Formal Resolution Procedures for SGBH Prohibited Offenses  

Formal Resolution Procedures for SGBH Prohibited Offenses for Student and Employee Respondents  

These Procedures apply to all campuses in the US and Canada.

These Procedures outline the steps in the investigation of cases involving allegations of SGBH Prohibited Offenses through a Formal Resolution Procedure where students or employees are Respondents under Northeastern University’s Policy on Sexual and Gender-Based Harassment and Title IX (the “Policy”).  Capitalized terms used and not otherwise defined in these Procedures are defined in the Policy. The Policy and these Procedures may address aspects of the same topic, with the Policy stating the university’s general policy and the Procedures providing more specific information concerning university processes. These Procedures must therefore be read in conjunction with the Policy. 

At all times, the university reserves the right to determine which policies and procedures apply and which actions may be taken. Except as otherwise noted, proceedings under these Procedures do not preclude separate and additional proceedings under one or more other university policies or procedures. 

1. As soon as is practicable after receiving a report of conduct that may constitute a Prohibited Offense, an Investigator from the OUEC will contact the Complainant identified in the report to schedule an initial meeting to refer them to the Policy and review rights and support options, including: 

  • options for filing a Formal Complaint;  
  • the steps involved in both the Informal and Formal Resolution Procedures under the Policy; 
  • confidentiality of university resolution procedures; 
  • referrals to law enforcement, counseling, medical, academic, or other resources, as appropriate; and 
  • supportive, remedial and protective measures that can be provided during the pendency of a resolution procedure, as appropriate. 

If the Complainant agrees to disclose information regarding the allegation, including the identity of the Respondent, the date, location, if known, and the general nature of the alleged violation of Policy and agrees to file a Formal Complaint, the Complainant will complete and sign their Rights Form.  

When made aware of a complaint of Sexual or Gender-Based Harassment, the Title IX Coordinator will, in collaboration with appropriate university departments, assess the safety and well-being of the parties involved, as well as potential threats to the university community, and will determine the need for any immediate action or interim measures.  

2. The Title IX Coordinator or designee will determine whether a Formal Complaint states a potential violation of the Policy.  

  • If the Title IX Coordinator determines that the Complainant’s allegations, if true, do not constitute a potential violation of the Policy, or that OUEC has no jurisdiction in the matter, OUEC staff will provide appropriate referrals to both on and off-campus resources. If new information is subsequently provided to OUEC, OUEC may reevaluate whether the allegations constitute a potential violation of the Policy and/or whether OUEC has jurisdiction to investigate.  
  • If the Title IX Coordinator determines that the Complainant’s allegations, if true, constitute a potential violation of the Policy, the Title IX Coordinator will initiate an investigation into the allegations and assign an Investigator.  

3. We Care Case Managers will be assigned to students who are Complainants or Respondents. Case Managers will serve as the students’ main point of contact to provide interim measures and resources.  

4. Notice of Allegations: Upon initiation of the investigation, the Investigator will notify the Complainant and the Respondent of the investigation in writing via their university email account.  

The notice will: 

  • provide a summary of the alleged Prohibited Offense including the identity of the Complainant, the date, time and location, if known; 
  • identify potential Policy violation(s) and the link to the Policy; 
  • explain the prohibition against Retaliation;  
  • explain that the parties are entitled to equal opportunity to access the relevant and not otherwise impermissible evidence or an accurate description of this evidence. 
  • provide an explanation of the investigation process as described herein;  
  • provide a statement informing the parties that the Policy prohibits knowingly making false statements, including knowingly submitting false information during the Resolution Process; 
  • detail how a party may request disability accommodations during the Resolution Process; 
  • include a statement that the Respondent is presumed not responsible for the alleged conduct and that a determination regarding responsibility is made at the conclusion of the Formal Resolution process; and 
  • Offer available support resources.  

5. During the Investigation, the parties will have an equal opportunity to be heard. The Investigator will request to meet separately with the Complainant and the Respondent for an interview. Either party may choose to participate or decline to participate in the investigation.  

The Investigator may continue to investigate the alleged Sexual or Gender-Based Harassment and produce an Investigative Report based on the available information. Both the Complainant and the Respondent will be asked to provide relevant documentary evidence, including electronic or other records of communications between the parties or witnesses (e.g., photographs, text messages, emails, phone records, messages through social media sites, receipts, etc.) and the names of all relevant witnesses with information about the alleged Sexual or Gender-Based Harassment. Witnesses cannot participate solely to speak about an individual’s character.  

Medical and counseling records are privileged records that Parties are not required to disclose in an investigation under the Policy. However, if a Party believes these records may contain relevant and material information, a Party may voluntarily choose to share such records with the Investigator only after waiving the privilege in writing. Any records provided by a Party become part of the investigative record and are available for review by the other Party. 

Parties involved in the investigation may, under limited and extenuating circumstances, request to submit a written statement instead of participating in an interview with the investigator(s). The Title IX Coordinator will determine whether to include in the Investigative Report information provided in a written statement, taking into consideration the relevance of the information and the rights of the Complainant and Respondent to have equal opportunity to present information and witnesses.  

The investigation may also include the review of any documentation, reports, video or other items the investigator deems relevant to the allegation.  

    6. The Investigator, in consultation with the Title IX Coordinator, has the discretion to determine the relevance of any witness or evidence and may exclude irrelevant, immaterial or unduly prejudicial information in preparing the Investigative Report.  

    The following types of evidence, and questions seeking that evidence, are impermissible regardless of whether they are relevant:  

    • Evidence that is protected under a privilege recognized by Federal or State law or evidence provided to a confidential employee, unless the person to whom the privilege or confidentiality is owed has voluntarily waived the privilege or confidentiality;  
    • A party’s or witness’s records that are made or maintained by a physician, psychologist, or other recognized professional or paraprofessional in connection with the provision of treatment to the party or witness, unless the university obtains that party’s or witness’s voluntary, written consent for use in its resolution procedures; and,  
    • Evidence that relates to the complainant’s sexual interests or prior sexual conduct, unless evidence about the complainant’s prior sexual conduct is offered to prove that someone other than the respondent committed the alleged conduct or is evidence about specific incidents of the complainant’s prior sexual conduct with the respondent that is offered to prove consent to the alleged sex-based harassment. The fact of prior consensual sexual conduct between the Complainant and Respondent does not by itself demonstrate or imply the complainant’s consent to the alleged sex-based harassment or preclude determination that sex-based harassment occurred. 

    7. The Investigator will provide each interviewed party a written Interview Summary for review via their university email account. The interviewed party will review the Interview Summary and, within two (2) business days of receipt, will confirm the summary’s accuracy or provide a written response. Failure to respond within two (2) business days will be considered confirmation of the accuracy of the Interview Summary. The Investigator will review any written response by an interviewed party and will incorporate information into the Investigative Report deemed relevant in the discretion of the Investigator.  

    8. At the conclusion of the investigative process, the Investigator will share a draft summary of the facts gathered during the investigation with the Complainant and Respondent for their review and response. The identities of individuals named in the report may be redacted as deemed necessary in the sole discretion of the investigator.  

    The parties may submit a written response to the investigator(s) within three (3) business days to:  

    • clarify information 
    • provide an additional explanation;  
    • submit additional questions for the Investigator to ask of other parties or witnesses; and/or 
    • identify any other relevant information for the investigator to consider. 

    9. If a written response includes new and relevant information, the Investigator will revise the draft summary of facts accordingly and provide the Complainant and Respondent with opportunities to respond to the new information. Thereafter, the Investigator will determine if additional investigation is required. Any further investigation will follow the steps above. If no further investigation is needed, the Investigator will finalize the Investigative Report.  

    10. The Investigator will submit the Investigative Report to the Title IX Coordinator for review. The Title IX Coordinator will review the Investigative Report to assess its thoroughness, reliability and impartiality. 

    11. If the Title IX Coordinator determines that the Investigative Report contains insufficient information to constitute a potential violation of the Policy, the case will be closed and the decision will be simultaneously communicated to the Complainant and the Respondent by the Title IX Coordinator in writing. There is no appeal of this decision.  

    12. If the Title IX Coordinator determines that an Investigative Report involving a student as the Respondent contains sufficient information to constitute a potential violation of the Policy, the case will be referred by the Title IX Coordinator to the Director of OSCCR (or designee). The next step for Student Respondents is #14.  

    To protect the privacy of the parties, the Investigative Report forwarded to the Director of OSCCR and reviewed by a Decision Maker in the Administrative Hearing may have personally identifiable information replaced with their role in investigation (Complainant, Respondent, Witness 1, etc.), at the discretion of the Title IX Coordinator.  

    1. If the Title IX Coordinator determines that an Investigative Report involving an employee as the Respondent contains sufficient information to constitute a potential violation of the Policy, the Title IX Coordinator will review the report and render a decision, utilizing the information articulated in the Investigative Report to determine whether a preponderance of the evidence establishes that a Policy violation occurred.  

    Thereafter, the Title IX Coordinator or designee will inform the Complainant and Respondent of the findings of fact of any Policy violation. As appropriate, a copy of the Notice will also be forwarded to the administrative official immediately responsible for supervision of the Respondent and the appropriate Vice President, Dean, or Director for the unit in which the Respondent works. OUEC may, as appropriate, provide the offices identified in Step 4 with recommended action. The next step for cases involving employee Respondents is #19.  

    14. Facts established as part of an Investigation that reveal conduct that may violate the Code of Student Conduct will be investigated by the OUEC. 

    • Rights, including the right to an Advisor throughout the process and Appeal options will apply to alleged violations of the Code of Student Conduct that stem from an investigation of a Sexual or Gender-Based Harassment.   
    • Facts established as part of an Investigation that reveal conduct that may violate other university policies, procedures or commonly accepted norms of conduct will be referred to the appropriate office for review.  

    15. The Director of OSCCR will send a pre-hearing meeting notice to the university email account of the Complainant and the Respondent when they are Northeastern students.  

    The pre-hearing meeting is between the party, their advisor and an OSCCR Hearing Administrator to:  

    • Review the Investigative Report that forms the basis of the complaint;  
    • Explain the charges of the Policy violation filed against the Respondent (from this point on in the process, the Respondent will be referred to as the Charged Student);  
    • Explain the process for resolving the case;  
    • Explain that the Director of OSCCR will appoint a Decision Maker for an Administrative Hearing; and  
    • Review the process how to challenge participation by the Decision Maker for perceived bias or conflict of interest.  

    16. The Complainant and the Charged Student will each have the option to present a written or oral statement to the Decision Maker at the Administrative Hearing.  

    Such statements or the decision to give an oral statement should be provided to the Director of OSCCR at least five (5) business days prior to the Hearing. However, the Hearing is not a forum for the parties to present new facts, information or witnesses. The parties are expected to provide all relevant facts, information and witnesses to the Investigator during the investigation. Evidence offered after that time will be evaluated by the Decision Maker for relevance. Any new relevant evidence will be admitted to the record if: 

    • all Parties and the Decision Maker agree to the new evidence being included in the hearing without remanding the Complaint back to the investigator, and 
    • the evidence is not duplicative of evidence already in the record, and 
    • it is not impermissible, and 
    • the new evidence was not reasonably available prior to the conclusion of the Final Investigation Report. 

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

    • Delay the hearing; 
    • Provide the Parties with at least five (5) business days to review the relevant evidence. 
    • Refer the case back to the Investigator for further investigation or analysis. 

    Any Party or witness scheduled to participate at the Administrative Hearing, must have first participated in the investigation process. 

    The Decision Maker may choose to pose additional questions to the Parties or a witness at the hearing. To the extent credibility is in dispute and relevant to one or more of the allegations, the Decision Maker may question them in order to assess their credibility.  

    However, the Decision Maker may direct a re-opening of the investigation if they have unanswered questions or at their discretion. 

    17. Following the Administrative Hearing, the Decision Maker will deliberate and render a decision utilizing the information articulated in the Investigative Report and information learned at the Administrative Hearing to determine whether a preponderance of the evidence establishes that a Policy violation occurred.  

    18. The Decision Maker will provide both the Complainant and the Charged Student written notice of their decision, including a description of the procedural steps taken by the university from the receipt of the Formal Complaint through Decision Maker’s finding, the rationale for why a Policy violation was or was not found, and any relevant sanctions. The Decision Maker will also explain the appeals process to both parties.  

    19. The Complainant or the Charged Student/employee Respondent may file a written appeal within five (5) business days of the Notice of Decision.  

    The written appeal will be provided to the non-appealing party, who may but is not required to provide a response within two (2) business days.  

    • In cases involving students as the Respondent, OSCCR will appoint an Appeals Board to review the written appeal to determine whether it meets any of the below grounds for appeal.  
    • In cases involving employees as the Respondent, the Title IX Coordinator will appoint an Appeals Officer to review the written appeal to determine whether it meets any of the below grounds for appeal.  

    Grounds for appeal are:  

    • new information not reasonably available by the completion of the investigation that could affect the outcome; 
    • procedural error that affected the outcome; 
    • review of the imposed sanctions based on extraordinary circumstances (for student Respondents only).  

    If an appeal is granted on the basis of new information, the Appeal Board/Officer will refer the matter back to the Title IX Coordinator to determine if the new information alters their original decision. The Appeal Board/Officer, the parties, and if required witnesses, may be reconvened to review only the new information. The Appeal Board/Officer will render a decision based on all the relevant information provided. 

    If an appeal is granted for procedural error, the process will reset to the point at which the procedural error occurred and proceed from that point. 

    If an appeal is granted based on imposed sanctions, the Appeal Board/Officer will notify the Title IX Coordinator and the Director of OSCCR to determine next steps.