recommend a full range of sanctions under this Code, up to and including disciplinary suspension and disciplinary expulsion.
All hearings are closed to the public with the exception of support persons for the complainant and respondent, and witnesses for the limited time that they are requested to appear.
Pre-Hearing Meeting: Each party has the opportunity to schedule a pre-hearing meeting with the Hearing Facilitator and Hearing Authority. During this meeting, the parties will learn more about the logistics of the hearing and can share the names of any witnesses who they want to be invited to attend the hearing. In addition, the parties can provide a list of written questions they would like for the Hearing Authority to pose to the other party and any witnesses during the hearing.
This meeting is also an opportunity to ask questions about the Hearing and discuss any issues that need to be resolved prior to the Hearing. The Hearing facilitator will also provide the parties with the Rules of Decorum for the Hearing.
Hearing Structure: Hearings may be conducted in person or via videoconferencing. If by videoconference, prior to the hearing, the Hearing facilitator will have received instruction regarding the operation of any audio-visual equipment for the hearing. The Hearing facilitator will also provide the participants instructions on how to participate in the videoconference hearing. No complainant or respondent will be compelled to participate in the hearing. However, the Director of Student Conduct or designee may choose to continue with the hearing in the absence of the complainant, respondent or any witness.
The general structure of the Hearing will be as follows:
- Outline of the process, agenda and any expectations for behavior during the hearing;
- Review of the allegations and any supplemental information;
- The Hearing Authority will ask questions of each party, in an order determined by the Hearing Authority;
- The Hearing Authority will provide an opportunity for each party to submit written follow up questions for consideration. The Hearing Authority may then pose any of the party’s questions that are relevant and appropriate.
- The Hearing Authority will ask questions of any relevant witnesses in an order determined by the Hearing Authority; After each witness, the Hearing Authority will provide an opportunity for each party to submit written follow up questions for consideration. The Hearing Authority may then pose any of the party’s questions that are relevant and appropriate.
- The Hearing Authority may ask relevant follow-up questions of either party, or any witnesses based on information presented at the hearing;
- The Hearing Authority will make any closing remarks and end the Hearing;
- The Hearing Officer or Panel will render a written Final Determination within ten (10) business days of the Hearing.
- The Hearing Officer or Panel may delay making a decision on responsibility or a sanction if more follow up is needed based on information provided during the hearing.
Final Determination - Following the hearing, the Hearing Authority will then prepare a Final Determination. To the extent credibility determination needs to be made, it will not be based on a person’s status as complainant, respondent, or witness. If a party chooses not to participate, the Hearing Authority will not make a negative inference based solely on the decision not to participate. However, a decision to selectively participate may affect the weight and credibility of the information provided by the party.
The Hearing Authority's Final Determination will include:
- The allegations;
- Description of procedural steps;
- Findings of fact;
- Conclusion of application of facts to the Code; and
- Rationale for the determination.
The Hearing Authority’s Final Determination will also be provided to the Title IX Coordinator. If there is no finding of responsibility, the Hearing facilitator will communicate the findings, along with a copy of the Final Determination, to the parties, together with procedures for appeal.
If there is a finding of responsibility, the Hearing facilitator will contact the appropriate sanctioning officer who will determine the sanction and notify the Hearing facilitator of the sanctioning determination. The Hearing facilitator will then provide each party with the Final Determination, including the determination of the appropriate sanction, will inform the complainant of any appropriate remedies, and will inform both parties of the procedure for appeals.
Dismissal
The University also has the discretion to dismiss a complaint in certain circumstances such as:
- If prior to the commencement of a hearing, it is determined that the conduct at issue does not meet the definitional or jurisdictional requirements of the Code.
- If during an investigation or prior to the commencement of a hearing:
- complainant notifies the Director of Student Conduct in writing that the complainant would like to withdraw the complaint or any allegations within the Complaint;
- the respondent is no longer enrolled or employed at the University; or
- circumstances prevent the University from gathering evidence sufficient to reach a determination.
In a case where the conduct charges are dismissed, if the alleged conduct would, if true, support a finding that another University policy or code has been violated, the University may, in its sole authority, transfer the case for further handling under the appropriate policy or code. The University may use evidence already gathered during this process for the further handling of the complaint.
Upon dismissal, both parties will be notified in writing of the decision and the rationale for the decision. The decision to dismiss is subject to appeal. Both parties will be notified in writing of any determination made following the appeal.
Reporting and responding parties do not have the right to confront the other party at any time during the hearing.
For cases involving allegations of Title IX sexual or gender-based misconduct, please see the Title IX policy for procedures and reporting and responding student rights applicable to such cases.
For information regarding sanctions, see section VI. of this Code.
For information regarding appeals, see section VII. of this Code.