Formal Investigation

1. Formal Complaint is Filed and Opened

The Office of Civil Rights and Title IX Compliance (OCR) receives a report of discrimination or harassment.

2. Complainant Chooses to Meet

OCR staff then contacts the complainant with an invitation to meet. The complainant decides whether or not to meet with the staff member. If the complainant chooses not to meet, or requests not to proceed with a resolution, the University typically can honor that request. No Party or Witness is required to participate in the investigation.

If the complainant chooses to meet, the staff member goes over resources and options. The person may request supportive measures and may request to proceed with resolution through investigation, educational response, or alternative resolution.

If a formal investigation is chosen, the office will proceed with an initial inquiry.

3. Initial Inquiry

An initial inquiry is an assessment by OCR as to whether the allegations, if substantiated, would rise to the level of a violation of the Policy on Discrimination, Harassment and Sexual Misconduct .

At any point during the process, the complainant will have the opportunity to choose not to proceed. The University typically can honor that request.

4. Determine Jurisdiction

 As a result of the initial inquiry, OCR may determine that the conduct reported falls under the scope of the University's Policy on Discrimination, Harassment, and Sexual Misconduct and proceed with an investigation.

If OCR determines that the conduct reported cannot fall under the scope of the policy, they may close the case. OCR may reopen a case in the future if additional information becomes available.

5. Notification of Investigation

Written notice to the parties — the complainant and the person alleged to have committed discrimination or harassment (Respondent) — includes information about Northwestern's complaint resolution process, resources available to them, details of allegations known at the time, the University's prohibitions on retaliation and knowingly making false statements or knowingly submitting false information during the complaint resolution process, and supportive measures.

6. Evidence Gathering from All Parties

One or more investigators from OCR meet — separately — with both the complainant and the respondent to get information.

The Complainant will have the opportunity to describe their allegations and present supporting evidence to the investigator(s). The Respondent will have the opportunity to hear the allegations, respond to them, and present supporting evidence to the investigator(s).

Both parties can suggest witnesses, provide evidence, and propose questions the investigator(s) might ask the other party or witnesses. The investigator(s) may also choose to interview other witnesses not identified by the parties.

The University uses the preponderance of the evidence standard, which means that if the evidence shows that it is more likely than not that a policy violation occurred, the respondent will be found responsible.

7. Additional Meetings

The Investigator may have follow-up questions for a Complainant, Respondent, or Witnesses after their respective initial interviews.

Generally, the investigator(s) will meet with each party and each witness separately and may hold multiple meetings with a party to obtain all necessary information. The parties may submit additional materials or information to the investigator(s) at any time before the conclusion of the investigation.

8. Preliminary Report

The investigator(s) will prepare a preliminary investigative report. The preliminary investigative report will include a summary of the relevant information provided by Complainant, Respondent, and each witness, and a copy and/or written summary of all relevant evidence collected during the investigation. The preliminary investigative report will not contain any findings.

9. Parties Can Review and Respond

The parties will be provided with an opportunity to review the preliminary investigative report and respond in writing with comments, feedback, additional documentary evidence, requests or additional steps in the investigation, suggest written relevant questions for any party or witness, names of additional witnesses, or any other information they deem relevant to the investigator(s). Parties are expected to maintain the privacy of this document.

10. Second Review and Report

The investigator(s) will review the written response provided by the parties and conduct any additional investigation necessitated by that feedback.

If the Investigator extends the investigation, the Investigator will notify the Parties in writing, issue a second preliminary investigative report, and provide the Complainant and Respondent access to such report for review and comment.

11. Final Investigative Report

After reviewing all responses submitted by the parties to the investigative report(s), the investigator(s) will incorporate relevant responses into a final report.

The Investigator(s) will make a determination whether there is sufficient evidence to support a finding of responsibility for a violation of the Policy (and, where applicable, any other relevant policies), and will provide the full rationale for the findings in the final report.

12. Notification of Findings

Investigators notify both parties with a final investigative report containing all information collected, including whether there has been a policy violation.

13. Parties Submit Impact Statements

In cases where there has been a determination of a policy violation, both parties may submit a statement for consideration by the individual(s) responsible for determining an appropriate sanction.

The Associate Vice President will provide the parties' written impact and mitigation submissions to the individual(s) responsible for determining remedies and sanctions.

14. Notification and Referral of Sanctions

The Complainant will be notified of remedies available to them, relevant sanctions or corrective actions imposed on the Respondent, any other steps the University has taken to prevent the recurrence, and appeal procedures.

The Respondent will be informed of all sanctions imposed and of appeal procedures. Depending on the position of the respondent (student, staff member, or faculty member), OCR will refer the matter to the appropriate office for sanctioning.

15. Appeal Opportunity

Either party may appeal a finding or sanction. Information on how to appeal is included in the outcome letters provided to the parties.

16. Final Determination

The determination regarding responsibility becomes final either on the date that the appeal reviewer provides the parties with the written determination of the result of the appeal, if an appeal is filed, or if an appeal is not filed, the date on which an appeal would no longer be considered timely.