Title IX Procedure

Preponderance of Evidence

Under the preponderance standard, the burden of proof is met when the decision-maker determines that it is more likely than not that the allegations of Prohibited Conduct occurred.

Hearing Panelists

Carthage faculty and staff members who serve on hearing and appeals panels. Hearing panelists will receive annual training on the definitions of Prohibited Conduct, the scope of Carthage’s educational programs and activities, how to conduct an investigation and grievance process, how to serve impartially, how to use technology during hearings, and any other topics required by law. Faculty members are appointed by the Office of the Provost, and staff members are appointed by the Director of Human Resources.

Hearing Panel

Three hearing panelists conduct the hearing and decide the outcome of a formal complaint, including any sanctions against the respondent. Every hearing panel will have a chairperson who presides over the process. Every hearing panel will have at least one faculty member and one staff member. If, because of bias or a conflict of interest, a hearing panelist cannot participate in a hearing panel, another hearing panelist will take their place as determined by the Title IX Coordinator.

Appeals Panel

Three hearing panelists who review appeals from a hearing panel’s decision on a formal complaint. Every appeals panel will have a chairperson who presides over the process. Every appeals panel will have at least one faculty member and one staff member. Hearing panelists who served on the hearing panel for a written complaint will not serve on the appeals panel for the same written complaint. If, because of bias or a conflict of interest, a hearing panelist cannot participate in an appeals panel, another hearing panelist will take their place as determined by the Title IX Coordinator.

Title IX Advisor

Both the complainant and the respondent may choose one advisor who may accompany them to any meetings, hearings, and appeals in the process. A Title IX advisor is only for a party’s emotional support when filing a formal complaint through the investigation and hearing. An advisor may not communicate with or speak on behalf of the complainant or respondent with the Title IX representative, the investigators, or hearing panelist. If a party does not have an advisor, one will be assigned with no fee for the live hearing.

Investigator

Carthage employees who investigate formal complaints of Prohibited Conduct If, because of bias or a conflict of interest, a party can request a different investigator at the notice of a formal complaint. A request for a different advisor due to a conflict of interest should be submitted in writing to the Title IX coordinator. Anyone who acts as an investigator will receive annual training on the definition of sexual harassment, the scope of Carthage’s educational programs and activities, and conducting an investigation that protects the safety of the complainant(s) and assumes the innocence of the respondent(s).

Carthage prefers to receive reports, take statements, hold meetings, and conduct hearings in person. However, extenuating circumstances, such as breaks between terms or the unavailability of certain parties, may require parties or witnesses to appear and communicate via video chat. At the request of the complainant or the respondent, and for good cause, meetings or hearings may be conducted with the complainant and the respondent in separate rooms. Complainants and respondents are treated equitably throughout the process.

Investigation Records

After the conclusion of the investigation and before any hearing, either the complainant or the respondent may review any information that will be used at the hearing, including any information gathered during the investigation that will not be used at the hearing. The investigators will notify parties in writing when the investigative summary is available, and students will have five days to review prior to a live hearing.

Time Frame

Carthage expects investigations, hearings, and appeals will occur in a reasonably prompt time frame. Extenuating circumstances, such as breaks between terms or the unavailability of key parties, may cause delays. At any point, either the complainant or the respondent may request an extension of any dates or deadlines by writing to the investigators or hearing chair, who will notify both parties of any such extension in writing.

Investigation and Hearing

Upon filing a formal complaint, the investigator will notify the respondent of the formal complaint, inform both parties of their rights and resources, and will issue a notice of investigation that includes:

• Carthage College’s grievance procedures under this section, and if applicable § 106.46, and any informal resolution process under § 106.44(k);
• Sufficient information available at the time to allow the parties to respond to the allegations as outlined in the formal complaint. Sufficient information includes the identities of the parties involved in the incident(s), the conduct alleged to constitute sex discrimination under Title IX or this part, and the date(s) and location(s) of the alleged incident(s), to the extent that information is available to the recipient; 
• Carthage College’s statement on retaliation
• Statement describing involved parties equal access to investigative records
• Statement describing if additional allegations of sex discrimination by the respondent arise, they will be given notice of those alleged incidents.

The respondent may submit a written rebuttal as soon as possible after inspecting the formal complaint. Respondent(s) are presumed innocent until a determination by the hearing panel.

The investigator will then review the written complaint and the respondent’s rebuttal and investigate the parties’ claims. The investigator may request statements from the parties or witnesses and may meet with witnesses, the complainant, and the respondent. The investigator will periodically update the complainant and the respondent regarding the progress of the investigation.

Once the investigator has completed the investigation summary, they will inform the complainant and respondent so they may review and submit a response. After both parties have reviewed or five days have elapsed, the investigation summary will be sent to the hearing panel and a hearing will be scheduled.

At that hearing, both the complainant and the respondent will have the opportunity to present evidence about the alleged behavior, as outlined in the Notice. The hearing can include statements from the parties, questioning of the parties, questioning of witnesses, and presentation of documentary or physical evidence. The hearing panel will control the hearing and have sole discretion regarding the presentation of evidence.

During the hearing, the panelists will ask involved parties and any witnesses all relevant questions and follow-up questions, including those that challenge credibility. If a party does not have an advisor at the hearing, the institution will provide one.

The complainant and respondent may submit questions in writing to the hearing panel. Before any party or witness answers a question, the panel chair must first determine if the question is relevant. If the question is determined irrelevant, the panel chair must explain the decision at that time.

After the hearing, the hearing panel will determine, by a preponderance of the evidence, whether the respondent violated the Title IX policy by engaging in Prohibited Misconduct. If the hearing panel determines that the respondent committed sex-based discrimination, the hearing panel will also assess an appropriate sanction against the respondent.

The hearing panel chair will notify the Dean of Students or Associate Dean of Students of the hearing panel’s decision, its rationale, and any sanction in a written hearing summary. The Dean of Students or Associate Dean of Students will then communicate the hearing panel’s decision to the complainant and respondent and notify both parties of their rights to appeal in writing. If the parties do not appeal within three days of receiving notification, the hearing panel’s decision is final.

Hearing Records

An audio, audiovisual recording, or transcript of the hearing will be created and is available for the parties to review.

Appeals

Either the complainant or the respondent may appeal the hearing panel’s decision within three days of receiving notification. A party may only appeal based upon one of the following grounds:

• New evidence that was not reasonably available at the time and that could affect the outcome of the matter.
• Procedural irregularity that affected the outcome of the matter.
• Bias or conflict of interest for or against complainants or respondents generally or the individual complainant or respondent, and that bias or conflict-affected the outcome.

The appealing party must submit a written statement to the Dean of Students or Associate Dean of Students that requests and sets forth the basis of the appeal. The non-appealing party will be notified in writing when an appeal is filed. The Dean of Students or Associate Dean of Students will convene an appeal panel. The appeal panel may do any of the following:

• Affirm the hearing panel’s decision.
• Amend the original sanction.
• Require a new investigation or hearing and decision.

The appeals panel chair will notify the Dean of Students or Associate Dean of Students of the panel’s decision and rationale in a written summary. The Dean of Students or Associate Dean of Students will simultaneously communicate the outcome of the appeal and the rationale to the complainant and respondent in writing.

The decision of an appeals panel is final.

Sanction

The penalty assessed against any respondent found responsible for violating this Policy will include one or more of the listed sanctions:

• No Contact Order — The respondent may not contact the complainant.
• Probation — Any further violation of Carthage’s policies may result in immediate removal from the residence halls, suspension, or dismissal.
• Educational Activities — The respondent will be required to complete educational modules, reflection papers, or other similar activities related to the behavior.
• Removal from Housing — The respondent will be removed from on-campus housing at Carthage and relocated to another or an off-campus residence.
• Ban from College Facilities — The respondent may not enter certain areas of campus or use certain campus services.
• Activity Restrictions — Restrictions may be placed on the respondent’s ability to participate in college activities (e.g., co-curricular, extra-curricular, or campus events such as athletic competitions, theater performances, speakers, or more.)
• Suspension — The respondent is dismissed as a student for a specified time (typically no less than the remainder of an academic term and could be years). Suspension can be a specific duration or indefinite and subject to later reconsideration. Unless otherwise specified, the suspension includes a ban from campus until the date the respondent is eligible for re-application. 
• Expulsion — The respondent is permanently dismissed from Carthage. Unless otherwise specified, dismissal includes a ban from campus and no eligibility to return to Carthage.

Introduction

The informal resolution process is a voluntary, structured interaction between involved parties to resolve the allegations of Prohibited Conduct under this Policy at any time prior to a decision at a hearing. This process is intended to be flexible while also providing for a full range of outcomes.

Scope

The Title IX Coordinator may offer the parties the opportunity to become involved in an informal resolution process. Likewise, either the complainant or respondent may petition the Title IX Coordinator in writing to request an informal resolution process to the other party. The Title IX Coordinator is the sole administrator who determines if an Informal Resolution is appropriate given the nature of the allegations in the formal complaint.

Standards

A trained Informal Resolution facilitator will supervise the informal resolution process after being approved by the Title IX Coordinator and all parties are informed of the process in writing. Participation is voluntary and requires written consent. If either party does not agree with the proposed terms of the process or is not interested in engaging in mediation, the party may continue with the institution’s formal grievance process at any time before signing the Informal Resolution Agreement.

Involved parties may have an advisor present at all informal resolution meetings. Involved parties may consult with their advisor throughout the process, but the advisor’s sole role is to provide support and not to participate in the process.

Informal resolution cannot be offered if the complainant is a student and the respondent is an employee.

Informal Resolution does not require the parties to confront each other or be present in the same room. Involved parties should not attempt to work out issues directly, circumventing the informal resolution facilitator.

Either party may end the informal resolution process without penalty prior to completion and pursue the matter through the formal grievance process.

Both parties and the facilitator will have an opportunity to offer proposals to become a part of the final outcome(s)/agreement. An informal resolution agreement may include but is not limited to, acceptance of responsibility for behavior, disciplinary sanctions, counseling, and involvement in an educational program.

The facilitator(s) has the authority to end the resolution process if the facilitator(s) believes that one or both parties are not operating in good faith. If this happens, the formal grievance process will resume.

With the agreement of the involved parties and the college, a complaint may be alternatively resolved through the informal resolution process at any point of the investigative and hearing process.

The facilitator and both parties must all agree to the outcome(s) of the informal resolution. In doing so the facilitator will write a binding agreement based upon the parties verbal agreement with the mediated outcome(s). Separately, both parties will then be offered the opportunity to sign this informal resolution agreement. If either party refuses to sign this agreement, the informal resolution will be considered failed, and the formal grievance process will resume. A signed informal resolution agreement is binding on both parties.

Process for Informal Resolution

Individual Meetings

Each involved party will have an individual meeting with the informal resolution facilitator to review the informal resolution standards and process.

Joint Discussion

Joint discussion is an opportunity for all involved parties to share their perspective of the events which lead to the formal complaint. This allows for all involved parties to hear directly from the other party with the goal of understanding their concerns. Joint discussion is not required but is typically a beneficial component of the informal resolution process. If parties opt not to participate in Joint Discussion, each party will have an additional individual meeting with the facilitator to share their perspective of the events which lead to the formal complaint, allowing the facilitator to then share that information with the other involved party.

Caucuses

Parties will meet individually with the informal resolution facilitator to discuss the conversation that took place during Joint Discussion. Caucuses also serve as an opportunity for each involved party to begin to discuss their desired outcomes of the informal resolution with the facilitator.

Facilitated Negotiation

All parties will gather to share their desired outcomes for the informal resolution and work to reach agreed-upon outcomes for the informal resolution binding agreement through proposals and counter-proposals.

Closing and Follow Up

If parties reach consensus the facilitator will outline the outcomes and draft an agreement for the parties to sign. If parties do not reach an agreement the facilitator will summarize where the informal resolution left off and engage in discussion about next steps in the grievance process.

A copy of this Policy shall be made available to faculty, staff, and employees in their required training and posted on the Carthage College website. Carthage College shall alert all new students to this Policy and the location of this Policy as part of orientation. The Title IX office shall make preventive educational materials available to all members of the Carthage community to promote compliance with this Policy and familiarity with its procedures.

Any member of the Carthage community may report a violation of Prohibited Conduct under this Policy to any supervisor, manager, or Title IX Officer. Supervisors and managers are responsible for promptly forwarding such reports to the Title IX office.