BOR Policy 4.13 Prohibited Conduct Resolution Procedures (Non-Title IX)

This Procedure applies to prohibited conduct under BOR Policy 4.13 that is not processed under the Title IX Procedure. It includes, as applicable, Discrimination under Section 7.1, including Disparate Treatment Discrimination under Section 7.1.1 and Disparate Impact Discrimination under Section 7.1.2; Discriminatory Harassment under Section 7.2; Sex-Based Harassment under Section 7.3, including Quid Pro Quo Harassment under Section 7.3.1 and Hostile Environment Harassment under Section 7.3.2; Sexual Assault under Section 7.5; Dating Violence under Section 7.6; Domestic Violence under Section 7.7; Stalking under Section 7.8; Sexual Exploitation under Section 7.9.1; Unauthorized Disclosure under Section 7.9.2; and Retaliation under Section 7.10 when the matter does not proceed under the Title IX Procedure.

• CSCU will provide a prompt, fair, and impartial process and treat Complainants and Respondents equitably.
• The Respondent will not be treated as responsible unless and until a determination is made under this Procedure.
• The burden of gathering information sufficient to make a determination rests on CSCU, not the Parties. The Parties are expected to identify and provide relevant information reasonably available to them.
• Personnel acting under this Procedure must be free from material conflicts of interest and bias.

Parties involved in matters under this Procedure may be accompanied by one Advisor of their choice (which may be a union representative or attorney) to any meeting or proceeding. CSCU will not assign an Advisor for the purposes of proceedings under this Procedure. If a Party chooses to have an Advisor, the Party should provide CSCU with the Advisor’s contact information for the purpose of scheduling. The Advisor may act as a support person for their Party, assist the Party in navigating the process, and help formulate questions for the hearing. The Advisor may not participate in lieu of the Party in any capacity. An Advisor must maintain respectful and professional decorum in all proceedings; failure by an Advisor to do so may result in CSCU excluding the Advisor from participation. CSCU maintains discretion to determine whether exclusion of an Advisor is warranted.

CSCU will provide auxiliary aids and services for individuals with disabilities and language assistance for individuals with limited English proficiency, as needed to participate in this Procedure. This may include qualified interpreters or a barrier-free location for proceedings.

• The Civil Rights/Title IX Coordinator may coordinate with Human Resources, Labor Relations, Student Affairs, Academic Affairs, and other appropriate offices. Responsibility for civil-rights assessment remains with the Civil Rights/Title IX Coordinator.

The Civil Rights/Title IX Coordinator will offer and coordinate Supportive Measures as appropriate and reasonably available, whether or not a Complaint is filed. Supportive Measures are non-disciplinary, non-punitive individualized services provided without fee or charge to a Party and may include no-contact directives and other measures consistent with BOR Policy 4.13. Supportive Measures are designed to restore or preserve equal access to CSCU’s Education Program and Activity, protect the safety of the Parties or CSCU’s educational environment, or deter additional potential violations of BOR Policy 4.13. A Party may request review or modification of a Supportive Measures decision as provided in Section 13 of BOR Policy 4.13. The Civil Rights/Title IX Coordinator retains continuing authority to determine, implement, review, modify, supplement, and terminate Supportive Measures as provided in Section 13 of BOR Policy 4.13.

Supportive Measures, privacy, Confidential Resources, Retaliation protections, and reporting obligations, including Required Reporter responsibilities and restrictions under Sections 9.2 through 9.8 of BOR Policy 4.13, are governed by BOR Policy 4.13 and applicable law. Separate child-abuse reporting obligations may also apply under BOR Policy 5.06 and Connecticut law.

When a Respondent is unknown or is not subject to CSCU disciplinary authority, the Civil Rights/Title IX Coordinator will respond consistent with Section 6 of BOR Policy 4.13. Such actions may include Supportive Measures, remedial actions, safety measures, referrals, law-enforcement options, access restrictions, and assistance involving external institutions or agencies where appropriate.

CSCU is committed to the prompt and thorough resolution of Complaints under BOR Policy 4.13. CSCU will complete an initial review of all Reports within ten (10) business days of receipt. The fact-gathering phase will be completed within forty (40) business days of the conclusion of the initial review, and the administrative hearing will be scheduled within twenty (20) business days of the conclusion of fact-gathering. The Parties will receive a written notice of outcome within ten (10) business days of the administrative hearing.

This Procedure allows reasonable extensions of timeframes on a case-by-case basis for good cause. Good cause may include the need to ensure a complete investigation; a temporary law-enforcement delay; the availability of Parties, Advisors, or witnesses; College or University breaks; case complexity; language assistance or disability accommodations; or other legitimate reasons. The Parties will receive written notice, including the reason, for any significant departure from the prescribed timeline.

The preponderance of the evidence standard applies. The decision-maker will determine whether it is more likely than not that the Respondent violated BOR Policy 4.13.

Relevant evidence is evidence that has some value or tendency to prove a matter of fact significant to the case. Relevant evidence may pertain to a Party’s or witness’s credibility.

The Parties will have an equal opportunity to present evidence. CSCU will also take reasonable steps to obtain relevant evidence that may not be in the Parties’ control. The decision-maker will objectively evaluate all relevant and otherwise permissible evidence, including both inculpatory and exculpatory evidence. Credibility determinations will not be based on a person’s status as a Complainant, Respondent, or witness.

The following types of evidence, and questions seeking that evidence, are impermissible and will not be accessed, considered, disclosed, or otherwise used by CSCU in connection with its investigation or hearing, except as may be necessary to determine whether an exception applies:

• Evidence that is protected under a privilege recognized by federal or state law or evidence provided to a Confidential Resource, 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 CSCU obtains that Party’s or witness’s voluntary, written consent for use in this Procedure; and
• Evidence that relates to the Complainant’s sexual predisposition or prior sexual behavior, unless evidence about the Complainant’s prior sexual behavior 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 behavior with the Respondent that is offered to prove Consent to the alleged conduct. The fact of prior consensual sexual conduct between the Parties does not by itself demonstrate or imply the Complainant’s Consent to the alleged conduct or preclude a determination that a violation occurred.

Upon receiving a Report, the Civil Rights/Title IX Coordinator will assess the information and provide appropriate outreach and consider Supportive Measures. The Civil Rights/Title IX Coordinator will determine whether the alleged facts could violate BOR Policy 4.13, whether CSCU has authority to address the matter, whether this Procedure or another process applies, and whether a Complaint has been made or should be initiated as permitted by Policy and law. The applicable substantive Policy definitions and standards are determined under the  Applicability provision in Section 6 of BOR Policy 4.13.

A Report does not itself require an investigation. A Complaint may be made orally or in writing as provided by BOR Policy 4.13. When permitted or required by Policy or law, the Civil Rights/Title IX Coordinator may initiate a Complaint or institutional action despite the preferences of the person alleged to have experienced the conduct and will document the reason for that decision.

CSCU may offer Informal Resolution or another voluntary resolution option when appropriate and lawful. Informal Resolution may proceed only with the approval of the Civil Rights/Title IX Coordinator and the voluntary agreement of each Party. The facilitator may not coerce participation or agreement. The Civil Rights/Title IX Coordinator may determine that Informal Resolution is not appropriate, or is no longer appropriate, based on the allegations, safety concerns, power differentials, repeated or patterned conduct, collective bargaining requirements, or other relevant circumstances, and may return the matter to the formal resolution process. Either Party may decline or withdraw before a final resolution is reached. Any final Informal Resolution agreement must be approved by the Civil Rights/Title IX Coordinator before becoming effective. Once effective, the agreement is binding on the Parties and constitutes a final resolution of the matter. CSCU will endeavor to complete Informal Resolution within a reasonably prompt timeframe. Reasonable extensions may be granted for good cause consistent with Section II.

Following a Complaint, the Civil Rights/Title IX Coordinator will provide the Parties written Notice of Allegations. The notice will identify the allegations, applicable Policy provisions, the Parties if known, sufficient information about the alleged conduct to permit a meaningful response, the assigned investigator, the prohibition on Retaliation, available Supportive Measures, and the right to an Advisor where applicable. CSCU will provide supplemental notice if the scope of the investigation materially changes.

CSCU may consolidate related allegations involving multiple Complainants or Respondents, multiple allegations between Parties, or related potential violations of other CSCU policies when the matters arise from the same facts or circumstances and consolidation can be handled fairly.

Following notice, CSCU will determine whether the Complaint or any allegation should be dismissed, closed, or referred to another process. Complaints not dismissed, closed, referred, or resolved through Informal Resolution will proceed to investigation.

There is no mandatory dismissal rule under this Non-Title IX Procedure. CSCU may dismiss or close a Complaint or allegation after an individualized assessment when continued formal resolution is not appropriate or feasible.

A Respondent’s resignation, withdrawal, graduation, or other departure does not automatically result in dismissal or closure. CSCU will make an individualized determination considering its remaining authority, the availability of information, remedial and preventive obligations, the rights and interests of the Parties, applicable law, and other available processes.

Discretionary dismissal or closure may be considered when:

• The Complainant, in writing, requests withdrawal of the Complaint or specified allegations;
• The conduct did not occur within CSCU’s Education Program or Activity
• The Respondent is no longer enrolled in, employed by, affiliated with, or otherwise subject to CSCU’s disciplinary authority;
• Specific circumstances prevent CSCU from gathering sufficient information to make a reliable determination;
• The allegations have been resolved through an Informal Resolution;
• Even if proved, the allegations would not constitute conduct prohibited by BOR Policy 4.13; or

When CSCU dismisses or closes a matter, in whole or in part, after notice of investigation, CSCU will notify the relevant Parties, in writing, stating the discretionary ground, any referral, available appeal, and any continuing Supportive Measures or remedial actions.

Consistent with Sections 14 and 15 of BOR Policy 4.13, for matters involving Reports or Complaints against a Chancellor, Regent, or others subject to any statutory reporting, review, or referral requirement, including those arising under Connecticut General Statutes § 46a-68(d), any referral to the Connecticut Commission on Human Rights and Opportunities (CHRO), the Department of Administrative Services (DAS), or any other governmental authority shall be made by the Civil Rights/Title IX Coordinator as required or permitted by applicable law. Nothing in these Procedures limits CSCU's authority to implement Supportive Measures, preserve evidence, take interim protective actions, restrict access where appropriate, or provide resources and assistance while any external review, referral, or investigation is pending.

Following notice, CSCU will conduct an adequate, reliable, and impartial investigation. CSCU maintains responsibility for gathering sufficient information to determine whether BOR Policy 4.13 was violated, although the Parties are expected to identify and provide relevant information reasonably available to them. The investigation will be conducted using the substantive definitions and standards in BOR Policy 4.13 that apply to the allegations.

The investigator may interview the Parties and witnesses and collect documents, communications, electronic information, photographs, recordings, policies, comparative or statistical information when relevant, and other evidence related to the allegations. CSCU will provide a party whose participation is invited or expected, written notice of the date, time and location, participants and purpose of all meetings or proceedings with sufficient time for the party to participate.

The Parties will have a reasonable and equal opportunity to identify witnesses, submit relevant evidence, respond to material evidence, and be accompanied by an Advisor where permitted. Advisor participation may be reasonably limited if the same restrictions apply to both Parties.

At the conclusion of fact-gathering and before the administrative hearing, CSCU will provide the Parties with at least ten (10) business days to review all relevant and otherwise permissible evidence that will be considered by the decision-maker(s). During this period, the Parties may submit questions, in writing and prior to the Hearing, to the decision-maker(s) which will be reviewed for relevance, impermissibility, lack of clarity and harassment of another party.  The Decision Maker will explain any decision to exclude questions and be given reasonable opportunity to clarify or revise the excluded question(s) prior to the hearing. During this same period, parties may submit a written response for consideration by the decision-maker.

At the conclusion of the fact-gathering, CSCU will schedule an administrative hearing which will be held by a Decision-Maker(s) who will be either a single hearing officer or a hearing panel, at the discretion of CSCU. The Parties, the decision-maker(s), and, where applicable, the Parties’ Advisors will be invited. Further, witnesses may be invited to participate in the hearing if the decision-maker(s) and/or the Parties have relevant questions for the witness(es). The hearing will be recorded or transcribed for review purposes and will be available to Parties, if necessary, for appeal purposes.

At the hearing, the Decision-Maker will ask all relevant questions, including questions submitted by the Parties. Parties and Advisors may not directly question another Party or witness. After the initial questioning period, the Decision-Maker may suspend the Hearing for fifteen (15) minutes to allow Parties reasonable opportunity to consider and submit relevant follow-up questions in writing to the decision-maker for consideration. The decision-maker will reconvene the Hearing to ask all relevant follow-up questions. Any party, advisor or witness may be removed by the Decision-Maker for engaging in disruptive or harmful conduct.

The Decision-Maker may consider a Party’s level of participation in the hearing process. However, a determination that a Respondent violated BOR Policy 4.13 may not be based solely on a Party’s failure to attend, refusal to participate, or refusal to answer particular questions. The Decision-Maker will evaluate the available relevant and otherwise permissible evidence under the preponderance of the evidence standard.

Following the hearing, the decision-maker(s) will review evidence consistent with this procedure and determine whether a policy violation occurred. Within ten (10) business days, the decision-maker(s) will issue a written Notice of Outcome to the parties simultaneously.

The Notice of Outcome will include:

• a description of the allegations;
• a description of the procedural steps taken from the receipt of the Complaint through the determination;
• information about the relevant policies and procedure;
• the decision-maker’s evaluation of the relevant and not otherwise impermissible evidence;
• policy determination(s);
• information on sanctions, referrals, and remedies; and
• information on how to appeal the outcome.

Consistent with state law, the decision-maker(s) will also notify the Chancellor or appropriate president, and any other individual or office, such as Labor Relations, that may need to know the information.

Determinations of responsibility become final upon the outcome of appeal or the expiration of the appeal period.

The audio or audiovisual recording or transcript of the administrative hearing will be made available to the Parties for review consistent with applicable law, privacy requirements, and CSCU procedures. The record/transcript of the hearing will not be provided to Parties or their advisors.

Within ten (10) business days of receipt of the written notice of outcome or notice of dismissal or closure, either Party may submit a written response to the record and/or an appeal. An appeal is limited to exactly the following three grounds:

• Procedural irregularity that affected the outcome of the matter;
• New evidence that was not reasonably available at the time of the determination or dismissal and that could affect the outcome of the matter; and
• The Civil Rights/Title IX Coordinator, investigator, or decision-maker had a conflict of interest or bias that affected the outcome of the matter.

A written response to the record is not an appeal and does not need to identify an appeal ground. CSCU will include a timely written response in the case record. If the submission also requests an appeal, it must identify at least one of the three appeal grounds above and explain how that ground applies.

The non-appealing Party will receive notice of a timely appeal submitted and given reasonable, equal opportunity to submit a written response within five (5) business days. The appeals officer will not be the same person who served as the decision-maker, investigator, or Civil Rights/Title IX Coordinator. CSCU will endeavor to complete an appeal within a reasonably prompt timeframe. Reasonable extensions may be granted for good cause consistent with Section II. A written appeal decision describing the result and rationale will be provided simultaneously to the Parties.

A Party’s decision not to submit a written response to an appeal does not indicate agreement with the appeal or the grounds asserted.

CSCU will maintain records of proceedings under this Procedure for at least seven (7) years, consistent with federal and state law. Records will be kept longer when required by law, CSCU records-retention schedules, collective bargaining obligations, litigation holds, or other institutional requirements. Information will be shared only as permitted or required by law and for legitimate institutional purposes. Nothing in this Procedure limits a person’s right to report to law enforcement, CHRO, EEOC, OCR, or another agency with jurisdiction. An external investigation does not automatically require CSCU to suspend its response.

Complaints subject to Sections 14 and 15 of BOR Policy 4.13 will be addressed in accordance with those Sections and any applicable implementing protocol.