Student Non-Discrimination and Anti-Harassment Procedures

Table of Contents

I. Procedural Summary
II. Supportive Resources
III. Reporting Options
IV. Supportive Measures
V. Emergency Removal
VI. Initial Intake/Complaint
VII. Informal Resolution
VIII. Formal Process
IX. Administrative Resolution
X. Formal Hearing Process
XI. Findings or Admissions of Responsibility/Non-Responsibility; Sanctions
XII. Appeals
XIII. Withdrawal While Charges Pending
XIV. Bias/Conflict of Interest
XV. Records
XVI. Transcript Notations

I. Procedural Summary

These procedures provide options to resolve concerns or reports made that allege Prohibited Conduct within the scope of the Student Non-Discrimination and Anti-Harassment Policy.

Following the receipt of a reported concern or Complaint, the Title VI Coordinator or the Associate Provost for Equity and Diversity will send an outreach email to offer to meet with the Reporting Party and provide them with resources and offer assistance.

Meeting with the Title VI Coordinator or the Associate Provost for Equity and Diversity can include a discussion of supportive measures. Supportive measures are intended to provide resources and/or adjustments to an individual who experienced Prohibited Conduct in order to assist with their continued involvement in the University’s programs and activities. These supportive measures may include no-contact orders, or academic, residential or work adjustments. An individual may reach out to a confidential employee and decide at that time or a later time to report to the University.

The following procedures are available to Complainants following the assessment of the Complaint/intake, if the matter falls within the scope of the Student Non-Discrimination and Anti-Harassment Policy. There may be times that additional fact gathering may occur prior to an investigation. Once there is sufficient information to identify the allegations, the following procedures may be available to the Complainant:

  • Informal Resolution: A process that permits the parties (i.e., the Complainant and the Respondent) to agree to the terms of resolving the situation (including the Complaint, if applicable), with the approval of the Title VI Coordinator or the Associate Provost for Equity and Diversity. Not all incidents are appropriate for informal resolution, and no party may be forced to participate in or accept informal resolution. This is a process that requires voluntary participation by the parties and approval by the aforementioned University official(s).
  • Administrative Resolution: A process where, following the conclusion of an investigation, the findings and (if applicable) sanctions are determined by the Title VI Coordinator or the Associate Provost for Equity and Diversity.
  • Formal Resolution: A process where, following the conclusion of an investigation, the findings and (if applicable) sanctions are determined by a hearing panel.

If an incident involves criminal conduct, the victim may make a complaint to law enforcement. An individual may report to the University and also make a report to law enforcement, may make a report to only the University or only to law enforcement, or may report to neither the University nor law enforcement.

II. Supportive Resources

A. Where to get Confidential Support

A Confidential Employee is an individual designated by the University who is not required to report the identity of an individual sharing specific details or information about behavior or incidents that could be considered Prohibited Conduct. A disclosure to a Confidential Employee or office does not result in a University investigation or any other action to respond to the incident. To speak to a Confidential Employee, students should contact:

  • Counseling and Psychological Services, located at Conant House, 315-228-7385 or for an after-hours emergency, call Campus Safety at 315-228-7333 and ask to speak with the counselor on-call.
  • Student Health Services, 140 Broad Street, 315-228-7750.
  • Office of the Chaplains, located on the garden level of the Memorial Chapel, 315-228-7682.

When an individual shares information with a Confidential Employee (on campus or in the community) as a confidential communication in the course of a protected relationship, the Confidential Employee cannot disclose the information (including information about whether an individual has received services) to any third party without the individual’s written permission or unless permitted or required consistent with ethical or legal obligations (e.g. when an individual poses a threat to self or others). Similarly, medical and counseling records cannot be released without the individual’s written permission or unless permitted or required consistent with ethical or legal obligations.

On campus Confidential Employees submit non-personally identifying information about Clery-reportable crimes to Colgate Campus Safety for purposes of anonymous statistical reporting under the Clery Act.

B. Non-Confidential Resources

Colgate personnel, not considered Confidential Employees, who can offer resources and support to students. These sources are not confidential and, if they learn of Prohibited Conduct, may be required to report information that could be Prohibited Conduct to a member of the Discrimination and Harassment team.

III. Reporting Options

Individuals can report Prohibited Conduct to the Title VI Coordinator, the Associate Provost for Equity and Diversity, other members of the Office of Equity and Diversity, or to any of the following:

  • Online Reporting Forms: You may also use one of Colgate’s online reporting forms. The forms provide the option for you to report anonymously or non-anonymously. Providing anonymous information may help the University maintain accurate records regarding the number of incidents involving students, employees, and third parties; determine if there is a pattern of conduct with regard to a particular location or person; and alert the campus community to potential dangers when appropriate. Depending on the amount of information available in the anonymous report, however, the University’s ability to respond with an investigation or disciplinary action may be limited.
  • The Office of Equity and Diversity by going to Lathrop 102, or by telephone at 315-228-6161.
  • Any Prohibited Conduct Response Group (PCRG) member
  • Any Discrimination and Harassment Team (DHT) member
  • Campus Safety (315-228-7333), who can assist with filing a Complaint and preserving evidence.
  • Law Enforcement: The Hamilton Police Department (315-824-3311, or 911 in an emergency), who can assist in filing a criminal complaint and preserving evidence.

Additionally, orders of protection and other forms of legal protection may be available to individuals who have experienced or are threatened with violence by another person. Colgate will reasonably assist such individuals in obtaining available legal protections, provide a copy of any order of protection or similar document it receives to the parties affected by it, explain the order of protection or similar document and the consequences for violating it, and call upon and assist local law enforcement in effecting an arrest for violation of the order of protection or similar document.

There is no time limit for making a report. However, the passage of time may make effective responsive action difficult. Further, if the Respondent is no longer a member of the University community, the University’s ability to respond may be limited. Individuals with a concern are encouraged to make a report promptly.

You may also contact the Title VI Coordinator, the Associate Provost for Equity and Diversity, a Discrimination and Harassment Team member or a PCRG member to discuss how Colgate’s investigatory and grievance processes work. You need not disclose information about a specific incident in order to obtain general information about University policies and procedures.

A third party or anyone other than the Complainant may report an incident as described above, but the person who allegedly experienced Prohibited Conduct is the Complainant for purposes of these procedures.

IV. Supportive Measures

Supportive measures are accessed by request to the Office of Equity and Diversity. These supportive measures, which may be available regardless of whether a Complaint is made, are intended to protect the safety and well-being of members of the campus community and are not indicative of findings of responsibility. Supportive measures may include but are not limited to:

  • No-Contact Orders
  • Academic Adjustments
  • Housing Adjustments
  • Work Adjustments
  • Counseling Referrals
  • Transportation
  • Escort around campus

To learn more about any of these or other available supportive measures, please contact the Title VI Coordinator or the Associate Provost for Equity and Diversity, who are responsible for approving and coordinating the implementation of supportive measures.

If a party’s request for a supportive measure is denied, the party will be afforded an opportunity to have the denial promptly reviewed by submitting a written request to the Vice President for Equity and Inclusion to assess whether the supportive measure is reasonable under the circumstances. In addition, an individual may also seek a prompt review of the need for and/or terms of any supportive measure that directly affects said individual, by submitting a written request for review to the Vice President for Equity and Inclusion providing the basis for that request and any evidence in support. Each party will be allowed to submit evidence in support of, or in opposition to, the request to the extent the supportive measure under review affects that party.

V. Emergency Removal

When a student accused of Prohibited Conduct is determined to be an immediate threat to the physical health or physical safety of any student or other individual arising from the allegations of Prohibited Conduct, the University may undertake an emergency removal of the student from some or all University programs or activities pending the outcome of any proceedings under these procedures. Prior to effectuating an emergency removal of a student, the University will undertake an individualized safety and risk analysis. If the individualized safety and risk analysis determines that an immediate threat to the health or safety of any student, including the Respondent, or other individual justifies removal, then the Respondent will be removed.

Both the Complainant and the Respondent will, upon written request, be afforded an opportunity for a review of the need for and/or terms of an emergency removal, including potential modification. Parties desiring such a review should submit a written request to the Vice President for Equity and Inclusion, providing the basis for that request and any evidence in support. The burden of proof is on the party submitting the request to show that the removal decision was incorrect. The emergency removal will remain in effect while the request is considered.

VI. Initial Intake/Complaint

Upon receipt of information about a concern regarding Prohibited Conduct, an intake meeting is scheduled with the Title VI Coordinator or Associate Provost for Equity and Diversity to gather more information, allow the Complainant to submit a Complaint (if desired and not previously submitted) and understand the wishes of the Complainant.

A Complaint should include details of the alleged Prohibited Conduct including, if known,

  • The identity of individual(s) who were present at the time of the incident(s), including any witnesses;
  • What occurred;
  • Where the incident(s) occurred; and
  • Date(s) and time(s) the incident(s) occurred.

An initial determination is made by the Title VI Coordinator or Associate Provost for Equity and Diversity as to whether the reported incident(s) may constitute Prohibited Conduct under this Policy and/or whether informal resolution might be appropriate. If the Complaint does not appear to allege Prohibited Conduct or if informal resolution is agreed to by the involved parties and appears appropriate given the nature of the alleged behavior, then the Complaint does not proceed to investigation.

If a Complainant requests that no action be taken against the Respondent (i.e., no investigation or disciplinary action), the University’s decision as to responsive action will depend on factors including, but not limited to, the nature of the offense, whether the Respondent has a history of violent behavior or is a repeat offender, whether the incident represents alleged escalation in unlawful conduct from previously noted behavior, the risk that the Respondent will commit future acts of violence, whether there was a single perpetrator or multiple, whether the Respondent allegedly used a weapon or force, whether the Complainant or Reporting Individual is a minor, whether available information reveals a pattern of perpetration at a given location or by a particular group or organization, whether the circumstances otherwise suggest an ongoing or future risk to the campus community or the Complainant or Reporting Individual, impact upon the University community, and similar considerations. In some circumstances the University may pursue an investigation and adjudication without a Complainant or Reporting Individual requesting the action. A decision will be made and shared with the Complainant or Reporting Individual. Ultimately, the University retains the right to act upon information that interferes with the University’s obligation to maintain a safe and non-discriminatory environment for all community members and/or comply with applicable law.

In cases where the Complainant or Reporting Individual requests confidentiality or anonymity, and the circumstances allow the University to honor that request, the University will offer supportive measures and remedies to the Complainant or Reporting Individual and the community as warranted, but will not otherwise pursue formal action.

The University may temporarily withhold a student's degree and/or diploma if the student is the subject of a pending Complaint or investigation, or has disciplinary charges pending.

VII. Informal Resolution

An informal resolution is a process in which the parties are assisted in resolving the allegations made by a Complainant without a formal investigation and adjudication. Types of informal processes include, but are not limited to, educational conversations, training, mediated conversations, and restorative justice practices. The Title VI Coordinator or Associate Provost for Equity and Diversity will offer informal resolution processes to the parties if the Title VI Coordinator or Associate Provost for Equity and Diversity believes an informal resolution may be appropriate.

A. Informal Resolution Process

An informal resolution process is a voluntary process in which a trained facilitator assists the parties in resolving the allegations made by a Complainant, or the parties otherwise agree to resolution. A Complaint is not necessary to initiate an informal resolution process. The informal resolution process could be educational, mutually agreed-upon terms or a restorative process that provides an opportunity to the parties to understand each other’s concerns and address them as productively as possible, with the assistance of the facilitator.

The informal resolution process is not available in a situation involving more than two parties unless (a) all parties voluntarily consent to use the informal resolution process, (b) there is an understanding among all parties about what happens when the right of any party to stop the informal resolution process and commence (or return to) the formal resolution process is invoked, and (c) there is an understanding among all parties about whether some parties, but not all, can agree to a resolution.

No party should feel intimidated, coerced or threatened to participate in an informal resolution process, and the Title VI Coordinator or Associate Provost for Equity and Diversity will not authorize use of the informal resolution process where there is reason to believe that a party’s consent to use the process is not truly voluntary.

The informal resolution process may also be used if the Respondent wishes to accept responsibility for all or part of the alleged policy violations, and the Complainant is in agreement. If the Respondent indicates an intent to accept responsibility for all or part of the alleged misconduct, the investigation and adjudication process will be paused, and the Title VI Coordinator or Associate Provost for Equity and Diversity will determine whether informal resolution can be used according to the criteria above. If so, the informal resolution process will be used to determine whether all parties and the University are able to agree on a resolution and/or supportive measures. This result is not subject to appeal once all parties indicate their written agreement to all terms of the resolution.

Supportive measures are available to both parties during informal resolution. Attorneys are not permitted for the Student Non-Discrimination and Anti-Harassment Procedures, including for purposes of informal resolution.

B. Role of the Facilitator

Not all informal resolutions will involve a facilitator. When they do, the facilitator’s role is to conduct the informal resolution process in a way that is impartial and does not favor one party over the other(s).

If the facilitator believes at any point in the informal resolution process that one party is not behaving in a way that allows for a productive resolution between the parties, or should a conflict with the facilitator arise, either another facilitator will be appointed or the University will require that the informal resolution process be discontinued and the matter may be addressed through the formal resolution process.

C. Support Person

Each party may have a support person accompanying them to any informal resolution meeting. A support person can help a party understand or explain the issues under discussion or simply help the party feel more comfortable during the informal resolution process; this can be a friend, relative, a PCRG member or any other person that the party trusts, with the exception of an attorney. Support people cannot be an individual who has been involved in the facts and circumstances of the allegation(s) in any way.

A party must inform the Title VI Coordinator or Associate Provost for Equity and Diversity in advance if they would like a support person to attend any meeting and the name of the support person and that person’s relationship to the party. The facilitator and/or the Title VI Coordinator or Associate Provost for Equity and Diversity will check with the other party to confirm that such party agrees to continue with the informal resolution with the support person present. The facilitator and/or the Title VI Coordinator or Associate Provost for Equity and Diversity can also exclude a support person if their presence is disruptive during the informal resolution process.

Support can be provided in several ways. Support people do not necessarily have to be present in an informal resolution session; if preferred, they can be available in a nearby area and provide support during breaks.

D. Confidentiality

For the informal resolution process to have the best chance for success, the parties should be free to express themselves. As a result, the information received from the parties solely during the informal resolution process will be kept confidential by the facilitator, with limited exceptions, but the facilitator may share information as necessary, to enable the oversight of the process in accordance with these procedures.

In addition, the facilitator will not be available as a witness in any formal resolution process that may occur should a party or the University terminate the informal resolution process before a resolution. This is in keeping with the concept that the facilitator is impartial and is only facilitating the interaction between the parties.

Should the matter proceed or be returned to the formal resolution process, the parties and any support person may not disclose information shared by the other party solely during the informal resolution process in the formal resolution process. All parties participating in the informal resolution process must sign an agreement that provides that information revealed by a party solely in the informal resolution process will not be used against the other party in the formal resolution process. This protection does not apply to information that is learned outside the informal resolution process, through the investigation or otherwise.

E. Possible Outcomes of an Informal Resolution Process

A resolution is reached only if all parties agree and if the resolution is accepted by the Title VI Coordinator or Associate Provost for Equity and Diversity. The facilitator (if applicable) will not impose an outcome, although they may assist the parties in suggesting resolutions that appear to meet the parties’ needs. If there is no agreement on a resolution, the matter may proceed (or be returned) to the investigation and resolution process outlined in these procedures.

The University imposes no restrictions on the possible outcomes reflected in a resolution so that the parties are free to fashion a resolution that meets their needs, subject to acceptance by the Title VI Coordinator or Associate Provost for Equity and Diversity. For example, the parties may agree upon an educational conversation, prohibitions on co-enrollment or registration priorities for classes, boundaries for participation in campus activities, and/or restrictions on contact between or among the parties, among other terms of an informal resolution.

The facilitator (or, if a facilitator is not used, the Title VI Coordinator or Associate Provost for Equity and Diversity) will draft a document reflecting the agreement between the parties that becomes final once it is signed by all parties and accepted by the Title VI Coordinator or Associate Provost for Equity and Diversity. This written and signed resolution indicates that the matter has been resolved under this process without the need to pursue the formal resolution process.

After a written resolution has been finalized, the University will keep a record of the parties’ written consent to the informal resolution process and the written resolution. Results of an informal resolution are not appealable.

F. What Happens if the Informal Resolution Process Does Not Result in an Agreed-Upon Resolution

The informal resolution process should proceed with due promptness. The University imposes no specified timeframe for the process, but the facilitator, Title VI Coordinator or Associate Provost for Equity and Diversity may choose to terminate the informal resolution process (and either party may elect to terminate the process) if insufficient progress is being made.

If an informal resolution process does not result in an agreed-upon resolution, the formal resolution process may commence or resume.

VIII. Formal Process

A. Notice of Allegations

When a determination has been made that an investigation or substantive fact gathering will commence, the parties will receive notice of the allegations, in advance of any interview or other meeting they are required or entitled to attend. This notice will include:

  1. To the extent known, the identities of the involved parties and the date, time, location and factual allegations concerning the alleged violation; 
    the policy provisions allegedly violated; 
  2. a description of the investigation and adjudication process; 
  3. the right to an advisor, who must be a member of the campus community and may not be a practicing attorney, to assist and accompany the party throughout the process, including during all meetings and hearings related to the process;
  4. notice that knowingly making false statements or knowingly submitting false information is prohibited under University policy; 
  5. consistent with the preponderance of the evidence standard used to determine responsibility, notice that the Respondent is presumed not responsible for the
  6. alleged conduct and that a determination regarding responsibility is made at the conclusion of the process; and
  7. a statement about the University’s policy on retaliation.

If, in the course of the investigation, the University decides to investigate allegations that are not included in the notice initially provided to the parties, the Title VI Coordinator or Associate Provost for Equity and Diversity will provide notice of the additional allegations to the parties.

The Complainant and Respondent will be provided with notice of the name of the appointed investigator(s) and an opportunity of not more than three business days after the notice to raise an objection to the investigator(s) based on any alleged bias or conflict of interest known to the party. If an objection is raised, the Title VI Coordinator or Associate Provost for Equity and Diversity will determine whether bias or conflict of interest in fact exists and necessitates the replacement of the investigator(s).

Attorneys are not permitted for the Student Non-Discrimination and Anti-Harassment Procedures.

The Office of the Registrar will be notified and a notation, “conduct process pending,” will be placed on any Respondent’s transcript, pending the outcome of the formal process, noting that allegations of Prohibited Conduct have been made. This is not a disciplinary sanction, but is intended to facilitate an equitable resolution of the process.

B. Investigation Scope and Timeline

The University will seek to complete investigation and adjudication of Complaints within one-hundred and twenty (120) business days when reasonably possible, but delays may occur when (among other things) the University is not in session. The University may, but shall not be obligated to, delay the institution of its processes when criminal charges on the basis of the same behaviors that invoke this process are being investigated; such delays will not last more than ten (10) calendar days except when law enforcement authorities specifically request and justify a longer delay. Both parties will be provided with written notice of any extension of the investigation and adjudication process beyond one-hundred and twenty (120) business days, and of the reason for the delay. University action will not be altered or precluded on the grounds that civil or criminal charges involving the same incident have been filed or that charges have been dismissed or reduced.

The Title VI Coordinator or Associate Provost for Equity and Diversity may determine that cases where the allegations arise out of the same set of facts or circumstances should be consolidated for purposes of investigation and/or adjudication. Instances where consolidation of Complaints may occur include but are not limited to cross-Complaints by the parties against each other, multiple Complaints by a single Complainant against a Respondent, Complaints by multiple Complainants against one or more Respondents, or multiple Complaints by a single Complainant against multiple Respondents.

  1. Participation in an Investigation Process
    During the investigation, which is an impartial fact-finding process, the Complainant and the Respondent will have an equal opportunity to share information and request that witnesses be interviewed. However, at all times, the burden of gathering evidence remains with the University. In the absence of their consent, the Complainant and Respondent will not be interviewed together or be required to meet. The investigator(s) retain(s) discretion to determine how to conduct the investigation and what information is necessary and relevant.

    No unauthorized audio or video recording of any kind is permitted during investigation meetings or interviews. If the investigator(s) elect(s) to audio and/or video record interviews, all parties involved in the meeting or interview will be made aware that audio and/or video recording is occurring.
  2. Assessment Following Investigation
    Once an investigation is completed, the Title VI Coordinator or Associate Provost for Equity and Diversity will assess whether the results of the investigation warrant proceeding with the Complaint process.

    If it is determined that the alleged incident is more properly handled pursuant to another University policy or procedure, the matter will be directed to the appropriate procedure or personnel.

    If it is determined that the allegations and available information warrant a continuation of the process, an informal resolution, administrative resolution, or a formal resolution may proceed.

    If it is determined that continuing with the process is not warranted, the process will end, and the Complainant and Respondent will be informed. This notice will include findings of fact and the rationale for the determination.

IX. Administrative Resolution

In cases where the alleged violations, and therefore the range of possible sanctions, are minor (less than suspension or expulsion), the University may resolve the allegations through administrative resolution. If this process is used, following the receipt of the Notice of Allegations and completion of the investigation process, the Respondent will be required to meet with the Title VI Coordinator or Associate Provost for Equity and Diversity by a specified date. The Title VI Coordinator or the Associate Provost for Equity and Diversity will then give the Respondent the opportunity to respond to the allegation(s).

Once the Title VI Coordinator or the Associate Provost for Equity and Diversity makes reasonable attempts to allow the Respondent to respond to the allegation(s), the following occurs:

  • The Title VI Coordinator or the Associate Provost for Equity and Diversity will make a determination as to whether the Respondent is responsible for the allegation(s). 
  • If there is a finding of responsibility, the Title VI Coordinator or Associate Provost for Equity and Diversity will determine sanctions.

X. Formal Hearing Process

If the formal hearing process is to be used, the Title VI Coordinator or Associate Provost for Equity and Diversity will appoint a hearing panel consisting of a hearing panel Chair who may be an external adjudicator or a PCRG member, and two additional panel members who are members of the PCRG. All panel members will be checked for conflicts of interest.

PCRG members who serve as an investigator or an advisor to the Complainant or Respondent may not serve as hearing panel members in the same matter. A hearing before the panel will be convened not less than ten (10) business days after the parties have been provided notice of the hearing, for the purpose of determining whether the Respondent is responsible or not responsible for the allegation(s). 

Participants in the hearing will include the members of the hearing panel, the Complainant and the Respondent, their respective advisors, the investigator(s) who conducted the investigation, and witnesses (solely during their own testimony). Hearings are private. Observers or additional support personnel, other than the parties’ advisors, are not allowed unless deemed necessary by the Title VI Coordinator or Associate Provost for Equity and Diversity for purposes such as the accommodation of a disability or language translation. Witnesses are not permitted to bring an advisor or other person to the hearing, absent an approved disability accommodation or a need for a translator. The hearing panel may be advised by and/or consult with the University’s legal counsel as the hearing panel Chair deems necessary or appropriate. Hearings will be recorded by the University. Cell phones and/or recording devices may not be used for the purposes of recording by the parties or their advisors in the hearing.

Hearings may be conducted with all parties physically present in the same location or, at the discretion of the Title VI Coordinator or the Associate Provost for Equity and Diversity, any or all parties, witnesses, and other participants may appear at the hearing virtually, with technology enabling the hearing panel and the parties to simultaneously see and hear any party or witness while speaking. If either party so requests, the hearing will be conducted with the parties located in separate rooms using technology as described in the preceding sentence.

The Title VI Coordinator or Associate Provost for Equity and Diversity may postpone the hearing for good cause. Good causes may include, without limitation, unavailability of one or more participants due to unanticipated events or circumstances, the timing of academic breaks or holidays, or other extenuating circumstances.

At least ten (10) business days prior to the hearing, or as far in advance as is reasonably possible if an accelerated hearing is scheduled with the consent of the parties, the designated hearing panel Chair will send a letter to the parties stating the following: A description of the alleged violation(s) (including, to the extent known, the date, time, location and factual allegations, and a reference to the specific Colgate policy provision(s) alleged to have been violated); a description of the applicable procedures; and the sanction or sanctions that could be imposed.

Prior to the hearing, each party will submit to the hearing panel Chair and the Title VI Coordinator or the Associate Provost for Equity and Diversity the names of all witnesses the party intends to call and a brief description of the subject(s) about which the party believes the witness has relevant information. The hearing panel Chair will exclude any witness the hearing panel Chair deems unnecessary. The hearing panel Chair will share with all parties the names of all witnesses whom they have approved to be called, and all relevant and available documentary information. The hearing panel Chair may decide that certain witnesses do not need to participate in the hearing if their testimony can be adequately summarized by the investigator(s) during the hearing. The hearing panel Chair is in charge of organizing the presentation of information to be considered by the hearing panel. The Title VI Coordinator or the Associate Provost for Equity and Diversity may assist the hearing panel Chair in organizing witnesses and testimony.

The hearing panel Chair will explain procedural ground rules prior to or at the outset of the proceeding, and the hearing panel Chair may impose additional ground rules as may be necessary for the orderly and efficient progress of the proceeding. Once the procedures are explained and the participants are introduced, the hearing panel Chair may call the investigator(s) to present the report of the investigation if the hearing panel Chair deems such a presentation to be necessary or desirable. The investigator(s) may be asked to respond to questions posed by the hearing panel Chair or hearing panel members. The findings of the investigation are not binding on the panel, though any undisputed conclusions of the investigation report will not be revisited, except as necessary to determine sanctions/responsive actions or as otherwise determined necessary by the hearing panel Chair.

Formal rules of evidence will not apply. Any information that the hearing panel Chair and panel believe is relevant and credible may be considered.

The hearing panel Chair will address any concerns regarding the consideration of information prior to and/or during the hearing and may exclude irrelevant or immaterial information. The hearing panel Chair will have discretionary authority to determine all questions of procedure. The hearing panel Chair is empowered to determine whether particular questions, evidence or information will be accepted or considered, including whether a particular witness will or will not be called and, if called, the topic(s) that the witness or the parties will be permitted to address. Anyone appearing at the hearing to provide information will present and respond to questions on their own behalf and not through anyone else.

A. Questioning Procedure

The hearing panel Chair will allow each party to propose questions that the party wants asked of the other party or any witness. These questions can be posed before the hearing in writing or during the hearing orally. The hearing panel Chair will determine whether a proposed question is appropriate before they ask the question, and will pose any approved question to the other party or witness on the questioning party’s behalf. In the event the hearing panel Chair excludes a question, the hearing panel Chair will explain the decision. Questions that are unclear or harassing of the party or witness being questioned will not be permitted. The hearing panel Chair will give the party an opportunity to clarify or revise an otherwise acceptable question that the hearing panel Chair determines is unclear or harassing. If the party sufficiently clarifies or revises the question, the question will be asked.

Unless the hearing panel Chair determines it is appropriate, no one will present information or raise questions concerning:

  1. the character of the Complainant or Respondent, or
  2. incidents not directly related to the alleged violations unless they are offered to show a pattern of behavior or conduct.
     

XI. Findings or Admissions of Responsibility/Non-Responsibility; Sanctions

Determinations of responsibility in an administrative resolution or hearing as to whether the Respondent is responsible or not responsible for the alleged violation(s) are made using “preponderance of the evidence” as the standard of proof to determine whether each alleged violation occurred. “Preponderance of the evidence” means that the administrator or hearing panel must determine whether, based on the evidence presented, it is more likely than not that the Respondent engaged in the conduct charged in violation of University policy. A lack of preponderance does not necessarily mean that the Complainant has been dishonest or made a false Complaint, but rather that the weight of the evidence did not indicate that it was “more likely than not” that a violation occurred.

If the administrator or hearing panel determines that the Respondent is responsible for one or more of the allegations in question, they move to a consideration of sanctions. To inform sanctioning decisions, if there is a finding of responsibility for one or more of the allegations, the Respondent’s prior disciplinary history, if any, will be shared with the administrator or hearing panel. Each party may submit a written personal impact statement for consideration by the administrator or hearing panel in determining an appropriate sanction if there is a finding of responsibility on one or more of the allegations. The parties may submit their statements anytime to the Title VI Coordinator or the Associate Provost for Equity and Diversity prior to 72 hours after the administrative resolution meeting or hearing ends. In addition to the impact statement(s), factors considered when determining sanctions may include:

  1. the nature and severity of, and circumstances surrounding, the violation(s);
  2. the Respondent’s state of mind at the time of the violation(s) (intentional, knowing, bias-motivated, reckless, negligent, etc.);
  3. the Respondent’s previous disciplinary history (or lack thereof);
  4. the need for sanctions to bring an end to the conduct; and/or to prevent the future recurrence of similar conduct;
  5. the need to remedy the effects of the conduct on the Complainant and/or the community;
  6. the impact of potential sanctions on the Respondent;
  7. sanctions imposed by the University in other matters involving comparable conduct; and
  8. any other lawful factors deemed relevant by the administrator or hearing panel.

The parties will receive simultaneous written notification of the outcome of the administrative resolution or hearing without a commitment to protect the confidentiality of the outcome. It shall be the decision of each party whether that party will disclose or discuss the outcome of any administrative resolution, hearing or appeal. The notification will include written notice of the findings, and (if applicable) the sanction, as well as a rationale for the decision and (if applicable) the sanction and information with respect to appeal procedures.

A. Student Sanctions

The following are the sanctions that may be imposed upon students or organizations singly or in combination:

1 ) Warning

A formal statement that the behavior was unacceptable and a warning that further infractions of any University policy, procedure, or directive will result in more severe disciplinary action.

2) Probation

A written reprimand for violation of the policy, providing for more severe disciplinary sanctions in the event that the student or organization is found in violation of any University policy, procedure, or directive within a specified period of time. Terms of the probation will be specified and may include denial of specified social privileges, exclusion from co-curricular activities, no-contact orders, and/or other measures deemed appropriate.

3) Suspension

Termination of student or organizational status for a definite period of time and/or until specific criteria are met. Students who return from suspension are automatically placed on probation through the remainder of their tenure at Colgate.

4) Expulsion

Permanent termination of student status or indefinite or permanent revocation of University recognition of organizational status.

5) Withholding Diploma

The University may withhold a student’s degree and/or diploma for a specified period of time and/or deny a student participation in commencement activities.

6) Revocation of Degree

The University reserves the right to revoke a degree awarded from the University for fraud, misrepresentation, or other violation of University policies, procedures or directives in obtaining the degree, or for other serious violations committed by a student prior to graduation.

7) Other Actions

In addition to or in place of the above sanctions, the hearing panel may assign any other sanctions as deemed appropriate, including but not limited to the following:

  1. Education, so a student has the opportunity to gain more insight into their behavior.
  2. “No-contact” order (including but not limited to continuation of a no-contact order imposed as a supportive measure): a prohibition against having contact with one or more identified persons, in person or through telephonic, electronic, written or other means. A no-contact order may include additional restrictions and terms.
  3. Acknowledgement of Impact: Requiring the student or organization to write a letter acknowledging the impact to those involved.
  4. Campus or Community Service: Requiring unpaid service to the University or area community stated in terms of type and hours of service.
  5. Restitution: Reimbursement for damage to or misappropriation of property, or for personal injury, and other related costs.
  6. Housing-related sanctions:
    1. Loss, revocation or restriction of the privilege to live in University housing (e.g., exclusion from specified locations or alteration of status in the housing lottery or other selection system).
    2. Loss, revocation or restriction of off-campus living privileges.

Sanctions take effect immediately, unless the Title VI Coordinator or Associate Provost for Equity and Diversity delays implementation pending completion of any appeal process.

XII. Appeals

A. Grounds for Appeal: Submission Requirements

The Complainant or Respondent may appeal the result of any administrative resolution or hearing. All appeals must be submitted in writing to the Vice President for Equity and Inclusion within ten calendar days of the delivery of the written findings of the administrative resolution or hearing panel. Appeals of a decision issued by a formal hearing involving students shall be submitted to an appellate panel composed of the Dean of the College and a PCRG member designated by the Vice President for Equity and Inclusion. Appeals of a decision issued by administrative resolution shall be submitted to the Vice President for Equity and Inclusion. Any party may appeal a decision, but only on the basis of one or more of the following grounds:

  1. A procedural error or omission occurred during the process which, based upon the entire record, is reasonably likely to have changed the outcome of the administrative resolution or hearing (e.g., substantiated bias, material deviation from established procedures, etc.); or
  2. New information, unavailable prior to or during the administrative resolution or hearing, has come to the attention of one of the parties which, had it been known at the time of the administrative resolution or hearing, and based upon the entire record, is reasonably likely to have changed the outcome of the administrative resolution or formal hearing process or the nature or severity of any sanction that may have been imposed; or
  3. Any sanction imposed is disproportionate to the nature or severity of the violation or violations.

Any appeal must include a clear statement of the nature of any claimed procedural error or new information, or the basis of any claim of disproportionality. In the case of a claimed procedural error or new information, the appeal must also include a statement of the likely impact of the claimed error or newly discovered information on the proceedings.

B. Appeal Procedures

In the event of an appeal by any party, all parties and the original decision maker(s) shall be notified that the appeal has been submitted and shall have a reasonable opportunity to respond to the appeal in a manner determined by the appellate decision maker (i.e., the appellate panel or the Vice President for Equity and Inclusion). The decision will be sustained if the appeal is not timely or is not made on the basis of one or more of the grounds listed above, or the appellate decision maker concludes that the grounds for appeal are not supported by the record as a whole. Any decision that is not appealed, or that is sustained on appeal, is final. The appellant shall have the burden of establishing, by a preponderance of the evidence, that one or more of the grounds for appeal are meritorious, and any party may also attempt to show that this burden has not been met.

Additional principles governing appeals are the following:

  1. Because the appellate decision maker has not heard the evidence directly, deference must be given to the original administrative resolution decision maker(s) or hearing panel on evidentiary matters and the appellate decision maker must sustain the decision unless one of the three grounds for appeal listed above has been established. 
  2. In the event that the appellate decision maker determines that the appellant has met the burden of establishing that one or more grounds for appeal have merit, the appellate decision maker has discretion to take action consistent with that determination. That may include, without limitation, in the case of procedural error or new information, remanding the case in whole or in part to the original administrative resolution decision maker(s) or hearing panel, remanding the case in whole or in part to a new decision maker or panel, and, in the case of disproportionality of a sanction, modifying that sanction as appropriate.
  3. The appellate decision maker’s decision is final and no further appeals are allowed, except to the extent that one or more parties seek review of proceedings ordered by the appellate decision maker on remand.

Once the appeals process is complete, the result is final and is not subject to further review or appeal under other Colgate University policies or procedures.

XIII. Withdrawal While Charges Pending

Should a student decide to withdraw from the University and not participate in the investigation, administrative resolution and/or hearing, the University may opt to proceed in absentia to resolution and that student will not be permitted to return to Colgate unless all levied sanctions (if any) have been satisfied. If a student withdraws while subject to a Complaint, investigation or charges based upon alleged conduct constituting a crime of violence that the University is required by federal law to include in its Annual Security Report, the transcript of the student shall include the notation “Withdrew with conduct charges pending.”

XIV. Bias/Conflict of Interest

In the event that any person assigned a role pursuant to these procedures is aware of any relationship, fact, circumstance or occurrence that they reasonably believe creates or constitutes bias or a conflict of interest that would render the person incapable of performing the role in an impartial manner, that person shall identify in writing the bias or conflict of interest to the Vice President for Equity and Inclusion at the earliest practicable time.

Similarly, any Complainant or Respondent who objects to the participation of any person assigned a role pursuant to these procedures based upon bias or a conflict of interest shall identify the conflict of interest to the Title VI Coordinator or Associate Provost for Equity and Diversity at the earliest practicable time. The Title VI Coordinator or Associate Provost for Equity and Diversity will determine whether bias or a conflict of interest in fact exists and necessitates replacement of the person in question.

XV. Records

In implementing these procedures, records of all Complaints, resolutions, and hearings will be kept by the Title VI Coordinator or Associate Provost for Equity and Diversity. Access to these records will be made available only on a need-to-know basis or as required by law. Any such release shall only be made in accordance with any applicable Colgate policy and federal and state laws.

XVI. Transcript Notations

Students found responsible after a formal resolution process and suspended or expelled for a crime of violence that the University is required by federal law to include in its Annual Security Report will have a notation included on their transcript stating, “Suspended after a finding of responsibility for a code of student conduct violation” or “Expelled after a finding of responsibility for a code of student conduct violation.” Upon the written request of a suspended student, transcript notations for suspensions imposed under these procedures may be removed at the discretion of the Title VI Coordinator but no earlier than one year after the conclusion of the suspension. Transcript notations for expulsion shall not be removed.

While a formal resolution process is pending the Respondent’s transcript may contain the notation, “conduct process pending.” This is not a disciplinary sanction, but is intended to facilitate an equitable resolution of the process.