A partial list of issues to be considered includes reporting procedures; confidentiality; relationships with police and local criminal justice; interim measures and support for complainants; investigation and adjudication; the role of lawyers; the creation and maintenance of records; sanctions or remedies; and appeals. The project will also examine informal resolutions, as well as the nature of hearings. This project consists of ten chapters: First Principles for Procedural Frameworks (Chapter 1); Notice and Clarity of Policies; Consistency of Implementation; Support and Interim Measures (Chapter 2); Reporting of Sexual Assault and Related Misconduct (Chapter 3); Inquiries and Investigations (Chapter 4); Informal Resolution of Sexual-Misconduct Reports and Complaints (Chapter 5); Formal Resolution of Sexual-Misconduct Complaints (Chapter 6); Sanctions (Chapter 7); Appeals (Chapter 8); Integrity of the Process: Confidentiality, Disclosure, Misrepresentation, Retaliation (Chapter 9); and Internal Student Discipline and the Criminal Justice System (Chapter 10).
Reporter:
E. Thomas Sullivan, University of Vermont, Burlington, VT [from October 2021]
Vicki C. Jackson, Harvard Law School, Cambridge, MA [January 2015 to November 2021]
Associate Reporter:
Suzanne B. Goldberg, Columbia Law School, New York, NY [January 2015 to January 2021]
Consultant:
Vicki C. Jackson, Harvard Law School, Cambridge, MA [from December 2021]
TABLE OF CONTENTS
Section Page
Status at a Glance .......................................................................... xviii
Foreword ........................................................................................... xix
Reporter's Memorandum ................................................................... xxi
Introduction ........................................................................................... 1
CHAPTER 1
FIRST PRINCIPLES FOR PROCEDURAL FRAMEWORKS
Introductory Note ................................................................................. 19
§ 1.1. Sexual Assault and Misconduct as Threats to Student Safety
and Educational Opportunity ................................................................ 19
§ 1.2. Procedures to be Fair, Impartial, and Respect Basic Tenets of
Due Process ......................................................................................... 23
§ 1.3. Evenhanded Treatment of Complainants and Respondents in
Proceedings .......................................................................................... 28
§ 1.4. Balancing Fairness to Complainants and Respondents ............. 29
§ 1.5. Diversity of Institutions of Higher Education ............................... 30
§ 1.6. Importance of Flexibility .............................................................. 32
§ 1.7. Schools’ Educational Missions ................................................... 35
§ 1.8. Procedures Taken as a Whole ................................................... 37
CHAPTER 2
NOTICE AND CLARITY OF POLICIES; CONSISTENCY OF IMPLEMENTATION; SUPPORT AND INTERIM MEASURES
§ 2.1. Providing Notice of Policies ........................................................ 39
§ 2.2. Consistent Application of Policies ............................................... 40
§ 2.3. Communicating Policies through Multiple Channels ................... 41
§ 2.4. Policies on Interim Measures ...................................................... 43
§ 2.5. Providing Support before any Complaint ..................................... 46
§ 2.6. Providing Support, Accommodation, and Protection ................... 49
§ 2.7. Interim Measures Affecting Only the Complainant ...................... 53
§ 2.8. Interim Measures Agreed to by the Parties ................................. 55
§ 2.9. Nonconsensual Interim Measures ............................................... 57
§ 2.10. Review of Nonconsensual Interim Measures ............................ 64
§ 2.11. Support and Accommodation for Respondents ......................... 67
CHAPTER 3
REPORTING OF SEXUAL ASSAULT AND RELATED MISCONDUCT
§ 3.1. Policies to Encourage Reporting ................................................. 69
§ 3.2. Multiple Ways to Report Sexual Misconduct ............................... 71
§ 3.3. Encouraging Students to Seek Support and Consider
Formally Reporting Sexual Misconduct ................................................. 75
§ 3.4. Respecting Complainants’ Wishes with Respect to
Investigations ......................................................................................... 79
§ 3.5. Internal Reporting Policies ........................................................... 88
§ 3.5a. Confidential Reporting ................................................................ 97
§ 3.5b. Nonconfidential Reporting .......................................................... 98
§ 3.6. Non-Campus Resources and Reporting to Law Enforcement .... 101
CHAPTER 4
INQUIRIES AND INVESTIGATIONS
Introductory Note ................................................................................... 105
§ 4.1. Inquiries to Be Impartial, Fair, and Context-Sensitive .................. 105
§ 4.2. Prompt Evaluation and Presumption of Full Investigation ............ 106
§ 4.3. Evenhanded Treatment of Complainants and Respondents ........ 115
§ 4.4. Presumptive Time Frames for Investigation; Notifications about
Delays ..................................................................................................... 116
§ 4.5. Advance Identification and Training of Investigators ..................... 118
§ 4.6. Investigators’ Responsibilities to Be Set Forth .............................. 127
§ 4.7. Open-Mindedness in Evaluating Credibility ................................... 130
§ 4.8. Regular Training of Investigators ................................................... 132
§ 4.9. Parties’ Opportunities to Comment ................................................ 134
CHAPTER 5
INFORMAL RESOLUTION OF SEXUAL-MISCONDUCT REPORTS AND COMPLAINTS
Introductory Note ....................................................................................... 136
§ 5.1. Definition of “Informal Resolution” ................................................... 136
§ 5.2. Availability of Informal Resolution Processes .................................. 141
§ 5.3. Maintaining Records ........................................................................ 144
§ 5.4. Complainants’ and Potential Complainants’ Requests Not to
Disclose Identities ...................................................................................... 145
§ 5.5. Prompt Response within Reasonable Time Limits ........................... 147
§ 5.6. Evenhandedness in Allowing or Excluding Advisers ......................... 149
§ 5.7. Respecting Complainant Requests for Informal Resolution .............. 151
§ 5.8. Informal Resolution Processes to be Voluntary and Supervised ....... 154
§ 5.9. Wide Range of Informal Resolution Approaches ............................... 160
§ 5.10. Confidentiality of Records and Statements; Preservation of
Record of Informal Resolution ..................................................................... 162
§ 5.11. Options to End Informal Resolution Process and Seek Formal
Resolution .................................................................................................... 164
CHAPTER 6
FORMAL RESOLUTION OF SEXUAL-MISCONDUCT COMPLAINTS
Introductory Note .......................................................................................... 166
§ 6.1. Minimal Due Process Standards ........................................................ 167
§ 6.2. Notice ................................................................................................. 173
§ 6.3. Impartiality .......................................................................................... 179
§ 6.3a. Use of Single Investigator/Resolver .................................................. 193
§ 6.3b. Decisionmakers for Resolving Formal Complaints ............................ 204
§ 6.3c. Challenges for Bias ............................................................................ 206
§ 6.3d. Undergraduates on Hearing Panels ................................................... 208
§ 6.4. Fair Opportunity to Contest the Facts ................................................... 211
§ 6.4a. Processes to Evaluate Witness Credibility .......................................... 214
§ 6.4b. Restrictions on Prior-Sexual-History Evidence .................................... 232
§ 6.4c. Treatment of Respondent’s or Complainant’s Silence ......................... 236
§ 6.4d. Challenges in Testifying About Sexual Matters .................................... 239
§ 6.5. The Role of Advisers for Complainants and Respondents ..................... 245
§ 6.6. Encouraging Cooperation of Witnesses .................................................. 256
§ 6.7. Resolution Based on Evidence Adduced ................................................. 258
§ 6.8. Standard of Proof ..................................................................................... 262
§ 6.9. Expectations Concerning Confidentiality .................................................. 301
§ 6.10. Reasonable Promptness in Resolving Complaints ................................. 304
§ 6.11. Statement of Reasons ............................................................................. 307
§ 6.12. Training of Decisionmakers ..................................................................... 309
CHAPTER 7
SANCTIONS
Introductory Note .................................................................................................. 314
§ 7.1. Proportionality, Fairness, and Appropriateness of Sanctions ...................... 315
§ 7.2. Communication to College and University Communities ............................. 320
§ 7.3. Procedure for Imposing Sanctions ............................................................... 322
§ 7.4. Special Procedures for Imposing Most Severe Sanctions ........................... 325
CHAPTER 8
APPEALS
§ 8.1. Impartiality and Good Cause ........................................................................ 330
§ 8.2. Procedures for Selecting Decisionmakers .................................................... 334
§ 8.3. Appeals Equally Available to Complainants and Respondents ..................... 336
§ 8.4. Single Level of Appeal ................................................................................... 340
§ 8.5. Appeals Distinct from Initial Determinations ................................................... 342
§ 8.6. Written Appellate Decisions ............................................................................ 348
CHAPTER 9
INTEGRITY OF THE PROCESS: CONFIDENTIALITY, DISCLOSURE, MISREPRESENTATION, RETALIATION
Introductory Note ....................................................................................................... 350
§ 9.1. Topics to Address Affecting the Integrity of the Proceedings ........................... 351
§ 9.2. Confidentiality ................................................................................................... 353
§ 9.2a. Confidentiality while Proceedings are Ongoing .............................................. 357
§ 9.2b. Confidentiality once Proceedings are Complete ............................................. 368
§ 9.2c. Enforcing Confidentiality Requirements ........................................................... 374
§ 9.3. Retaliation .......................................................................................................... 377
§ 9.3a. Enforcing Prohibitions on Retaliation ............................................................... 384
§ 9.4. Misrepresentation ............................................................................................... 390
§ 9.5. Informing the Community about the Disciplinary Process ................................... 393
§ 9.5a. Internal Records and Reviews ........................................................................... 397
§ 9.6. Disclosures Concerning Repeat Offenders .......................................................... 398
CHAPTER 10
INTERNAL STUDENT DISCIPLINE AND THE CRIMINAL JUSTICE SYSTEM
§ 10.1. Independence of School and Criminal Processes ............................................... 405
§ 10.2. Rebuttable Presumption that School Proceedings Go Forward
Notwithstanding Concurrent Law-Enforcement Activity ................................................... 409
§ 10.3. Evaluating Requests for Delay by Law Enforcement ........................................... 413
§ 10.4. Preserving Parties’ Rights in Criminal Proceedings ............................................. 415
§ 10.5. Informing Students How to Obtain Orders of Protection ...................................... 424
§ 10.6. Cooperation between Schools and Law Enforcement ......................................... 425
Appendix. Black Letter of Tentative Draft No. 1 ..................................................... 430
Tentative Draft No. 1 contains all ten Chapters of the project. The membership voted to approve this draft at the 2022 Annual Meeting, subject to the discussion at the Meeting and editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.
TABLE OF CONTENTS
Section Page
Status at a Glance .......................................................................... xviii
Foreword ........................................................................................... xix
Reporter's Memorandum ................................................................... xxi
Introduction ........................................................................................... 1
CHAPTER 1
FIRST PRINCIPLES FOR PROCEDURAL FRAMEWORKS
Introductory Note ................................................................................. 19
§ 1.1. Sexual Assault and Misconduct as Threats to Student Safety
and Educational Opportunity ................................................................ 19
§ 1.2. Procedures to be Fair, Impartial, and Respect Basic Tenets of
Due Process ......................................................................................... 23
§ 1.3. Evenhanded Treatment of Complainants and Respondents in
Proceedings .......................................................................................... 28
§ 1.4. Balancing Fairness to Complainants and Respondents ............. 29
§ 1.5. Diversity of Institutions of Higher Education ............................... 30
§ 1.6. Importance of Flexibility .............................................................. 32
§ 1.7. Schools’ Educational Missions ................................................... 35
§ 1.8. Procedures Taken as a Whole ................................................... 37
CHAPTER 2
NOTICE AND CLARITY OF POLICIES; CONSISTENCY OF IMPLEMENTATION; SUPPORT AND INTERIM MEASURES
§ 2.1. Providing Notice of Policies ........................................................ 39
§ 2.2. Consistent Application of Policies ............................................... 40
§ 2.3. Communicating Policies through Multiple Channels ................... 41
§ 2.4. Policies on Interim Measures ...................................................... 43
§ 2.5. Providing Support before any Complaint ..................................... 46
§ 2.6. Providing Support, Accommodation, and Protection ................... 49
§ 2.7. Interim Measures Affecting Only the Complainant ...................... 53
§ 2.8. Interim Measures Agreed to by the Parties ................................. 55
§ 2.9. Nonconsensual Interim Measures ............................................... 57
§ 2.10. Review of Nonconsensual Interim Measures ............................ 64
§ 2.11. Support and Accommodation for Respondents ......................... 67
CHAPTER 3
REPORTING OF SEXUAL ASSAULT AND RELATED MISCONDUCT
§ 3.1. Policies to Encourage Reporting ................................................. 69
§ 3.2. Multiple Ways to Report Sexual Misconduct ............................... 71
§ 3.3. Encouraging Students to Seek Support and Consider
Formally Reporting Sexual Misconduct ................................................. 75
§ 3.4. Respecting Complainants’ Wishes with Respect to
Investigations ......................................................................................... 79
§ 3.5. Internal Reporting Policies ........................................................... 88
§ 3.5a. Confidential Reporting ................................................................ 97
§ 3.5b. Nonconfidential Reporting .......................................................... 98
§ 3.6. Non-Campus Resources and Reporting to Law Enforcement .... 101
CHAPTER 4
INQUIRIES AND INVESTIGATIONS
Introductory Note ................................................................................... 105
§ 4.1. Inquiries to Be Impartial, Fair, and Context-Sensitive .................. 105
§ 4.2. Prompt Evaluation and Presumption of Full Investigation ............ 106
§ 4.3. Evenhanded Treatment of Complainants and Respondents ........ 115
§ 4.4. Presumptive Time Frames for Investigation; Notifications about
Delays ..................................................................................................... 116
§ 4.5. Advance Identification and Training of Investigators ..................... 118
§ 4.6. Investigators’ Responsibilities to Be Set Forth .............................. 127
§ 4.7. Open-Mindedness in Evaluating Credibility ................................... 130
§ 4.8. Regular Training of Investigators ................................................... 132
§ 4.9. Parties’ Opportunities to Comment ................................................ 134
CHAPTER 5
INFORMAL RESOLUTION OF SEXUAL-MISCONDUCT REPORTS AND COMPLAINTS
Introductory Note ....................................................................................... 136
§ 5.1. Definition of “Informal Resolution” ................................................... 136
§ 5.2. Availability of Informal Resolution Processes .................................. 141
§ 5.3. Maintaining Records ........................................................................ 144
§ 5.4. Complainants’ and Potential Complainants’ Requests Not to
Disclose Identities ...................................................................................... 145
§ 5.5. Prompt Response within Reasonable Time Limits ........................... 147
§ 5.6. Evenhandedness in Allowing or Excluding Advisers ......................... 149
§ 5.7. Respecting Complainant Requests for Informal Resolution .............. 151
§ 5.8. Informal Resolution Processes to be Voluntary and Supervised ....... 154
§ 5.9. Wide Range of Informal Resolution Approaches ............................... 160
§ 5.10. Confidentiality of Records and Statements; Preservation of
Record of Informal Resolution ..................................................................... 162
§ 5.11. Options to End Informal Resolution Process and Seek Formal
Resolution .................................................................................................... 164
CHAPTER 6
FORMAL RESOLUTION OF SEXUAL-MISCONDUCT COMPLAINTS
Introductory Note .......................................................................................... 166
§ 6.1. Minimal Due Process Standards ........................................................ 167
§ 6.2. Notice ................................................................................................. 173
§ 6.3. Impartiality .......................................................................................... 179
§ 6.3a. Use of Single Investigator/Resolver .................................................. 193
§ 6.3b. Decisionmakers for Resolving Formal Complaints ............................ 204
§ 6.3c. Challenges for Bias ............................................................................ 206
§ 6.3d. Undergraduates on Hearing Panels ................................................... 208
§ 6.4. Fair Opportunity to Contest the Facts ................................................... 211
§ 6.4a. Processes to Evaluate Witness Credibility .......................................... 214
§ 6.4b. Restrictions on Prior-Sexual-History Evidence .................................... 232
§ 6.4c. Treatment of Respondent’s or Complainant’s Silence ......................... 236
§ 6.4d. Challenges in Testifying About Sexual Matters .................................... 239
§ 6.5. The Role of Advisers for Complainants and Respondents ..................... 245
§ 6.6. Encouraging Cooperation of Witnesses .................................................. 256
§ 6.7. Resolution Based on Evidence Adduced ................................................. 258
§ 6.8. Standard of Proof ..................................................................................... 262
§ 6.9. Expectations Concerning Confidentiality .................................................. 301
§ 6.10. Reasonable Promptness in Resolving Complaints ................................. 304
§ 6.11. Statement of Reasons ............................................................................. 307
§ 6.12. Training of Decisionmakers ..................................................................... 309
CHAPTER 7
SANCTIONS
Introductory Note .................................................................................................. 314
§ 7.1. Proportionality, Fairness, and Appropriateness of Sanctions ...................... 315
§ 7.2. Communication to College and University Communities ............................. 320
§ 7.3. Procedure for Imposing Sanctions ............................................................... 322
§ 7.4. Special Procedures for Imposing Most Severe Sanctions ........................... 325
CHAPTER 8
APPEALS
§ 8.1. Impartiality and Good Cause ........................................................................ 330
§ 8.2. Procedures for Selecting Decisionmakers .................................................... 334
§ 8.3. Appeals Equally Available to Complainants and Respondents ..................... 336
§ 8.4. Single Level of Appeal ................................................................................... 340
§ 8.5. Appeals Distinct from Initial Determinations ................................................... 342
§ 8.6. Written Appellate Decisions ............................................................................ 348
CHAPTER 9
INTEGRITY OF THE PROCESS: CONFIDENTIALITY, DISCLOSURE, MISREPRESENTATION, RETALIATION
Introductory Note ....................................................................................................... 350
§ 9.1. Topics to Address Affecting the Integrity of the Proceedings ........................... 351
§ 9.2. Confidentiality ................................................................................................... 353
§ 9.2a. Confidentiality while Proceedings are Ongoing .............................................. 357
§ 9.2b. Confidentiality once Proceedings are Complete ............................................. 368
§ 9.2c. Enforcing Confidentiality Requirements ........................................................... 374
§ 9.3. Retaliation .......................................................................................................... 377
§ 9.3a. Enforcing Prohibitions on Retaliation ............................................................... 384
§ 9.4. Misrepresentation ............................................................................................... 390
§ 9.5. Informing the Community about the Disciplinary Process ................................... 393
§ 9.5a. Internal Records and Reviews ........................................................................... 397
§ 9.6. Disclosures Concerning Repeat Offenders .......................................................... 398
CHAPTER 10
INTERNAL STUDENT DISCIPLINE AND THE CRIMINAL JUSTICE SYSTEM
§ 10.1. Independence of School and Criminal Processes ............................................... 405
§ 10.2. Rebuttable Presumption that School Proceedings Go Forward
Notwithstanding Concurrent Law-Enforcement Activity ................................................... 409
§ 10.3. Evaluating Requests for Delay by Law Enforcement ........................................... 413
§ 10.4. Preserving Parties’ Rights in Criminal Proceedings ............................................. 415
§ 10.5. Informing Students How to Obtain Orders of Protection ...................................... 424
§ 10.6. Cooperation between Schools and Law Enforcement ......................................... 425
Appendix. Black Letter of Tentative Draft No. 1 ..................................................... 430
Tentative Draft No. 1 contains all ten Chapters of the project. The membership voted to approve this draft at the 2022 Annual Meeting, subject to the discussion at the Meeting and editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.