Steps in the Investigation Process

Steps in the Investigation Process

All investigations are thorough, reliable, impartial, prompt, and fair. Investigations involve interviews with all relevant parties and witnesses; obtaining available, relevant evidence; and identifying sources of expert information, as necessary. 

All parties have a full and fair opportunity, through the investigation process, to suggest witnesses and questions, to provide evidence and expert witnesses, and to fully review and respond to all evidence on the record. 

The Investigator(s) typically take(s) the following steps, if not already completed (not necessarily in this order):

● Determine the identity and contact information of the Complainant
● In coordination with campus partners (e.g., the Title IX Coordinator), initiate or assist with any necessary supportive measures 
● Identify all policies implicated by the alleged misconduct and notify the Complainant and Respondent of all of the specific policies implicated
● Assist the Title IX Coordinator with conducting a prompt initial assessment to determine if the allegations indicate a potential procedure violation 
● Commence a thorough, reliable, and impartial investigation by identifying issues and developing a strategic investigation plan, including a witness list, evidence list, intended investigation timeframe, and order of interviews for all witnesses and the parties
● Meet with the Complainant to finalize their interview/statement, if necessary 
● Prepare the initial Notice of Investigation and Allegation (NOIA). The NOIA may be amended with any additional or dismissed allegations 
o Notice should inform the parties of their right to have the assistance of an Advisor, who could be a member of the Pool or an Advisor of their choosing present for all meetings attended by the party 
● Provide each interviewed party and witness an opportunity to review and verify the Investigator’s summary notes (or transcript) of the relevant evidence/testimony from their respective interviews and meetings
● Make good faith efforts to notify the parties of any meeting or interview involving the other party, in advance when possible 
● When participation of a party is expected, provide that party with written notice of the date, time, and location of the meeting, as well as the expected participants and purpose 
● Interview all available, relevant witnesses and conduct follow-up interviews as necessary
● Allow each party the opportunity to suggest witnesses and questions they wish the Investigator(s) to ask of the other party and witnesses, and document in the report which questions were asked, with a rationale for any changes or omissions 
● Complete the investigation promptly and without unreasonable deviation from the intended timeline
● Provide regular status updates to the parties throughout the investigation
● Prior to the conclusion of the investigation, provide the parties and their respective Advisors (if so desired by the parties) with a list of witnesses whose information will be used to render a finding
● Write a comprehensive investigation report fully summarizing the investigation, all witness interviews, and addressing all relevant evidence. Appendices including relevant physical or documentary evidence will be included 
● The Investigator(s) gather, assess, and synthesize evidence, but make no conclusions, engage in no procedure analysis, and render no recommendations as part of their report
● Prior to the conclusion of the investigation, provide the parties and their respective Advisors (if so desired by the parties) a secured electronic or hard copy of the draft investigation report as well as an opportunity to inspect and review all of the evidence obtained as part of the investigation that is directly related to the reported misconduct, including evidence upon which the Recipient does not intend to rely in reaching a determination, for a ten (10) business day review and comment period so that each party may meaningfully respond to the evidence. The parties may elect to waive the full ten days. Each copy of the materials shared will be watermarked on each page with the role of the person receiving it (e.g., Complainant, Respondent, Complainant’s Advisor, Respondent’s Advisor). 
● The Investigator(s) may elect to respond in writing in the investigation report to the parties’ submitted responses and/or to share the responses between the parties for additional responses
● The Investigator(s) will incorporate relevant elements of the parties’ written responses into the final investigation report, include any additional relevant evidence, make any necessary revisions, and finalize the report. The Investigator(s) should document all rationales for any changes made after the review and comment period
● The Investigator(s) shares the report with the Title IX Coordinator and/or legal counsel for their review and feedback
● The Investigator will incorporate any relevant feedback, and the final report is then shared with all parties and their Advisors through secure electronic transmission or hard copy at least ten (10) business days prior to a hearing. The parties are also provided with a file of any directly related evidence that was not included in the report