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Formal Resolution

The University Hearing and Appeals System is not a court, legal, or trial system, and the resolution options, including formal resolution, available through UHAS are not constrained by the rules of procedure or evidence typically used in a court of law. UHAS operates under a standard of fairness, which includes an opportunity for the student or student group to be notified of the alleged misconduct and the policy violations under consideration and an opportunity to be heard. As such, if a case is referred for formal resolution, the respondent will be notified of the alleged misconduct and will be given an opportunity to respond.

Depending on the circumstance and in its discretion, the Office of Community Standards may consolidate for investigation and resolution multiple incidents involving the same respondent, and/or cases in which parties have made allegations against each other.

Please note, allegations of policy violation related to the the Office of Civil Rights and Title IX Compliance policies are resolved through the respective policies as outlined in the OCR policy.

Standard of Evidence

The Office of Community Standards uses the preponderance of the evidence standard in investigations and hearings. This means that the investigator(s) and/or Case Resolution Coordinator(s) must determine more likely than not what occurred. A preponderance of the evidence means that over 50% of the information supports a finding that the misconduct occurred.

Notification

The respondent will receive notification of the allegation of misconduct typically three or more days prior to the administrative hearing. In circumstances that require further investigation, respondents will be notified typically three or more days prior to the investigative meeting. The notification will typically include a brief description of the alleged misconduct, including the time, date, and place the incident allegedly occurred, a list of any University policies allegedly violated, and a description of the steps toward resolution. The University may modify the list of policies allegedly violated based on additional information revealed during investigation.

Acceptance of Responsibility for an Individual Student

In cases typically used for separation level matters, prior to the conclusion of an investigation, the respondent may elect to take responsibility for the prohibited conduct by contacting the Office of Community Standards via the link in their initial letter. Following the submission, the OCS may solicit additional information relating to the matter from the Respondent and any relevant parties.

The OCS or designee will issue a brief outcome determination, inclusive of any information collected, summarizing the timeline and allegations and stating the respondent has accepted responsibility. The Office of Community Standards will then refer the matter to a sanctioning panel. Following the determination of sanctions, a respondent may appeal the sanctions but not the finding(s) of responsibility as accepted by the Respondent. In the event a Respondent decides to accept responsibility for some but not all the allegations, the Office of Community Standards will determine whether to sever the matter, sending the allegations for which the Respondent has accepted responsibility to a sanctioning panel for sanctioning and continuing with the formal resolution process for the remaining allegations. Alternatively, OCS may determine it will proceed with the formal resolution process for all allegations.

 

Acceptance of Responsibility for Non-Separation Level Cases for Student Organizations

Student organizations may engage in both self-governance and collaboration with the University to resolve a non-separation level complaint. When an organization accepts responsibility for the prohibited conduct or presents credible information and accepts responsibility for all charges, the case may be resolved collaboratively. OCS will determine whether a matter meets the criteria for a Collaborative Resolution Meeting by reviewing the alleged policies of concern in question and the disciplinary history of the organization. Matters that do not meet the criteria will be resolved in a Formal Non-Separation Level Meeting.

While the Collaborative Resolution Meeting is typically available for non-separation level cases, the Office of Community Standards (OCS) will consider other circumstances for proceeding with an adaptable resolution that include: the overall safety and appropriateness to utilize this process, the complexity of the violation, the organization’s motivation and ability to participate, disciplinary history, and whether or not adequate resources exist to invest in the adaptable resolution (time, staff, etc.) as well as which form of resolution may be most successful for the student organization and the University.

Once a Collaborative Resolution Meeting has been initiated by OCS, the following guidelines will occur:

  • The student organization must accept responsibility for the alleged policies of concern, either as the initial reporting party, during the course of the investigation, or prior to a Formal Non-Separation Level Meeting via the link available in their initial notice letter.
  • A representative from the student organization must present a proposed action plan, using the worksheet provided by OCS, to correct the behaviors, inclusive of any Headquarters actions when applicable, which will be initially evaluated by an OCS, OFSL, SOA, and/or an MSA staff member prior to the informal collaborative sanctioning meeting.
  • The student organization will participate in a collaborative sanctioning meeting with three individuals designated by OCS. This will include a representative from OCS, at least one Student Representative, and one university administrator. These three individuals and the representative from the student organization will discuss the proposed action plan, modify it as necessary, and determine an appropriate final action plan. The local advisor or a Headquarters representative may participate, only to speak to the stated or available action items they are able to make available for the organization. Should the advisor violate the limited nature of their participation, they may be removed.
  • The action plan is not considered final until it is agreed upon by an OCS staff member. This action plan will be indicated on the student organization’s conduct record, and the outcome of responsibility and action plan are not appealable.
If both parties agree to the terms of the action plan, the case is considered resolved so long as the action plan is completed, including that any designated deadlines for action items are met. If the action plan is not completed as agreed upon, the case will be referred to a Formal Non-Separation Level Meeting.

Acceptance of Responsibility Separation Level Cases

In cases typically used for separation level matters, prior to the conclusion of an investigation, the respondent group or organization, in conjunction with their Headquarters when applicable, may elect to take responsibility for the prohibited conduct by contacting the Office of Community Standards (OCS) via the link in their initial letter. Following the submission, the OCS may solicit additional information relating to the matter from the group or organization and any related parties. The OCS will issue a brief outcome determination, inclusive of any information collected, summarizing the timeline and allegations and stating the responding group or organization has accepted responsibility. The OCS will then refer the matter to a Sanctioning Panel. Following the determination of sanctions, parties may appeal the sanctions imposed but not the finding(s) of responsibility as accepted by the Respondent. In the event a Respondent decides to accept responsibility for some but not all allegations, the OCS will determine whether to sever the matter, sending the allegations for which the Respondent has accepted responsibility to a sanctioning panel for sanctioning and continuing with the formal resolution process for the remaining allegations. Alternatively, the OCS may determine it will proceed with the formal resolution process for all allegations.

Should the responding organization or group wish, the responding group or organization can submit a copy of any applicable action plans as developed by the responding organization or group, including those issued by a Headquarters when applicable, within five days of receiving the outcome determination and prior to the Sanctioning Panel, which will be shared with the Sanctioning Panel as a part of their materials for evaluation. The document should be no longer than five pages in length,
inclusive of attachments.

Following the determination of sanctions, the responding group or organization may appeal the sanctions but not the finding(s) of responsibility. In the event a responding group or organization decides to accept responsibility for some but not all the allegations, the OCS will determine whether to sever the matter and send the allegations for which the responding group or organization has accepted responsibility along to a Sanctioning Panel for sanctioning.

If a finding and sanction(s) are issued by a non-Northwestern governing body (e.g., inter/national Headquarters) prior to the resolution of the UHAS formal student organization conduct process, the University may give the responding student organization or group, (inclusive of the non-Northwestern governing body) the option to follow the acceptance of responsibility process above. The Director of Community Standards or designee may then choose to either come to a mutual agreement between the University and the organization or group as to sanctions or consult with a Sanctioning Panel to determine the appropriate sanctions from the University, both based on the sanctioning factors (Student Handbook, pg. 40). Acceptance of responsibility and the proposed University sanctions prevents the need for a full investigation through the UHAS process.

The OCS reserves the right to investigate and, as appropriate, hold any individuals accountable for their behaviors that may be related to the matter for which the responding organization or group accepted responsibility.

Types of Formal Resolution

Types of Formal Resolution

For more information on the types of formal resolution visit the following pages as outlined in the Student Handbook (PDF):

  • Non-Separation Level Cases (pages 115-116)
  • Separation-Level Cases (pages 117-123)
A short video explaining the non-separation level process.