Scope
The procedure is intended to clarify the investigation and enforcement
provision set out in the University's Policy on Sexual Harassment when
the alleged violator of the policy is a law student. These procedures
apply if the complainant is a student, staff member, administrative
personnel, or faculty member.
Privilege
Communications with members of the faculty and staff are not privileged.
Communications with the Law School Counselor are privileged to the extent
permitted by law.
6.10.01 Commencing a Complaint
A. A complaint that a law student has violated the University's Policy
on Sexual Harassment should be reported to the Aappropriate authority.@
For this purpose the appropriate authority is the Dean or the Dean's
designee.
B. The Dean or Dean's designee should provide a copy of the Policy
and these procedures to any student, staff member, or faculty member
who believes that he/she has experienced a violation of the Policy.
While the Dean or Dean's designee should not advise the complainant
on the validity of the complaint or act as the complainant's adviser
or counselor, the Dean or Dean's designee should render assistance
necessary to enable the complainant to proceed with either an informal
or formal complaint.
C. The Dean or Dean's designee should inform the complainant of the
following options:
1. Commencing informal investigation and negotiations to resolve
the complaint (see Provision II);
2. Filing a formal complaint with the Dean (see Provision III);
3. Making a police report, filing an action outside the University
(e.g., with the EEOC, Ohio Civil Rights Commission, Department of
Education, or court of law), or both.
D. The Dean or Dean's designee should inform the complainant that:
1. A decision to proceed informally does not preclude the filing
of a formal complaint at some later time.
2. The filing of an informal complaint is not a prerequisite to
a formal complaint.
3. Internal University actions do not extend filing deadlines (e.g.,
statutes of limitations) relating to actions outside the University.
4. The alleged harasser normally does not have to be informed of
the complainant's identity if the complainant chooses the informal
complaint process (see sections 1.5, 2.2), but the alleged harasser
must be informed of the complainant's identity if the complainant
chooses the formal complaint process (see sections 3.3, 4.3); and
5. Action by the Law School on the complaint may be necessary,
even if not requested by the complainant. Such actions normally
will not be taken without informing the complainant in advance of
such action.
D. Once the Dean or the Dean's designee has discussed with the complainant
the nature of the complaint and the options set out above, the complainant
shall elect what process to follow.
If the complainant elects to pursue an informal resolution of the
complaint, the procedures set out in Provision 6.10.02 shall be implemented.
If the complainant elects to file a formal complaint, the procedures
set out in Provision 6.10.03 shall be implemented.
If the Dean determines that, taking the facts alleged as true, those
facts reveal a substantial violation of the Policy, or a repeat violation
of the Policy such that the Dean may be obligated to report the matter
to the Bar, the Dean may proceed with an investigation over the complainant's objections.
6.10.02. Informal Resolution
A. If the complainant wishes to pursue informal resolution of the
complaint, the Dean shall appoint a member of the faculty or administration
to pursue an informal resolution (the Anegotiator@). The goal of the
informal resolution is to gather basic facts about the alleged conduct
and negotiate a mutually agreeable resolution to the complaint.
B. Upon receiving an informal complaint, the negotiator will discuss
with the complainant the behavior that prompted the complaint; the
issues involved in the complaint; the need for investigation of the
complaint; and possible resolutions of the complaint. The negotiator
should obtain the complainant's consent for informing the alleged
harasser of the complaint. The complainant should be informed that
the Law School's ability to take any action is severely limited in
situations where the alleged harasser is not apprised of the complaint
(see section 2.6).
C. The scope of the investigation should be at the negotiator's discretion.
Normally, the negotiator should meet with the complainant, the alleged
harasser, and any other witnesses the negotiator deems helpful. Normally,
the negotiator will propose a resolution of the dispute and discuss
this proposal with the parties. The investigation and negotiation
of informal complaints should normally be concluded within twenty-
one (21) calendar days after they are made. When this is not possible,
the negotiator processing the complaint should notify the parties
of the delay and the reasons for such delay.
D. Normally, within ten (10) business days of concluding the investigation
and negotiation, the negotiator will notify the Dean, the complainant,
and the alleged harasser (except in instances of where confidentiality
has been promised), in writing that the investigation has been concluded
and if a resolution has been reached. When this is not possible, the
report should be made as soon as possible thereafter.
E. Where an informal resolution is reached, it must be approved by
the Dean. If an informal resolution is not reached, or if the complainant
is not satisfied with the informal resolution, she/he again should
be advised of the option of filing a formal complaint with the Dean
and of the existence of options outside the University.
F. In the exceptional case where the alleged harasser is not notified
of the complaint, the investigator may still investigate and report
to the Dean, but may recommend only corrective action that is not
a sanction against the alleged harasser (e.g., that the complainant's
class schedule be changed).
6.10.03 Process for Filing Formal Complaints
A. Normally, the formal complaint process is initiated by the filing
of a formal written complaint by the complainant with the Dean. In
exceptional circumstances, the Dean or the Dean's designee can initiate
the formal complaint process.
B. The Dean shall appoint a faculty member or administrator to be
primarily responsible for the investigation of the complaint (the
Ainvestigator@).
C. The Dean or the investigator shall inform the alleged harasser
of the allegations and identity of the complainant at the commencement
of the process, and give her/him a copy of the policy and these procedures.
The alleged harasser should be informed that retaliation against the
complainant is unlawful and that the school will take steps to prevent
and punish any retaliation that occurs.
D. The purpose of the investigation is to determine whether reasonable
grounds exist to believe a violation(s) of the sexual harassment policy
has occurred. The investigator will interview the complainant, the
alleged harasser, and other persons with relevant information. The
alleged harasser will be afforded full opportunity to respond to the
allegations. Throughout the investigation, steps to preserve the confidentiality
of all persons involved will be taken by the investigator.
E. Matters to be investigated include:
1. Whether the specific conduct alleged constitutes sexual harassment,
including the type(s) of conduct; frequency of occurrence; date(s)
or time period over which the conduct occurred; location of alleged
occurrence(s); whether similar complaints have been made by others;
and all factual circumstances upon which the complaint is based.
2. The specific relationship of the alleged harasser to the complainant
(e.g., peer-adviser/advisee).
3. The effect of the alleged harasser's conduct on the complainant,
including any consequences that may be attributed to the conduct.
4. Whether the alleged harasser was aware of the complainant's
concern regarding the behavior.
5. Whether any prior steps were taken to resolve the complaint.
F. The possible outcomes of the investigation are:
1. A finding that a violation of the Policy occurred; or
2. A finding that no violation of the Policy occurred; or
3. A negotiated settlement of the complaint. A negotiated settlement
of the complaint may be entered at any time during this process.
A negotiated settlement must be approved by both parties and by
the Dean.
G. Investigations of formal complaints should be concluded within
thirty (30) calendar days after they are made. When it is not reasonably
possible to conclude the investigation within that amount of time,
the investigator will notify the complainant and the alleged harasser
in writing of the delay and reasons for the delay.
H. Upon conclusion of the investigation of a formal complaint, the
investigator will prepare a written report describing his/her (1)
findings of fact; (2) finding as to whether a violation of the Policy
occurred; and (3) recommendations as to appropriate sanctions (if
a violation occurred). The investigator's recommendations as to appropriate
sanctions must be approved by the Dean. The investigator will provide
a copy of this report to both the complainant and the alleged harasser.
I. The parties will then be given the option to resolve the matter
in accordance with the investigator's findings and recommendations.
The parties will also be given the option to proceed to a formal hearing.
If either party chooses to proceed to a formal hearing, that party
must so notify the Dean in writing within 10 business days of receiving
the investigator's report.
J. If either party notifies the Dean that he/she wants to proceed
to a formal hearing, the Dean will appoint a panel of 5 persons. This
panel shall be composed of three faculty members (one of whom shall
be designated as the chair) and two students. All panel members shall
have full voting rights. No person involved in the case (e.g., as
a witness, investigator, or negotiator) shall be a member of the panel.
The Dean will notify the parties in advance of who has been appointed
to the panel, and the Dean will consider any objections that the parties
may raise.
K. The panel shall conduct a hearing as promptly as circumstances
will allow. The hearing shall be informal and not adversarial in nature,
and will be more analogous to an administrative hearing than to a
judicial trial.
1. Prior to the hearing, the panel may review the files and reports
prepared by the investigator and negotiator.
2. The alleged harasser has the right to be present during the
hearing, the right to question all witnesses, and the right to be
present during the complainant's own witnesses and evidence.
3. The complainant and/or the alleged harasser may be accompanied
by an attorney at the hearing. (The attorney must not be employed
by Capital University.) The attorney may participate at the hearing,
subject to the control of the panel chair.
4. The parties will be responsible for bringing their own witnesses
and other evidence. The panel may also call witnesses, or provide
assistance to the parties in obtaining witnesses.
5. The decision of the panel shall be by majority vote and shall
be based on the policy and rules of the Law School and the evidence
of the hearing.
L. The panel shall present its views in writing to the Dean on whether
a violation of the Policy occurred. If a majority of the panel has
found that a violation occurred, then it shall also recommend appropriate
sanction[s]. The panel shall also provide the Dean with all files
and records from the investigation and hearing. The panel's decision
and recommendation are not binding on the Dean.
M. The Dean shall make the final decision on whether the alleged
harasser violated the Sexual Harassment Policy. If the Dean decides
that the alleged harasser did violate the policy, the Dean shall impose
appropriate sanctions. These sanctions may take the form of counseling,
verbal or written reprimands, notations in the student's file, notification
of the appropriate Bar or Bars, suspensions, or other action, up to
and including dismissal. The Dean's decision shall be provided to
the parties in writing.
N. Within 10 business days of receiving the Dean's final decision,
either party may request that the President of the University review
this decision for either (1) material and prejudicial departure from
established procedures; and/or (2) abuse of discretion.
6.10.04 Presence of Support Persons and Confidentiality
A. The complainant and/or alleged harasser may be accompanied at
the initial complaint and subsequently as appropriate) by a friend,
family member, attorney, or other individual whose presence is necessary
to provide support.
B. To the extent possible, the Dean, Dean's Designee, the negotiator,
the investigator and any hearing panel will treat as confidential
all information received in connection with the filing, investigation,
and resolution of complaints, except as necessary to conduct the investigation.
C. Anonymous complaints will only be permitted to trigger the informal
complaint process. See Sections 6.10.01(D), 6.10.02(B), and 6.10.03(C).
6.10.05 Records
Any person conducting an investigation, whether formal or informal,
shall maintain a record of the investigations and hearings, consent
provided, evidence gathered, and the outcome of the investigation and
hearings. Records of such investigation will not be maintained in personnel
files or student files unless part of a corrective action approved by
the Dean. Upon filing of a complaint outside the University, information
gathered in the course of the internal investigation may be disclosed
to the investigating agency.
Approved by the Law School Council April 15, 1998
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