Conducting Fair and Thorough Trauma-Informed Investigations

Conducting Fair and Thorough TraumaR Informed Investigations E August 2022

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Chantelle Cleary Botticelli, J.D.

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About Us

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U Vision Mission L O S We exist to help create Bring systemic change to safe and equitable work how school districts and R and educational institutionsEof higher environments.

V address their I education CleryR Act & Title IX obligations.

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Core Values

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Responsive Partnership

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Innovation

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Accountability

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Transformation

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Integrity

Meet Your Facilitators

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N A Chantelle Cleary Botticelli, J.D. R She/Her/Hers G Director of Strategic Partnerships and Client Relations

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Pari Le Golchehreh She/Her/Hers Senior Solutions Specialist

Meet Your Facilitator

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Meet Your Facilitator

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N A She/her/hers R G Director of Strategic

Chantelle Cleary Botticelli, J.D.

Partnerships and Client Relations

Chantelle Cleary Botticelli is a nationally-recognized subject-matter expert in Title IX and related fields.

She has more than 15 years of experience in the investigation and adjudication of sexual and interpersonal violence. She lectures extensively at universities and conferences throughout the U.S. on Title IX, VAWA, harassment, and implementation of best and emerging practices. Prior to joining Grand River Solutions, Chantelle served as the Director for Institutional Equity and Title IX at Cornell University, and before that as the Assistant Vice President for Equity and Compliance and Title IX Coordinator at the University at Albany. In these roles, she provided direct, hands-on experience in the fields of Title IX, civil rights, employment law, and workplace and academic investigations. Her responsibilities included focusing on diversity efforts, sexual assault prevention and training, affirmative action, and protecting minors on campus.

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Day One Agenda

Title IX’s Requirements

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The Proper Application of Trauma Informed Practices

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U L O SThe Importance of Understanding

the Potential Impact of Trauma R E V

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Developing an Investigative Strategy

Investigative Interviews: Part 1

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U L O Title IX’s Requirements S R E V I R D N A R G

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I Title IX of the Education R Amendments Act of 1972 D N A R G

"No person in the United States shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any education program or activity receiving Federal financial assistance.” 20 U.S.C. § 1681 (1972).

The Title IX Regulations S Sexual Harassment Only

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O I 1. Narrows theT definition of sexual U harassment; L O 2. Narrows the scope of the institution's S educational program or activity; R 3.E Narrows eligibility to file a complaint; V4. Develops procedural requirements for I R the investigation and adjudication of sexual harassment complaints, only.

Title IX Application Post May S2020 Regulations N Ed Program or Activity

Type of Conduct •

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Hostile Environment Sexual Harassment Quid Pro Quo Sexual Assault Dating/Domestic Violence Stalking

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On campus Campus Program, Activity, Building, and In the United States

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Required Identity •

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Complainant is participating or attempting to participate in the Ed Program or activity Institution has control over Respondent

Apply 106.45 Procedures Required Response: Section 106.45 Procedures

S Procedural Requirements for Investigations N O I T

Notice TO BOTH PARTIES

Equal opportunity to present evidence

An advisor of choice

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Written notification of meetings, etc., and sufficient time to prepare

Opportunity to review all directly related evidence, and 10 days to submit a written response to the evidence prior to completion of the report

Report summarizing relevant evidence and 10 day review of report prior to hearing

Notice Requirements Notice of the allegations, including sufficient details known at the time and with sufficient time to prepare a response before any initial interview. Sufficient details include:

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the identities of the parties involved in the incident, if known,

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the conduct allegedly constituting sexual harassment under § 106.30, and the date and location of the alleged incident, if known.

The written notice must include a statement that the respondent is presumed not responsible for the alleged conduct and that a determination regarding responsibility is made at the conclusion of the grievance process.

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The written notice must inform the parties that they may have an advisor of their choice, who may be, but is not required to be, an attorney, under paragraph (b)(5)(iv) of this section, and may inspect and review evidence under paragraph (b)(5)(vi) of this section.

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The written notice must inform the parties of any provision in the recipient’s code of conduct that prohibits knowingly making false statements or knowingly submitting false information during the grievance process

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Advisor of Choice During the S Investigation N

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The advisor can be anyone, including an attorney or a witness.

Institutions cannot place restrictions on who can serve.

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Institutions can create rules and guidelines for participation in the investigation

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No specific training required.

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S N IO Written Notification of TMeetings and Sufficient Time toLUPrepare O S R E V I R D N A R G

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I Equal Opportunity to R D Present Evidence N A G

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Evidence Review U L O S

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Parties must have equal opportunity to inspect and review evidence obtained as part of the investigation that is directly related to the allegations raised in a formal complaint.

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D 10 days to provide a written response.

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Investigative Report and Review S

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After reviewing and considering the comments on the evidence, the investigator will generate a report that summarizes the relevant evidence.

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That report will be shared with the parties and the parties will have another opportunity to respond in writing.

I The hearing mustR occur at least 10 days after the release of the final report. D N A R G

“Directly Related” and “Relevant Evidence”

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Regulations do not define “Directly Related” Evidence.

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Directly Related Evidence

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Preamble states it should be interpreted using its plain and ordinary meaning.

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Term is broader than:

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• “all relevant evidence” as otherwise used in Title IX regulations, and • “any information that will be used during informal and formal disciplinary meetings and hearings” as used in Clery Act Includes evidence upon which the school does not intend to rely in reaching a determination regarding responsibility and inculpatory or exculpatory evidence whether obtained from a party or other source.

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The Department declines to define “relevant”, indicating that term “should be interpreted using [its] plain and ordinary meaning.”

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“Relevant” Evidence

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See, e.g., Federal Rule of Evidence 401 Test for Relevant Evidence:

“Evidence is relevant if: • (a) it has any tendency to make a fact more or less probable than it would be without the evidence; and • (b) the fact is of consequence in determining the action.”

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“Questions and evidence about the complainant’s sexual predisposition or prior sexual behavior are not relevant,

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• unless such questions and evidence about the complainant’s prior sexual behavior are offered to prove that someone other than the respondent committed the conduct alleged by the complainant, or • if the questions and evidence concern specific incidents of the complainant’s prior sexual behavior with respect to the respondent and are offered to prove consent.”

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“require, allow, rely upon, or otherwise use questions or evidence that constitute, or seek disclosure of, information protected under a legally recognized privilege, unless the person holding such privilege has waived the privilege.”

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Physical and mental health records and attorney-client privileged communications would fit within scope of this prohibition.

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Who Decides?

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Department emphasizes repeatedly in Preamble that investigators have discretion to determine relevance at this stage of the process.

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• Subject to parties’ right to argue upon review of “directly related” evidence that certain information not included in investigative report is relevant and should be given more weight.

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Investigators will have to balance discretionary decisions not to summarize certain evidence in report against:

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• Each party’s right to argue their case, and • Fact that decisions regarding responsibility will be made at hearing, not investigation stage.

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N The Investigator O I T U L O S R E V I R

Can be the Title IX Coordinator, although that is disfavored.

The Investigator may not be a decision maker.

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Must be trained in accordance with the requirements in the regulations.

Must conduct the investigation in an impartial manner, avoiding bias/pre-judgment, and conflicts of interest.

The Requirement of Impartiality

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Section 106.45(b)(1)(iii)

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U L The grievance process must require that any individual designated by the recipientS asO Title IX Coordinator, investigator, decisionR maker, or facilitator of informal resolution E not to have a V I conflict of interest or bias R D N A R G

1. For or against complainants or respondents generally, or 2. An individual complainant or respondent

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What Constitutes Bias?

Conduct a fact-specific, objective inquiry based in common sense to determine bias.

Includes:

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• Decision-making that is grounded in stereotypes • Different treatment based on a person’s sex or other protected characteristic • A decision based on something other than the facts

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O I Impermissible T U Bias L

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Making a decision, determination, or finding that is based on something other than the evidence and specific facts of the case.

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Avoiding Prejudgment S N of the Facts IO

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Requires that the Title IX professional refrain from making a judgement on individual facts, the allegations, or whether a policy violation occurred until they have had the opportunity to consider all of the evidence.

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An Impartial Investigation is… S

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U L Not influenced by bias or conflict of interest.O S R Committed to decisions based on anEobjective view of the facts and V I evidence as you know them and as they evolve.

R D N Truth seeking, not ”your truth” confirming.

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Trauma Informed Practices

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In the preamble, the Department permits the use of trauma informed practices and recognizes that trauma informed practices can be used in an impartial and non-biased manner.

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R E Trauma informed practices V

must be applied equally to all genders.

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U The Proper Application of L O Trauma Informed S Practices 02

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S Trauma N informed O I practices T U provide L tools/techniques O S Format of Questions for interviewing R and engaging E V I with the R Complainant, D Respondent, and N A Approach to Clarification Witnesses.

R Format/Structure of the Interview

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Encourage thorough and complete investigations

Assist with recollection

Assist with recounting

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Reduce potential for false information

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Minimize unnecessary retraumatization

Reduce Bias

Misapplication of Trauma Informed Practices

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It is a misapplication of trauma informed principles to allow potential evidence of trauma to:

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U L O S 1.Influence the interpretation of a

specific item of evidence; 2.Substitute for missing evidence; 3.To serve as a justification for not doing a full and thorough investigation; 4.Cause a biased belief in the veracity of one or more party.

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The Importance of IO T U Understanding the L O Potential Impact S of Trauma

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Trauma

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U L An event that is experienced as O terrifying, horrifying,S or threatening R and that is coupled with an actual or E V I perceived R lack of control.

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Examples of Events that Might Trigger a S Traumatic Response N

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U Physical L Assault Physical Assault by anO Intimate Sexual Assault A Car Accident by a Stranger SPartner R E V I Accident that RRobbery Significant causes serious medical event injury or death D N A R G

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When trauma occurs, there are very U L real changes in brain function that may O S affect a person’s ability to make R E recount their memory andVto I experience.

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Common Characteristics of Disclosures by a Trauma Brain

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Inconsistent

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Non-linear Fragmented Lack of detail New information

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Affect is unexpected

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Historically, the seemingly inconsistent behaviors that frequently accompany disclosures of sexual assault and interpersonal violence resulted in the belief that the victim was being dishonest.

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Inconsistencies Inconsistencies Lack of Detail Lack Detail Non-Linear Fragmented Fragmented New New Information Information

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Not Credible

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The Historical Conclusion…

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False Report Regretted Sex Not Provable

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Investigation CLOSED

When an S N investigator O I T uses “trauma U L informed” O S tools, they R E are less likely V I R to: D CONCLUDE, WITHOUT A THOROUGH INVESTIGATION, THAT THE REPORTING INDIVIDUAL IS NOT CREDIBLE

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CAUSE ADDITIONAL HARM

ASK QUESTIONS OR MAKE DECISIONS FOUNDED IN BIAS

JEOPARDIZE FUTURE REPORTING

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An understanding of trauma and its potential impact should encourage investigators to keep an open mind, and it should prevent investigators from immediately interpreting seemingly inconsistent behaviors with deception. An understanding of trauma provides another explanation for these seemingly inconsistent behaviors.

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The Future

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This is essential to a fair and thorough investigation.

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When presented with the following characteristics in a disclosure,

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U L Inconsistencies O Lack of DetailS Non-Linear R Fragmented E V New Information I R D

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An investigator who understands trauma will....

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Continue their investigation.

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U Developing an Investigative L O Strategy S 04

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Review Notice of Allegations and Formal Complaint

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Initial Interviews

Essential Steps of an Investigation

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Evidence Collection

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Evidence Review

Additional Evidence Collection/Follow Up Interviews

Report Writing

Sthe Understand the Scope of N Investigation IO

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Review the Notice of Allegations and the Formal Complaint

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Ask questions if unsure

S Identify the Claims and N What Needs to be Proven IO T U

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L What will the decision maker be asked to decide?

O S R What does the formal complaint allege?

E V I What are the elements R of each act of prohibited conduct alleged?D N A R G

Rape. The penetration, no matter how slight, of the vagina or anus, with any body part or object, or oral penetration by a sex organ of another person, without the consent of the victim.

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U L O 1. Did Respondent penetrate Complainant’s vagina or anus?

S 2. Without Complainant’s affirmative consent?

Rconsent 1. What is the ground for lackEof 1. Did respondent fail Ito Vseek and obtain Complainant’s affirmative consent?

R 2. Did Respondent force Complainant?

D 3. Did Respondent coerce Complainant?

N 4. Was Complainant incapacitated and therefore incapable of A R consent?

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Stalking. Engaging in a course of conduct directed at a specific person that would cause a reasonable person to: Fear for the person’s safety or the safety of others; or Suffer substantial emotional distress.

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U L Did Respondent engage in a course of conduct?

O S Was that course of conduct directed at Complainant?

R E Would Respondent’s conduct cause a reasonable person V I to either R Fear for their safety or Dthe safety of others, or Suffer substantial N emotional distress A R G

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The Process S Developing an Investigative Strategy Receive Report

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U L Develop a timeline O S R IdentifyE Witnesses V I R Identify D Potential Evidence N A RDevelop Strategy to Collect Evidence

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Investigation Timeline Incident

Prior History •

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Between the Parties?

Of the Parties?

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D Pre-Incident N • Communications?

A R • Interactions?

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Consent?

Type of Contact?

Injuries?

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Post Incident • Behaviors?

• Communications?

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The Importance R E of Organization IV R D N A R G

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U L O Investigative Interviews S R E V I R D N A R G

Interview Objectives

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Connect

Listen

Build rapport

Allow interviewee to share their experience

Build trust

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Empower

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U L O S Clarify

S Evidence Preservation

Understand what you have heard

Text Messages

Seek additional information

Names and contact info for witnesses

Photographs

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Secure an appropriate meeting location

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Allow for enough time to conclude the meeting If interviewing a party, inform them of their right to have an advisor present.

Prior to the Interview

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Prepare for the meeting Provide Written Notice of the Meeting

Areas of focus?

Other evidence?

Go back review what you have

Advise the parties/witnesses that you will be collecting evidence

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What they should expect of you

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• That you are neutral • That you will listen, what they are saying is important to you • That you will keep the information they share private • What you will do with recording/notes • That you may have to ask difficult questions • Patience, respect, and appreciation • This will not be their only opportunity to speak with you • Prepare the parties for follow up interviews and the “shift”

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Set Expectations

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What you expect of them

• Honesty • That they will seek clarity if needed (give them permission to do so) • That they wont guess or fill in blanks

How do we…

Build Rapport and Trust?

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Empower?

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Rapport and Trust

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Exhibiting Expertise

Clear Introduction

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Exhibiting Empathy

Preparedness

Transparency

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Empowerment

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Duration

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Permission to ask questions

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Space

Clear Expectations

Permission to seek clarity

Investigative Interviews

Start by eliciting a narrative

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Interview for clarification

Listen

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Listen

S Avoid leading questions, questions that blame; interrogating

Start the interview by eliciting aSnarrative…

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Help me understand your experience?

N A What are you able to tell R G me about your experience?

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O I Start where you are T comfortable and share what U L able to remember. you are O S

Allow the person to speak uninterrupted.

This takes patience.

Next, ask questions that are intended to clarify and more deeply explore the information and details provided by the person in their narrative.

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Do Ask: • Interview for clarification • Help me understand?

• Can you tell me more about…?

• Is there anything else you can share about…?

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O I Avoid: T U L O S• Interrogation

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• Questions that imply doubt • Leading questions

Capture the Entire Experience

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• Ask about the physical and emotional reactions to the incident.

• Conclude with very open-ended questions: • What was the most difficult part of this experience for you?

• Is there something that stands out/that you just can't stop thinking about?

• Is there anything more that you would like me to know?

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The Before IO T

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U L O At some point during the interview, it is also S important to explore the prior history, if any, R E between the complainant and the respondent, V I and the history R of the parties, individually.

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And The After

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It is also important to explore the events following the U L incident. Oftentimes, the best evidence is produced O S after the incident.

R E • The parties’ psychological reactions V I R • Changes in behavior D reaction • Witnesses to the psychological N • “Has anyone expressed concern about you since the assault?”

A R • Communication/contact between the complainant and respondent G

Meet Your Facilitator

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Meet Your Facilitator

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Pari Le Golchehreh

N A She/her/hers R G Senior Solutions Specialist

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Pari Le Golchehreh is a Senior Solutions Specialist at Grand River Solutions and has extensive experience in Title IX and Equity work on college campuses. Prior to joining Grand River, Pari served as the Equity and Title IX Office’s Lead Investigator at California Institute of Technology where she developed a deep expertise in leading investigations, trained campus community members, and facilitated mediated conversations and remedy-based resolutions. Pari is a certified mediator, and is skilled in aiding parties to resolve disputes in a trauma informed and collaborative manner.

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Day Two Agenda

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Investigative Interviews (continued)

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U L O Evidence Collection and S Assessment

The Investigative Report and Record

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Quick Review!

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U Investigative Interviews: L O Continued S 01

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How much did you drink? What they hear: this is your fault because you were drinking.

Explain your questions, especially the difficult ones.

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Do not ask leading questions.

Throughout the Interview

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Do not rush.

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Watch your tone.

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LISTEN!!!!!!!!!

Pay attention to and document information that might lead to additional evidence.

Document questions asked. Especially when a response is not provided.

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Discuss submission of evidence.

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Explain statement review process.

At the Conclusion of the Interview

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Explain next steps in the process.

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Keep the lines of communication open.

Review available support, privacy requirements, and prohibition against retaliation.

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Memorialize the Interview in writing.

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Notes Summary Transcript

Provide opportunity for the party or witness to review it.

After the Interview: Actions

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Provide opportunity for party or witness to provide a response.

Incorporate the response.

A Note About Witness Summaries

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O I The reader of any report should not know of the investigator’s T U presence in the report; for example, report should not say “I then L asked . . .”

O S R E Use interviewee’s words Iand V put the words in quotes if it is their words R D N A Avoid conclusory words, or words that suggest that the investigator R about the information offered has an opinion G

Reflect.

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Is there something you missed or forgot to ask?

After the Interview: Reflection

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Do you need clarity on any of the information shared?

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Has this interview revealed additional evidence that you want to explore or collect?

Has evidence of additional policy violations been shared?

Follow Up Interviews

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Seek clarification

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U L inconsistencies Explore O S R Explore contradictory evidence E V Explore difficult issues

Opportunity to respond

Follow Up Interview Approach S

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R Set the stage E Prepare the V I for the topics interviewee for R you will be “the shift.”

D covering.

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Explain the purpose of the follow up.

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4 Do not avoid asking the hard questions.

Details about the sexual contact

The “Hard” Questions

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Seemingly inconsistent behaviors

Inconsistent evidence/information

What they were wearing

Alcohol or drug consumption

Probing into reports of lack of memory

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Lay a foundation for the questions.

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How to U L O Ask the S R E Hard V I R Questions D N

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• Explain why you are asking it • Share the evidence that you are asking about, or that you are seeking a response to

Be deliberate and mindful in your questions:

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• Can you tell me what you were thinking when….

• Help me understand what you were feeling when…

• Are you able to tell me more about…

S Quinn?

What Questions Do You Have N for

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Casey and I have been friends for a few weeks. On Friday night, we were hanging out alone in my room, watching a movie. We started to make out, and I was ok with that. After making out for a while, Casey started touching me down there. Then Casey tried to have sex with me. Casey knew that I didn’t want to have sex but kept trying anyway. Casey was being really coercive, and so I just went along with it. Casey raped me and I want Casey to be held accountable.

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S What Questions Do You HaveNfor Barri?

O I T U L When I got to the party, I was already lit. I kept letting O Marc get me drinks anyway. AtSsome point, I just kinda R don’t remember anything.

And then I woke up in E Marc's bed and it was morning.

I had all my clothes on, V I but I know someone R had sex with me. I could feel it. I just wanted to go,D so I did. Before I left Marc woke up N and tried to talk to me but I wasn’t hearing it. He A looked guilty and R I could tell he felt bad G

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S Colin?

What Questions Do You HaveNfor

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Pat and I have been together for about a month and have been intimate for the last two weeks. We went out with my friends on friday night and Pat got really drunk. At some point we ran into my ex and Pat was really jealous, so we left. When we got back to my place, I thought things were fine. We started hooking up and all of a sudden Pat's mood changed. Pat got really aggressive and choked me. He was so angry and I was so scared.

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U Evidence Collection and L Assessment SO 02

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Evidence

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“Something (including testimony, documents, tangible objects) that tends to prove or disprove the existence of an alleged fact; anything presented to the senses and offered to prove the existence or nonexistence of a fact.”

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Black’s Law Dictionary

Direct Evidence

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• Evidence that is based on personal knowledge or observation and that, if true, proves a fact without inference or presumption.

Types of Evidence

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Circumstantial Evidence

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• Evidence based on inference and not on personal knowledge or observation.

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Corroborating Evidence

• Evidence that differs from but strengthens or confirms what other evidence shows Black’s Law Dictionary

Evidence Testimony

Surveillance

Text Messages

Videos

Social Media Posts and messages

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Emails

R Photographs E V

Police Body Camera Footage

Phone Records

Audio Recordings

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D Medical N Swipe Records Records A R G

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Evidence Collection

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O I T

Identify the items of evidence that you would like to obtain.

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Develop an intentional strategy for obtaining that evidence.

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Overcome barriers to evidence collection.

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Considerations about collecting certain types of evidence.

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O I A Thorough T U L O Investigation S R E is more thanIV evidence collection R D N A R G

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Evaluating the Evidence

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N Is the evidence important, or of consequence, to the O fact-finding process?

I T U Is it authentic? L O Is the item what it purports S to be?

R E Is it credible/reliable?

V I R and can the decision maker rely on it?

Is the evidence worthy of belief D N What weight, if any, should it be given?

A R How important is the evidence to the fact-finding process?

G Is it relevant?

A Thorough Investigation Permits the S Decision Maker to Assess N

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Relevance

D Reliability

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Credibility

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Authenticity

Weight

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“Relevant” Evidence

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The Department declines to define “relevant”, indicating that term “should be interpreted using [its] plain and ordinary meaning.”

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See, e.g., Federal Rule of Evidence 401 Test for Relevant Evidence:

“Evidence is relevant if: • (a) it has any tendency to make a fact more or less probable than it would be without the evidence; and • (b) the fact is of consequence in determining the action.”

Evidence That is Not “Relevant” S

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U L O S

“Questions and evidence about the complainant’s sexual predisposition or prior sexual behavior are not relevant,

• unless such questions and evidence about the complainant’s prior sexual behavior are offered to prove that someone other than the respondent committed the conduct alleged by the complainant, or • if the questions and evidence concern specific incidents of the complainant’s prior sexual behavior with respect to the respondent and are offered to prove consent.”

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R E V

“require, allow, rely upon, or otherwise use questions or evidence that constitute, or seek disclosure of, information protected under a legally recognized privilege, unless the person holding such privilege has waived the privilege.”

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Physical and mental health records and attorney-client privileged communications would fit within scope of this prohibition

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Assessing Relevance Why Does it Matter?

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O I Unsure about the relevance about a particular item of T U evidence? Ask the person who has proffered it.

L O Character Evidence S R E V I Polygraph evidence R D Opinion EvidenceN A R G

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O I Opinion Evidence T U L O S

Opinion Evidence: Try it! ON

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You are investigating an allegation that Casey had sex with Taylor when Taylor was incapacitated. You interview several witnesses, one of whom made the following statement:

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“I got to the party pretty late, and Taylor was already lit.”

D “Taylor was wasted. Like totally messed up. There is no N way they could have given permission for sex” A R G

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Assessing Authenticity Investigating the products of the Investigation

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I R Never assume that an Ask questions, request D proof. item of evidence is N authentic.

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Investigate the authenticity if necessary.

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Is it authentic?

QUESTION THE PERSON WHO OFFERED THE EVIDENCE

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HAVE OTHERS REVIEW AND COMMENT ON AUTHENTICITY

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REQUEST ORIGINALS

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OBTAIN ORIGINALS FROM THE SOURCE

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ARE THERE OTHER RECORDS THAT WOULD CORROBORATE?

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No formula exists, but consider the following:

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Opportunity to view

Assessing Credibility and Reliability

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Ability to recall Motive to fabricate Plausibility Consistency

Character, background, experience, and training Coaching Bias

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Non-Participating Parties

Barriers to Evidence Collection

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N Uncooperative Witnesses O I T U Uncooperative L Advisors O IdentitySof party or witness unknown R E V to share materials I Refusal R

Materials lost or no longer accessible Difficult topics

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The InvestigativeLUReport and Record SO

03

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At the conclusion of the investigation, we must create an investigative report that fairly summarizes relevant evidence.

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Relevancy Standard Relevant Evidence • “Evidence is relevant if: • (a) it has any tendency to make a fact more or less probable than it would be without the evidence; and • (b) the fact is of consequence in determining the action.”

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N Irrelevant O Evidence I T • Prior sexual history of U L complainant, with two O exceptions S

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• Legally recognized and unR E waived privilege.

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• Records related to medical, psychiatric, psychological treatment

Who Decides?

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U Department emphasizes repeatedly in PreambleLthat investigators have O discretion to determine relevance S R E V I R Investigators will have to balance discretionary decisions not to summarize certain evidence D in report against: N A R G • Subject to parties’ right to argue upon review of “directly related” evidence that certain information not included in investigative report is relevant and should be given more weight

• Each party’s right to argue their case, and • Fact that decisions regarding responsibility will be made at hearing, not investigation stage

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RedactionsER D

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Share the report with the parties and their advisors

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O I T

Additional Requirements

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U L O In electronic format or hard S copy

At least 10 days prior to the hearing

The Purpose of the Report S

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U L O S To allow for advance Preparation R E • By the Decision MakerV I R • By the Parties D N Reduce likelihood of bias in final outcome A R G To allow for advance Review

The Parties

Intended Recipients

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O I T The Advisors U L O S R The Decision Maker E V I R The Appeal Panel

Other Recipients?

Friends of the parties

Parents

Judges

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Law enforcement

I R Media

S Attorneys

Social media

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Intentionally organized to enhance comprehension

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Factually accurate

Essential Elements

U L Concise O S R E Without V editorial or opinion I R

D Consistent format

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U L Summary of the O S Report and Evidence File Evidence R E V I R D N A R G Compilation of the Evidence

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Compilation of the evidence

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U L O S

organized intentionally and consistently

The Evidence File

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Divided into Appendices

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Is attached to the report

Includes a procedural timeline

Examples of Appendices ON I

Appendix A

Contains all of the party/witness testimony (e.g., transcripts, statements summaries, etc.) that the investigator deems relevant

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Appendix B

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Contains all of the documentary evidence (e.g., text messages, SANE reports, photographs, etc.) that the investigator deems relevant

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T U

Appendix C

Contains the remaining evidence deemed irrelevant by the investigator, but that is directly related to the allegations in the formal complaint

Appendix D

The procedural timeline

Structure of the Report

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Overview of the Investigation

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Statement of Jurisdiction Identity of Investigators

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Objective of the Investigation and the Investigation Report

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Prohibited Conduct Alleged Witnesses Evidence Collected Summary of Evidence Conclusion

Report Structure Overview

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U L In this section, provide a very briefO overview of the S case. Include: R E • the names of the parties, V I • the applicable policy(ies) R • the prohibited conductD alleged, • the date, time, and location of the conduct, N A • a brief description R of the alleged misconduct G

Report Structure Statement of Jurisdiction

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1. Cite Jurisdictional Elements

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2. State all grounds for Jurisdiction

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Report Structure Identify Investigators

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1. Identify the investigators by name

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2. Investigator's training belongs in file, not in report

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S Report Structure N Objective of the InvestigationIO & Report T U

L O 1. This language should mirror the language in your policy or S procedures.

R E 2. State the objective of the investigation V I R D steps were followed 3. Briefly state that all procedural N A R 4. Describe the purpose G of the report.

S Report Structure N Prohibited Conduct Alleged IO T U L O 1. List the allegations of prohibited conduct S in the formal complaint.

R E V I R D 2. Include definitions of prohibited conduct from N institution’s policy/procedures.

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Report Structure List Witnesses

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U L O List those witnesses that were interviewed S R E List witnesses that were identified, V but not interviewed I R D Simple List N A R Detailed List G

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Witness Name John Doe

Jane Doe

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O I Example of a Detailed List T U L O S R E V I R D N A R G Witness identified by:

Information offered

Reporting Party

Mr. Doe is the Reporting Party’s best friend. He was with the Reporting Party the night of the reported incident.

Investigators

Jane Doe is the Responding Party’s roommate. It is believed that she saw the Reporting Party leave the Responding Party’s residence immediately following the reported incident.

Report Structure Evidence Collected

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U L O S

S

The final Title IX regulations require that all evidence obtained as part of the investigation that is directly related to the allegations in the formal complaint be shared with the parties and “made available at any hearing to give each party equal opportunity to refer to such evidence during the hearing including for the purposes of cross-examination.”

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In this section, list the Evidence or Refer to Appendices

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Report Structure Summary of Evidence

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O I T

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In this section, include a summary of all relevant evidence. This section can be organized in several ways. It is important that, however organized, the evidence is summarized clearly and accurately, and without opinion or bias. In this section, the writer should cite the evidence and information in the Appendices.

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Report Structure Conclusion

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R In this section, summarize next steps E V including any I in the process, R D procedural pre-requisites for moving N A the matter forward to a hearing.

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