Principles of the Law,

Student Sexual Misconduct: Procedural Frameworks for Colleges and Universities

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).

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    Tentative Draft No. 1
    Tentative Draft No. 1
    470 pages, 2022, #1PSGMTD1

    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.

    470 pages, 2022, #1PSGMTD1E

    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.