BOR Policy 4.13 Title IX Prohibited Conduct Resolution Procedures

This Procedure applies to allegations that could constitute Title IX Prohibited Conduct under Section 7.4 of BOR Policy 4.13 and satisfy the Title IX jurisdictional requirements in Section 6. The definitions of Title IX Prohibited Conduct are stated in BOR Policy 4.13 and are not repeated here.

Allegations that do not meet the Title IX definition or jurisdictional requirements may be addressed under the Non-Title IX Prohibited Conduct Resolution Procedure or another applicable CSCU process. The Civil Rights/Title IX Coordinator will determine the appropriate procedure after an initial assessment. The substantive Policy definitions and standards that apply are determined under the Applicability provision in Section 6 of BOR Policy 4.13. Unless otherwise required by law, CSCU will use the procedures in effect when a Complaint or Formal Complaint is filed or initiated, as applicable.

• CSCU will treat Complainants and Respondents equitably throughout the
• The Respondent is presumed not responsible unless and until responsibility is established by the preponderance of the evidence.
• The burden of proof and the burden of gathering evidence sufficient to reach a determination rest on CSCU, not the Parties.
• Any Civil Rights/Title IX Coordinator, investigator, decision-maker, appeal decision-maker, or Informal Resolution facilitator must be free from conflict of interest or bias for or against Complainants or Respondents generally or an individual Party.

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. If a Party does not obtain an Advisor, CSCU will assign an Advisor for the purpose of cross-examination during the live hearing. Advisors may not participate in the proceedings in lieu of the Party. The Advisor must maintain respectful and professional decorum in all proceedings; failure by the 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. If an Advisor is excluded from participation in the hearing, CSCU will appoint an Advisor for the Party.

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

Upon receiving a Report that may involve Title IX Prohibited Conduct, the Civil Rights/Title IX Coordinator will promptly contact the Complainant about Supportive Measures and the Formal Complaint process. The Civil Rights/Title IX Coordinator will offer and coordinate Supportive Measures as appropriate and reasonably available, whether or not a Formal Complaint is filed. Supportive Measures are individualized, non-disciplinary, non-punitive services provided without fee or charge and are governed by 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.

Nothing in this Procedure prevents emergency removal after an individualized safety and risk analysis establishes the immediate threat required by applicable Title IX law, with notice and an opportunity to challenge the decision immediately following removal. CSCU may place a non-student employee Respondent on administrative leave consistent with applicable law, collective bargaining agreements, and CSCU policy.

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 will take reasonable steps to protect privacy consistent with BOR Policy 4.13 and applicable law. These steps will not restrict the ability of Parties to obtain and present evidence, including by speaking to witnesses; consult with their family members, confidential resources or advisors; or otherwise prepare for or participate in the process outlined in these procedures. Retaliation is prohibited. Parties remain responsible for complying with separate obligations under BOR Policy 5-06, Reporting Suspected Abuse or Neglect of a Child, when applicable.

CSCU is committed to the prompt and thorough resolution of Formal Complaints under BOR Policy 4.13. CSCU will typically complete investigations within sixty (60) business days of receipt of a Formal Complaint. At the conclusion of the investigation, the Parties will receive an electronic or physical copy of all relevant and directly related evidence. The Parties will have ten (10) business days to review the evidence and submit additional evidence or a written response. After the evidence-review period, the Parties will have an additional ten (10) business days to review the final investigative report and submit a written response to the decision-maker. The hearing will not be scheduled until after the ten (10) business day investigative-report review period expires.

This Procedure allows reasonable extensions of timeframes on a case-by-case basis for good cause. Good cause may include but is not limited to: 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 to all determinations regarding responsibility under this Procedure. The decision-maker will objectively evaluate relevant evidence and determine whether it is more likely than not that a violation occurred.

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 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 an 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.

To initiate this Procedure, a Formal Complaint must be filed. Formal Complaints must:

• be a written request for an investigation;
• be signed or otherwise authenticated by the Complainant in a manner indicating that the Complainant is the person filing the Formal Complaint, or be signed by the Civil Rights/Title IX Coordinator;
• not be anonymous;
• identify the Respondent; and
• contain allegations that reasonably constitute Title IX Prohibited Conduct under Section 4 of BOR Policy 4.13.

A Formal Complaint may be filed with the Civil Rights/Title IX Coordinator in person, by mail, or by electronic submission in a manner designated by CSCU. When the Complainant does not wish to file a Formal Complaint, the Civil Rights/Title IX Coordinator may sign one when initiating the grievance process is appropriate under applicable law and BOR Policy 4.13. Signing a Formal Complaint does not make the Coordinator a Complainant or Party and does not constitute prejudgment of responsibility.

For purposes of this Procedure, the Complainant must be participating in or attempting to participate in CSCU’s Education Program or Activity at the time the Formal Complaint is filed, as required by applicable Title IX law.

After a Formal Complaint is filed or signed, the Civil Rights/Title IX Coordinator will conduct an initial assessment of the allegations, Parties, Title IX jurisdiction, applicable procedure, Supportive Measures, and possible consolidation.

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.

After a Formal Complaint is filed and before a determination regarding responsibility, CSCU may offer Informal Resolution when permitted by law. Informal Resolution may proceed only with the approval of the Civil Rights/Title IX Coordinator and the voluntary, written consent of each Party. CSCU will provide written notice of the allegations and the requirements of the Informal Resolution process before obtaining consent. 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 differences, repeated or patterned conduct, collective bargaining requirements, or other relevant circumstances, and may return the matter to the formal grievance process. A Party may withdraw before a final resolution is reached and return to the formal grievance process. Informal Resolution is not available for allegations that an employee engaged in Title IX Sexual Harassment against a student or when otherwise prohibited by applicable Title IX law. 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 III.

Upon receipt of a Formal Complaint, CSCU will provide the known Parties a written Notice of Allegations with sufficient time for the Respondent to prepare before any initial interview. The notice will describe this grievance process and any Informal Resolution process; identify the Parties, if known; describe the alleged Title IX Prohibited Conduct; and provide the date and location of the alleged incident, if known. The notice will state that the Respondent is presumed not responsible and that responsibility is determined at the conclusion of the grievance process. It will also explain the Parties’ rights to an Advisor and to inspect and review evidence and identify any applicable CSCU provision prohibiting knowingly false statements or information during the grievance process. If CSCU later investigates additional allegations, CSCU will provide supplemental written notice with sufficient time for the Parties to prepare before an initial interview concerning those allegations.

CSCU may consolidate Formal Complaints or related allegations of Title IX Prohibited Conduct involving multiple Complainants or Respondents or multiple allegations between Parties when they arise from the same facts or circumstances, when permitted by law and when consolidation can be accomplished fairly. CSCU may also consolidate Reports and Complaints under this procedure to investigate and adjudicate any potential violation under BOR 4.13 as well as any other applicable CSCU policy arising out of the same facts and circumstances.

Following notice, CSCU will determine whether the Formal Complaint or any allegation must or may be dismissed from the Title IX grievance process or referred to another CSCU process. Allegations not dismissed or resolved through Informal Resolution will proceed to investigation.

Dismissal under this Section applies only to the Title IX grievance process. It does not determine whether the alleged conduct occurred and does not prevent CSCU from addressing the same conduct under another applicable process.

a.    Mandatory Dismissal

CSCU must dismiss a Formal Complaint, or the affected allegations within a Formal Complaint, from the Title IX grievance process if any of the following is true:

• Even if proved, the conduct alleged would not constitute Title IX Prohibited Conduct under Section 7.4 of BOR Policy 4.13;
• The alleged conduct did not occur within CSCU’s Education Program or Activity for purposes of Title IX; or
• The alleged conduct did not occur against a person in the United States.

When a mandatory ground applies only to some allegations, CSCU will dismiss only those allegations from the Title IX grievance process and determine whether the remaining allegations may continue. Dismissed allegations will be assessed for resolution under the Non-Title IX Procedure or another applicable CSCU process.

b.    Discretionary Dismissal

CSCU may, but is not required to, dismiss a Formal Complaint or one or more allegations if, at any time during the investigation or hearing:

• The Complainant notifies the Civil Rights/Title IX Coordinator in writing that the Complainant wishes to withdraw the Formal Complaint or specified allegations;
• The Respondent is no longer enrolled in or employed by CSCU; or
• Specific circumstances prevent CSCU from gathering sufficient evidence to reach a determination regarding the Formal Complaint or specified allegations.

CSCU will make an individualized determination before dismissing a Formal Complaint or allegation on a discretionary basis. A Respondent’s resignation, withdrawal, graduation, or other departure does not automatically result in dismissal.

c.    Notice, Appeal, and Referral

CSCU will promptly provide written notice of a dismissal and the reasons for it simultaneously to the Parties. The notice will state whether the dismissal is mandatory or discretionary, identify the specific ground relied upon, explain any referral, and describe appeal rights. When appropriate, CSCU will transition the matter to the Non-Title IX Procedure without requiring a new Report. Supportive and remedial measures may continue.

When CSCU receives a Formal Complaint that is not otherwise subject to dismissal, referral or closure, CSCU will initiate an investigation. CSCU will conduct an adequate, reliable, and impartial investigation. The burden is on CSCU, not the Parties, to gather sufficient evidence to reach a determination. CSCU maintains full authority to determine whether certain evidence or witnesses are necessary to conduct a thorough investigation. CSCU will provide a party whose participation is invited or expected, written notice of the date, time, location and purpose of all meetings and proceedings with sufficient time for the party to prepare to participate. The Parties will have equal opportunities to present fact and expert witnesses and other evidence, discuss the allegations, receive notice of meetings, and be accompanied by an Advisor.

Before completing the investigative report, CSCU will send each Party and the Party’s Advisor, if any, the evidence directly related to the allegations obtained as part of the investigation. The Parties will have at least ten (10) business days to submit a written response, which the investigator will consider before completing the report.

The investigator will prepare an investigative report that fairly summarizes relevant evidence. CSCU will send the report to each Party and Advisor, if any, at least ten (10) business days before the hearing for review and written response. The report does not constitute a determination of responsibility.

For all live hearings conducted under this procedure:

• The hearing will be conducted by a Decision-Maker who is not the Civil Rights/Title IX Coordinator, investigator, or any person who otherwise participated in the investigation of the allegations. The Decision-Maker may consist of a single Hearing Officer or a Hearing Panel, at CSCU's discretion. When a Hearing Panel is utilized, one member shall serve as Hearing Chair.
• CSCU will provide a live hearing before the Decision-Maker.
• At the request of either Party, the hearing will be conducted with the Parties located in separate rooms using technology that enables all participants to simultaneously see and hear one another.
• CSCU may conduct the hearing virtually, provided the technology permits the hearing to proceed in real time and allows participants to simultaneously see and hear one another, as applicable.
• The Hearing Officer, Hearing Chair, or Hearing Panel will open the proceedings and shall maintain order, establish reasonable procedures for the hearing, and determine the relevance of questions and evidence.
• The Parties may present brief opening statements.
• The Decision-Maker may question the Parties and witnesses.
• Each Party's Advisor may ask the other Party and witnesses relevant questions and follow-up questions, including questions challenging credibility. Parties may not act as their own Advisor.
• Cross-examination must be conducted directly, orally, and in real time by the Advisor and not by a Party personally.
• Before a Party or witness answers a question posed during cross-examination, the Decision-Maker shall determine whether the question is relevant and explain any decision to exclude a question as not relevant.
• The Decision-Maker may exclude irrelevant, duplicative, or abusive questioning and may impose reasonable limits necessary to maintain order and efficiency during the hearing.
• Questions and evidence about a Complainant's sexual predisposition or prior sexual behavior are not relevant except to the extent permitted by applicable law and this Procedure.
• A Party or witness may choose not to attend the hearing, may decline to participate, or may refuse to answer some or all questions.
• The Decision-Maker will not draw an inference regarding responsibility solely from a Party's or witness's absence from the hearing or refusal to answer questions.
• The Decision-Maker shall consider statements and evidence, including statements of Parties and witnesses who do not submit to cross-examination, only to the extent permitted by applicable law governing the hearing at the time it is conducted.
• CSCU will create and maintain an audio recording, audiovisual recording, transcript, or other record of the hearing and will make such record available for inspection and review as required by this Procedure and applicable law.

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

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 live hearing will be made available to the Parties for inspection and review consistent with applicable law, privacy requirements, and CSCU procedures.

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

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

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 the appeal and a reasonable, equal opportunity to submit a written response to the appeal within five (5) business days. The appeals officer will not be the same person who served as the initial 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 III. 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 the records required by Title IX and other applicable law for seven (7) years. These records include each investigation; determination regarding responsibility; hearing audio or audiovisual recording or transcript; disciplinary sanctions; Remedies provided to the Complainant; appeals and appeal results; Informal Resolutions and results; records of Supportive Measures and the basis for institutional responses; and training materials for Civil Rights/Title IX Coordinators, investigators, decision-makers, appeal decision-makers, and Informal Resolution facilitators. CSCU will make training materials publicly available on its website to the extent required by applicable Title IX law.

Records will be maintained consistent with federal and state law, CSCU retention requirements, collective bargaining obligations, litigation holds, and 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 a special external process under Sections 14 and 15 of BOR Policy 4.13 will be addressed in accordance with those Sections and any applicable implementing protocol.