Table of Contents
I. Overview and Applicability
II. Rights of Complainants and Respondents
III. Investigative Process and Sanctions
IV. Appeals Process: Complaints Against Student Respondents
V. Remedies
VI. Additional Considerations
VII. Acceptance of Responsibility
I. Overview and Applicability
The University of Alabama at Birmingham (“UAB” or “the University”) has developed these Procedures for the Resolution of Title IX Sex Discrimination (non-harassment) Complaints (“the Procedures”) pursuant to and in compliance with Title IX of the Education Amendments of 1972 and its implementing regulations (collectively referred to as “Title IX”). These Procedures should be read in conjunction with the Title IX Policy, which includes additional information regarding applicable definitions, key terms, reporting options, available resources and other relevant topics.
These Procedures will be used to investigate and resolve all complaints of sex discrimination. 2 Sex discrimination prohibited by the Title IX Policy is defined as the exclusion from participation in, denial of benefits from, or subjection to unfavorable treatment in any University educational or employment-related program or activity on the basis of sex. These Procedures apply to complaints of sex discrimination covered under Title IX but which do not fall within the category of Sexual Harassment as defined in the Title IX Policy. These Procedures also apply to any complaints of Retaliation as defined by the Title IX Policy.
Formal Complaints of Sexual Harassment will be investigated and resolved using the Procedures for the Resolution of Title IX Sexual Harassment Complaints. Formal Complaints of Sexual Harassment that include allegations of both sexual harassment and sex discrimination (non-harassment) will be addressed pursuant to the Procedures for Resolution of Formal Complaints of Sexual Harassment. All other complaints of discrimination, including but not limited to those based on race, color, religion, ethnic origin, age, and disability, will be resolved using the University’s Equal Opportunity and Discriminatory Harassment Policy or the Student Conduct Code. Additionally, any sex discrimination that does not rise to the level of Prohibited Conduct and/or falls outside the jurisdiction of the Title IX Policy and these Procedures may be investigated and addressed pursuant to other applicable, non-Title IX policies, including but not limited to, UAB’s Equal Opportunity & Discriminatory Harassment Policy, the UAB Enterprise Code of Conduct, or the Student Conduct Code. If deemed appropriate, alleged violations of non-Title IX policies that arise out of the same facts and circumstances as the Title IX allegations may be investigated by the Title IX Office, in collaboration with the appropriate department (i.e. Human Resources or Community Standards and Student Accountability) and resolved under these Procedures. Under these circumstances, the relevant definitions of conduct outlined in any other applicable, non-Title IX policy will apply to the non-Title IX allegations. If the Title IX allegations are dismissed for any reason, the non-Title IX allegations may be investigated and adjudicated under any other applicable, non-Title IX UAB policies or procedures. The University is fully committed to promoting a safe and healthy educational and work environment. All community members are strongly encouraged to report any incident of Sex Discrimination and are reminded that some community members may be mandatory reporters as outlined in the Title IX Policy.
II. Rights of Complainants and Respondents
These Procedures for the investigation and resolution of Sex Discrimination complaints are designed to be accessible, prompt, fair, and impartial.
A. Right to an Advisor
Complainants and Respondents may be accompanied by one advisor for all meetings and proceedings under the Title IX Procedures for the Resolution of Sex Discrimination Complaints (non-harassment). An advisor may not speak, write, or otherwise communicate with an Investigator, or any other University employee that is part of the investigation process, on behalf of the Complainant or Respondent. An advisor who does not abide by these guidelines may be excluded from the process. The advisor may be legal counsel, but participation will be limited as stated herein. An advisor’s failure to comply with the participation limitations outlined in these Procedures and the Title IX Policy may result in the advisor being dismissed from any meeting, or other proceeding. Any fees charged by the advisor are the sole responsibility of the requesting party. Consistent with the University’s obligations to promptly resolve sex discrimination complaints, the University reserves the right to proceed with any meeting or interview, regardless of the availability of the party’s selected advisor.
B. Additional Rights
Throughout these investigations, adjudications, and resolution of Sex Discrimination complaints, both Complainants and Respondents have the following rights: - To receive information regarding available Supportive Measures and community support resources (including, but not limited to, a no-contact or limited no-contact directive; modification of academic, living, transportation, or working situations; available health and mental health counseling; victim advocacy; safety planning; information about possible legal assistance; visa and immigration assistance; student financial aid; and, if applicable, disability accommodations); 3
- To request and receive reasonable and appropriate accommodations with regard to participating in the Title IX process through the use of procedures outlined by Disability Support Services and/or the AWARE Program;
- To an impartial investigation if and when one is initiated;
- To written notice of the date, time, location, participants, and purposes of all investigative interviews or other Title IX-related meetings with sufficient time for the party to prepare to participate;
- To receive an objective evaluation of all relevant evidence - including both inculpatory evidence (evidence that may support a finding or conclusion that Respondent engaged in Prohibited Conduct) and exculpatory evidence (evidence that may support a finding or conclusion that a Respondent did not engage in Prohibited Conduct);
- To receive a notice of the allegations, an opportunity to respond to the allegations, and the appropriate and applicable policies regarding the investigation process and possible sanctions/disciplinary actions;
- To be advised of the University’s prohibition on retaliation;
- To be notified that information and materials the University obtains during its initial assessment or investigation into allegations of sex discrimination may be disclosed in response to a valid subpoena;
- To be notified that there is no requirement to make a statement or otherwise provide information relevant to the investigation. However, the investigation may continue and a decision regarding responsibility will be made based on the available statements and evidence.
- To be notified in writing of the determination regarding responsibility, including the rationale for such determination and the procedures and permissible bases for appeal;
- To a presumption that the Respondent is not responsible for the alleged Prohibited Conduct until a determination regarding responsibility, based on a preponderance of the evidence standard, is made at the conclusion of grievance process.
III. Investigative Procedures and Sanctions
A. Time Frame for Resolution
The University seeks to resolve all Reports of sex discrimination as promptly as reasonably possible. Best efforts will be made to follow the time frames discussed below.
In calculating time periods, “business days” do not include weekends or UAB-designated holidays. All time frames may be extended when necessary to ensure the integrity and completeness of the investigation, accommodate the availability of witnesses, accommodate delays by the parties, account for University breaks or vacations, or address other legitimate reasons, including the complexity of the investigation (including the number of witnesses and volume of information provided by the parties) and the severity and extent of the alleged conduct. Any extension of the timeframes, and the reason for the extension, will be shared with the parties in writing.
UAB will disclose information about its investigation and resolution of sex discrimination complaints only to those who need to know the information to carry out their duties and responsibilities. It will inform all University personnel participating in an investigation, proceeding, or hearing that they are expected to maintain the privacy of the process. This does not prohibit either a Complainant or Respondent from obtaining the assistance of family members, counselors, therapists, clergy, doctors, attorneys, or other resources.
B. Initial Assessment
1. Responses to a Report of Prohibited Conduct
When a report of Prohibited Conduct is made, the Title IX Coordinator or their designee will assess the nature of the report; contact the Complainant, if any, for a preliminary discussion of the alleged prohibited conduct; address the immediate needs of the Complainant and the UAB community; implement or recommend Supportive Measures, as appropriate; discuss available options for resolution, including formal and informal resolution; and provide the complainant information about both on and off campus resources During the initial assessment and preliminary discussion with the Complainant, the Title IX Coordinator will gather facts that will enable them and the Investigator(s), in consultation with other offices as appropriate, to: - Assess the nature and circumstances of the allegation(s);
- Address any immediate concerns about the physical safety and emotional well-being of the parties and the campus community;
- Discuss available options for resolution with the Complainant,
The initial assessment will continue until the Title IX Coordinator or their designee has sufficient information to determine an appropriate course of action to resolve the Report. The assessment will determine whether the alleged conduct could present a potential violation of the Title IX Policy and whether further action is warranted based on the alleged conduct.
If a Complainant wants to make a report of sex discrimination but also wants to maintain anonymity and/or request that no investigative or disciplinary measures be taken, the Title IX Coordinator will advise the Complainant that the University will consider the request but cannot guarantee it will be able to honor the request. The University will weigh such a request against the University’s obligation to provide a non- discriminatory environment. In determining whether it can honor a request for confidentiality, the following factors will be considered: - The nature and scope of the alleged conduct;
- The risk posed to any individual or to the campus community by not proceeding;
- Whether there have been other reports of sex discrimination by the Respondent;
- The Complainant’s wish to pursue disciplinary action;
- Whether the University possesses other means to pursue the investigation and obtain relevant evidence without participation from the Complainant;
- Considerations of fundamental fairness and due process with respect to the Respondent should the course of action include disciplinary action against the Respondent; and
- The University’s obligation to investigate and to provide a non-discriminatory environment.
The University’s ability to fully investigate and respond to a Report may be limited if the Complainant requests that their name not be disclosed to the Respondent or declines to participate in an investigation.
At the conclusion of the Initial Assessment, the Title IX Coordinator, in collaboration with Human Resources or other appropriate offices, will determine the appropriate resolution route. Resolution may include (1) no further action; (2) Informal Voluntary Resolution; (3) the initiation of an investigation that may lead to sanctions/disciplinary action; or (4) referral to other appropriate offices for further inquiry, review, or assessment. The Respondent will be notified when UAB takes action that would impact a Respondent, such as the initiation of an investigation or the Complainant’s decision to seek Informal Voluntary Resolution.
C. Informal Voluntary Resolution
Informal Voluntary Resolution, when requested by the Complainant or Respondent, and deemed appropriate by the Title IX Coordinator, is a path designed to stop the conduct at issue, prevent its recurrence, and remedy its effects in a manner that meets the expressed preference of the Complainant and preserves the safety and welfare of the campus community. Informal Voluntary Resolution does not involve an investigation, adjudication hearing, or disciplinary action against a Respondent and is not appropriate for all forms of conduct under the Title IX Policy. Informal Voluntary Resolution is available only if both parties voluntarily agree in writing to participate. A Respondent is not required to accept responsibility to participate in Informal Voluntary Resolution.
Informal Voluntary Resolution will be facilitated by University-sanctioned trained professionals. The time frame for completion of Informal Voluntary Resolution may vary, but the University will seek to complete the process within sixty (60) business days of the Complainant’s request. A Complainant may request and decide to pursue Informal Voluntary Resolution at any time. In those cases, in which Informal Voluntary Resolution involves either the notification to, or participation by, the Respondent, it is the Respondent’s decision whether to accept Informal Voluntary Resolution.
Informal Voluntary Resolution will not be used in cases involving allegations that an employee sexually harassed a student. The University retains the discretion to determine which other cases are appropriate for Informal Voluntary Resolution. The University may gather information necessary through interviewing individuals and other evidence gathering to determine if the case is appropriate for Informal Voluntary Resolution. Factors the University will consider when determining whether a report of Prohibited Conduct is suitable for Informal Voluntary Resolution include, but are not limited to, the following: - The nature of the alleged offense;
- The dynamics of power or control commonly associated with the alleged offense and/or with the parties involved;
- The Respondent’s prior known conduct;
- Whether there would be a continuing safety threat to the campus community after resolution of the specific report of Prohibited Conduct;
- Whether multiple parties are involved;
- Whether the resolution proposed is designed to eliminate, prevent, and address the reported Prohibited Conduct;
- Any other factor deemed relevant by the Title IX Coordinator in the interest of overall campus safety or safety of the parties involved.
Informal Voluntary Resolution may result in the following remedies: establishing Supportive Measures; conducting targeted or broad- based educational programming or training for relevant individuals or groups; providing increased monitoring, supervision, or security at locations or activities where the misconduct occurred; restrictions on contact; restrictions on the Respondent’s participation in one or more of UAB’s employment or education programs or activities; and any other remedy that can be tailored to the involved individuals to achieve the goals of the Title IX Policy. In some forms of Informal Voluntary Resolution, the remedies imposed will focus on supporting the Complainant with no participation or involvement by the Respondent. In other forms of Informal Voluntary Resolution, the Respondent may agree to participate. Depending on the type of remedy used, it may be possible for a Complainant to maintain anonymity.
Informal Voluntary Resolution may also include restorative principles that are designed to allow a Respondent to accept responsibility for misconduct and acknowledge harm to the Complainant or to the University community. Restorative models will be used only with the consent of both parties, under the supervision of University-sanctioned trained professionals, and following a determination by the University that the matter is appropriate for a restorative approach. Informal Voluntary Resolution may also include mediation
Participation in Informal Voluntary Resolution is a choice, and either party can request to end this manner of resolution and pursue an investigation at any time, including if Informal Voluntary Resolution is unsuccessful at resolving the Report. Similarly, a Complainant may request to end an investigation and pursue Voluntary Resolution at any time if the Respondent also consents to Informal Voluntary Resolution. In addition, either party may request Supportive Measures regardless of whether any particular course of action is sought
The University may also decide to proceed with a formal investigation and withdraw its approval for the Informal Voluntary Resolution at any time during the process. If additional potential Policy violations are revealed during the Informal Voluntary Resolution process, the University may withdraw its approval for the process and proceed with a formal investigation or the University, with the consent of the parties, may continue the Informal Voluntary Resolution process and informally resolve the additional potential Policy violations
Information disclosed by any party during the Informal Voluntary Resolution process will not be considered during a subsequent investigation or adjudication hearing
Because the outcome of the Informal Voluntary Resolution process is mutually developed and agreed upon by the parties, an appeal of the process and its result is not permitted. Entering into an Informal Voluntary Resolution Agreement precludes the parties from initiating or resuming the grievance procedures arising from the same allegations on which the agreement is based.
D. Investigation Procedures
If deemed appropriate based on the Initial Assessment, the University will initiate an impartial investigation of Prohibited Conduct in accordance with these Procedures. The Title IX Coordinator, in collaboration with Human Resources, will designate one or more Investigators who have training and experience investigating allegations of Prohibited Conduct. The Investigator(s) will coordinate the gathering of information to determine whether the preponderance of the evidence establishes that the alleged conduct constitutes a violation of the Title IX Policy.
The investigation is a neutral fact-gathering process. The Respondent is presumed to be not responsible; this presumption may be overcome only where the Investigator concludes that it is more likely than not that the Respondent violated the Title IX Policy. Neither party is required to participate in the investigation nor any form of resolution under these Procedures. 5 The Investigator will not draw an adverse inference merely because either of the parties elected not to participate. If a student Respondent voluntarily withdraws from the University while an allegation of Prohibited Conduct against him or her is pending, permission for readmission will be considered only after the charges have been resolved.
The University will make reasonable efforts to protect the privacy of participants, in accordance with applicable state and federal law, while balancing the need to gather information to conduct a thorough investigation.
1. Notice of Investigation
The Title IX Coordinator will send the Complainant and the Respondent and, if applicable, the Respondent’s appropriate supervisor(s), a written Notice of Investigation, which constitutes the formal charge of a violation of the Title IX Policy.
The Notice of Investigation will contain the following information: - Notice of the alleged conduct at issue, including the identities of the parties involved;
- Notice of the specific section(s) of the Title IX Policy allegedly violated, and the date and location of the incident(s);
- Notice of the grievance process, including information about Informal Voluntary Resolution;
- A statement that the Respondent is presumed not responsible for the alleged conduct until a determination regarding responsibility is made at the conclusion of the grievance process and that prior to the determination, the parties will have an opportunity to present relevant and not otherwise impermissible evidence to the Investigator;
- Notification of the provision of the Title IX policy prohibiting knowingly making false statements or knowingly submitting false information during the grievance process;
- A statement that Retaliation is prohibited;
- A statement that the parties are entitled to an equal opportunity to access the relevant and not otherwise permissible evidence;
- Range of potential sanctions under the Title IX Policy;
- On and off campus resources; and
- Rights of the parties.
The Notice of Investigation must allow the Respondent sufficient time to prepare a response before any initial interview. Upon receipt of the Notice of Investigation, or at any stage in the process, the Respondent may choose to accept responsibility for the Title IX Policy violation(s). Once the Notice of Investigation has been delivered to the parties, the investigation phase begins.
If, in the course of an investigation, the Investigator decides to investigate new allegations of Prohibited Conduct that are not included in the initial Notice of Investigation, the Title IX Coordinator will provide notice of the additional allegations to the parties whose identity is known.
The Title IX Coordinator may reasonably delay providing the Notice of Investigation in order to address reasonable concerns for the safety of any person as a result of providing this notice. The Title IX Coordinator will undertake an individualized safety and risk analysis before making a decision to delay the Notice of Investigation.
2. Conducting the Investigation
The Title IX Coordinator will oversee the investigation. The investigation is designed to provide a fair and reliable gathering of the facts by an impartial investigator. All individuals, including the Complainant, the Respondent, and any third-party witnesses, will be treated with appropriate sensitivity and respect throughout the investigation. The investigation will safeguard the privacy of the individuals involved in a manner consistent with federal law and University policy.
During the investigation, the Complainant and Respondent will have an equal opportunity to be heard, submit information, and identify witnesses who may have relevant information. The Investigator will speak separately with the Complainant, the Respondent, and other individuals who are willing to participate and have information relevant to the determination of responsibility. The Investigator will also endeavor to gather any available evidence, including prior statements by the parties or witnesses, any communications between the parties, email messages, social media materials, text messages, audio or video recordings, and other records as appropriate, available, and feasible.
The Investigator has the discretion to determine the relevance of any witness or other evidence to the finding of responsibility and may exclude information if the Investigator determines that the information is irrelevant. The Investigator will objectively evaluate relevant statements of personal opinion by witnesses and statements as to general reputation for any character trait, including honesty, and analyze whether that evidence warrants a high or low level of weight or credibility.
The Investigator(s) may not access, consider, disclose or otherwise use a party’s records maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional which are made and maintained in connection with the provision of treatment to the party unless the party holding such privilege has waived the privilege for the records’ use in the grievance procedures. This is also true for any other evidence protected under a privilege recognized by Federal or State law or evidence provided to a confidential employee
3. Timing of the Investigation
The University will seek to conclude the investigation within sixty (60) business days from the issuance of the Notice of Investigation. The time frame for completion of the investigation, or any designated time frames of steps in the investigation, may be extended as set forth herein above. Any extension of the timeframes, and the reason for the extension, will be shared with the parties in writing. Best efforts will be made to complete the process in a timely manner by balancing principles of thoroughness and fundamental fairness with promptness.
4. Cooperation in the Investigation
All community members, including students, faculty and other University employees, who may have relevant information and/or be a witness, are strongly encouraged and expected to cooperate with the Title IX Coordinator, Deputy Title IX Coordinators, and/or Investigator(s). The Title IX Coordinator or Deputy Title IX Coordinator may request the appearance of persons from the University community who can provide relevant evidence. Both a Complainant and a Respondent may decline to participate in proceedings under the Title IX Policy. The Title IX Coordinator will determine whether the investigation will proceed without the Complainant pursuant to the factors set out in the Initial Assessment as described in Section IV.B. above.
5. Witness Tampering
The Complainant and Respondent have the right to discuss or write about the allegations under investigation and to gather and present evidence. While a party has a right to communicate with witnesses or potential witnesses, witness tampering and intimidation is prohibited.
6. Impact Statement
The Complainant and Respondent will be provided the opportunity to submit a written Impact Statement. These written Impact Statements will not be considered in the determination of responsibility, but will be considered in the determination of potential sanctions and/or remedies. The Impact Statement may be submitted at any time in the process, if it is received no later than five (5) business days after the submission of additional evidence. The Impact Statement(s) will be shared with the parties, but may be redacted at the discretion of the Title IX Coordinator or Deputy Title IX Coordinator, or in accordance with FERPA.
7. Review of the Evidence and Submission of Additional Evidence
At the conclusion of the investigation and prior to preparing the Investigation Findings, the Investigator will notify the Complainant and Respondent of the completion of the investigation and provide them with the opportunity to submit any additional evidence, such as witness identities, documents, or other information not previously submitted. The parties will have ten (10) business days to submit any such additional evidence in writing. In the absence of good cause, evidence discoverable through the exercise of due diligence that is not provided to the Investigator will not be considered by the Investigator.
8. Investigation Findings and Sanctions
After receipt and consideration of any additional evidence from the Complainant or Respondent, or after the ten (10) business days have lapsed without the submission of additional evidence, the Investigator will provide a written decision that includes a findings of fact supporting the determination, a conclusion regarding the application of UAB’s Title IX policy to the facts, and a statement of and rationale for the results as to each allegation in the Complaint, including a determination regarding responsibility.
The Title IX Coordinator will review the written decision and determine appropriate recommended sanction(s) in consultation with the appropriate leadership (including, as appropriate, supervisor, the Director of Community Standards & Student Accountability, UAB Human Resources, the Provost, relevant Deans, the Office of Graduate Medical Education, and/or the Office of Postdoctoral Education).
The Title IX Coordinator will send the Notice of Outcome letter simultaneously to both the Complainant and the Respondent electronically. The letter will include the Investigator's findings, any sanctions if necessary, and details about the appeals process.
If the allegation(s) of Prohibited Conduct was made against a student Respondent, the determination of responsibility and/or recommended sanctions may be appealed in accordance with the procedures described in Section IV. If the allegation(s) of Prohibited Conduct was made against a non-student Respondent, there may be a right to appeal the recommended sanction(s) under Section IV of these procedures. If an appeal process is available, the determination and/or recommended sanctions will not be final until the appeal process is completed or the deadline to file an appeal has passed and no appeal was filed.
In the event of a determination that the Title IX Policy was violated by an employee, the Notice of Outcome Letter will be provided to the appropriate leadership.
IV. Appeals Process: Complaints Against Student Respondents
When the Investigator determines that the preponderance of the evidence supports a finding that a Title IX Policy violation occurred, and the Title IX Coordinator recommends sanctions, the Respondent may accept or contest such recommended finding(s) and/or sanction(s) by notifying the Title IX Coordinator in writing within five (5) business days of receiving the Notice of Outcome Letter. The Respondent must provide a statement explaining why the Respondent is contesting the findings. The Title IX Coordinator will allow the Complainant to review such statement and respond in writing within five (5) business days of receiving the Respondent’s statement.
If the Complainant contests one or more of the recommended finding(s) and/or sanction(s), the Complainant may submit a written statement to the Title IX Coordinator explaining why the Complainant contests such finding(s) and/or sanction(s). The statement must be submitted within five (5) business days of receipt of the Notice of Outcome. The Title IX Coordinator will allow the Respondent to review such statement and respond in writing within five (5) business days. If the recommended sanction(s) impacts the Respondent’s student’s status as defined in Subpart D, the Title IX Coordinator will issue a Notice of Hearing to the Complainant and the Respondent and a hearing will be held in accordance with the procedures outlined below. If the recommended sanction(s) does not impact the Respondent’s student status, the Title IX Coordinator will refer the matter to the Vice President of Student Affairs (or his/her designee) for an Administrative Review as described below.
When the Investigator determines the preponderance of the evidence does not support a finding of responsibility, either party may accept or contest the recommended finding(s) by notifying the Title IX Coordinator, in writing within five (5) business days of receiving the Notice of Outcome. The contesting party’s statement will be provided to the non-contesting party, and the non-contesting party will have the ability to review and respond in writing within five (5) business days of receiving the contesting party’s statement. The Title IX Coordinator will refer the matter to the Vice President of Student Affairs (or his/her designee) for an Administrative Review as described below. If the parties accept the recommended finding(s) of no responsibility, the investigation will be closed and documented in accordance with applicable University policies.
Where both the Complainant and the Respondent agree with the determination and any recommended sanction(s), or where neither party requests further review within the timelines discussed above, the determination and sanction(s) become final. The Title IX Coordinator will notify both parties concurrently in writing that the determination is final and not subject to further appeal or review.
A. Administrative Review
In the event of an Administrative Review (when the recommended sanction(s) does not impact the Respondent’s student status or when there is no finding of responsibility), the matter will be reviewed by the Vice President of Student Affairs (or his/her designee) (“the Designated Reviewing Official”). The Designated Reviewing Official may meet separately with the Respondent and the Complainant. The Designated Reviewing Official may agree with the determination, disagree with the determination, or request additional investigative follow-up.
- If the Designated Reviewing Official agrees with the determination, it is deemed final and not subject to further appeal or review.
- If the Designated Reviewing Official disagrees with the determination, it will immediately be forwarded to the Title IX Coordinator to initiate Adjudication by a Hearing Officer.
- If the Designated Reviewing Official determines additional investigation is necessary before he/she can make a decision, the matter will be returned to the Investigator or Title IX Coordinator (for sanctions only) for further review.
The Designated Reviewing Official will render a decision in writing to both parties concurrently within ten (10) business days of receipt of the request for review. This timeframe may be extended for good cause provided that both the delay and the reason for the delay are communicated to the parties in writing, in advance of the delay.
B. Adjudication by a Hearing Officer
1. Review of a Determination that a Title IX Policy Violation Occurred
If the Respondent challenges the determination that a Title IX Policy violation occurred and the recommended sanctions could impact the Respondent’s student status, the Title IX Coordinator will issue a Notice of Hearing to the Complainant and the Respondent, and the matter will be reviewed by a Hearing Officer in accordance with the procedures outlined below. The Hearing Officer’s role is twofold: (i) determine whether the preponderance of the evidence establishes a Title IX Policy occurred, and if so, (ii) determine what sanction(s), if any, is warranted.
2. Review of Recommended Sanctions That May Impact Student Status
If either the Complainant or the Respondent requests a hearing solely on recommended sanction(s) that could impact the Respondent’s student status, the Title IX Coordinator will refer the matter to a Hearing Officer as outlined below, which will conduct a hearing limited to the issues of determining whether (i) the recommended sanction(s) was appropriate, and if not, (ii) the appropriate alternative sanction(s).
C. Hearing Procedures
The Hearing Process will generally be completed within twenty-five (25) business days from the date of the request challenging the Investigator and/or Title IX Coordinator’s decision(s) but may be extended for good cause with written notice to the parties.
1. Hearing Officer
The Title IX Coordinator (or designee) will issue a written Notice of Hearing to the parties with the name of the Hearing Officer and how to challenge the Hearing Officer for bias or conflict of interest. The Title IX Coordinator (or designee) will have sole discretion to determine whether the Hearing Officer has bias or conflict of interest, and if so, the responsibility to appoint another Hearing Officer.
2. Hearing Procedures
The Hearing will be scheduled and conducted in accordance with the procedures outlined herein. The Hearing will take place in a closed session. The Hearing Officer will determine whether the preponderance of the evidence establishes a Title IX Policy violation occurred or, if only the recommended sanctions are being challenged, whether the recommended sanctions are too severe or too lenient. In reaching a determination, the Hearing Officer will solicit information from any witnesses as appropriate to ensure a full assessment of the relevant facts, which may include obtaining information from the Investigator, the Title IX Coordinator, the Complainant, and/or the Respondent.
Subject to the limitations stated in this Policy, both the Complainant and the Respondent have the same opportunity to have an advisor of their choice present during the hearing, at their own expense. The advisor, who may be an attorney, may privately consult with and advise the party but may not question witnesses, make statements, or otherwise directly participate in the proceedings. The Hearing Officer may remove or dismiss an advisor who becomes disruptive or who does not abide by the limitations on their participation.
All evidence each party wishes to be considered by the Hearing Officer should have been presented to the Investigator during the investigation process. If evidence was not provided to the Investigator during the investigation process, then presentation of such evidence during the hearing is at the discretion of the Hearing Officer but generally will only be allowed based on new information not known during the investigation process. If the hearing is limited to a review of the recommended sanctions, only evidence related to the sanctions will be considered by the Hearing Officer. Further, all materials that the Investigator, Complainant, or Respondent want the Hearing Officer to consider must be submitted to the Title IX Coordinator (or designee) at least four (4) business days prior to the hearing. The Title IX Coordinator (or designee) will provide the submitted materials to the Hearing Officer and make copies available for inspection by the Complainant and Respondent at least ten (10) business days prior to the hearing, consistent with FERPA or other regulation governing the disclosure of education records. Any materials submitted and/or discovered fewer than four (4) business days before the hearing may only be considered at the sole discretion of the Hearing Officer. Any materials that are not related to the recommended sanctions will not be considered by the Hearing Officer if the hearing is limited to a reconsideration of the recommended sanctions.
The Complainant and the Respondent have the right to present witnesses, subject to the discretion of the Hearing Officer. Each party must provide a list of potential hearing witnesses to the Title IX Coordinator (or designee) at least four (4) business days prior to the hearing. The Title IX Coordinator (or designee) will provide the witness list(s) to the Hearing Officer. If the hearing is limited to whether the sanctions are too severe or too lenient, the witness list must be limited in scope to this question.
All questioning of parties and witnesses (including the Investigator) is conducted through the Hearing Officer. A party does not have a right to question or cross examine another party or witness directly. A party may recommend direct questions to be asked of another party or witness by submitting them in writing to the Title IX Coordinator (or designee) three (3) calendar days prior to the hearing. The Title IX Coordinator (or designee) will provide them to the Hearing Officer. During the hearing, a party may also suggest questions to the Hearing Officer based on information presented during the hearing. The Hearing Officer, in his/her sole discretion, will determine the relevancy of all questions presented, and, if they are deemed relevant, the Hearing Officer may pose those questions to the other party or the witness(es). The Hearing Officer has discretion to alter the exact wording of any proposed question. The Hearing Officer may also independently question the parties and witnesses to elicit relevant information.
The Complainant and Respondent may appear before the Hearing Officer if they wish and make an oral statement regarding the facts. Upon request, a party or witness may participate by telephone or videoconference from a different physical location or may request that a visual barrier be placed to limit the individual’s exposure to other hearing participants. The Complainant and Respondent will not be in the hearing room together, unless both parties agree in writing. The party who is not before the Hearing Officer may have audio access to the hearing via telephone when the other party appears.
The Hearing Officer will review Impact Statements only if 1) a determination of a Title IX Policy violation is made or 2) the hearing was held to determine whether the recommended sanctions are appropriate. After consideration of all of the relevant information, the Hearing Officer will make a determination whether the preponderance of the evidence establishes a Title IX Policy violation occurred and/or if the sanctions were appropriate (and, if not, determine alternative sanction(s)). Preponderance of the evidence means that it is more likely than not that the conduct occurred. If the Hearing Officer determines a violation occurred, the Hearing Officer will also determine and impose a sanction(s).
With the exception of any approved reasonable accommodation, a Respondent, Complainant, advisor, and/or witness may not bring electronic devices that capture or facilitate communication (e.g., computer, cell phone, audio/video recorder, etc.) into a hearing room. The Title IX Coordinator will make an audio recording of the hearing to be kept on file in accordance with UAB’s document retention policy. Reasonable care will be taken to create a quality audio recording and minimize technical problems; however, technical problems that result in no recording or an inaudible one will not be a valid argument for appeal.
D. Imposition of Sanctions
The Title IX Policy prohibits a broad range of behaviors, which are serious in nature. In keeping with the University’s commitment to foster an environment that is safe, inclusive, and free of Prohibited Conduct, the Title IX Policy provides the Title IX Coordinator and Hearing Officer with wide latitude in the imposition of sanctions tailored to the facts and circumstances of each report, the impact of the alleged Prohibited Conduct on the Complainant and surrounding community, and accountability for the Respondent. The imposition of sanctions is designed to eliminate Prohibited Conduct under the Title IX Policy, prevent its recurrence, and remedy its effects, while supporting the University’s educational mission and federal obligations. Sanctions may include educational, restorative, rehabilitative, and punitive components. Some behavior, however, is so egregious in nature, harmful to the individuals involved, or so deleterious to the educational process that it requires severe sanctions, including suspension from the University.
In cases where neither party challenges the Investigator’s determination of responsibility or the Title IX Coordinator’s recommended sanctions as outlined in the Notice of Outcome Letter, the sanctions set forth therein will stand.
In addition, the Hearing Officer shall consider the following factors (which were also considered by the Title IX Coordinator in determining sanction(s):
- the nature of the conduct at issue;
- the impact of the conduct on the Complainant;
- the impact or implications of the conduct on the community or the University;
- prior misconduct by the Respondent, including the Respondent’s relevant prior discipline history;
- maintenance of a safe and respectful environment conducive to learning; and
- any other mitigating, aggravating, or compelling circumstances to reach a just and appropriate resolution in each case.
The Hearing Officer (and initially, the Title IX Coordinator) may also consider restorative outcomes that allow a Respondent to develop insight about their responsibility for the behavior, learn about the impact of the behavior on the Complainant, and identify how to prevent or change the behavior.
1. Sanctions that Impact a Student’s Status
Sanctions may be imposed individually or in combination. Sanctions that affect a student’s status with the University include the following:
- Expulsion means that a student is removed from the University permanently and may not seek readmission.
- Suspension for a Definite or Indefinite Period means that the student must leave the University for a definite or indefinite period. This form of suspension anticipates that the student may eventually return if applicable conditions are satisfied.
- Probation for a Definite or Indefinite Period means that a student is not in good standing and may remain at the University but may be required to satisfy specified conditions or requirements.
2. Sanctions that Do Not Impact a Student's Status
Sanctions that do not affect a student’s good standing status with the University include, but are not limited to, the following:
- Educational Requirements. Completion of projects, programs, or requirements designed to help the student manage behavior and understand why it was inappropriate.
- “No Contact” Orders. Compliance with orders that limit access to specific University areas or forms of contact with particular persons.
- Housing Restrictions. Exclusion from University housing or change in housing arrangements.
- Community Service. Completion of up to sixty (60) hours of community service over a period not to exceed twelve (12) weeks under guidelines established and monitored by the Title IX Coordinator and AVP of Student Experience.
- Written Warning. An official reprimand that is communicated by letter to a student, notifying him/her notice that any subsequent Title IX Policy violation will carry more serious sanctions.
E. Notice of Hearing Outcomes
Within five (5) business days of the conclusion of the Hearing, the Title IX Coordinator will provide a written Notice of Hearing Outcome to the Complainant and the Respondent concurrently. The Notice of Hearing Outcome will include the finding by the Hearing Officer, the rationale for the result, and a brief summary of the evidence on which the decision is based, as appropriate. Where there is a finding of a Title IX Policy violation or a decision made regarding sanctions, the Respondent will be informed of any sanctions, the date by which the requirements must be satisfied (if applicable), and the consequences of failure to satisfy the requirements. The Complainant will be informed of any sanctions and remedies that directly relate to the Respondent, including information about the Respondent’s presence on campus (or in a shared class or residence hall), that may help a Complainant make informed decisions or work with the University to eliminate Prohibited Conduct and prevent its recurrence.
The Notice of Hearing Outcome is final and cannot be appealed.
V. Remedies
After a final determination of a finding of responsibility, in addition to the imposition of sanctions, the Title IX Coordinator will determine what remedies may need to be implemented to restore or preserve equal access to the University’s education program or activity or employment as set forth in the Title IX Policy. The Title IX Coordinator, in consultation with other offices as needed, will also identify any appropriate remedies/measures to address any effects of substantiated Prohibited Conduct on the University community.
VI. Additional Considerations
A. Faculty
If there is a final determination that there was a Title IX Policy violation, a faculty respondent may have additional rights to appeal the sanctions (if any) pursuant to the UAB Faculty Handbook. The appeal under the UAB Faculty Handbook is not intended to be a re-investigation of the matter, and the scope of the appeal will be limited only to the determination regarding sanctions.
B. Staff
If there is a final determination that there was a Title IX Policy violation, staff respondent may have additional rights to appeal the sanctions (if any) pursuant to the You and UAB Handbook. The appeal under the handbook is not intended to be a re-investigation of the matter, and the scope of the appeal will be limited only to the determination regarding sanctions.
C. Residents
If there is a final determination that there was a Title IX Policy violation, a respondent who is a resident may have additional rights to appeal the sanctions (if any) pursuant to the applicable Graduate Medical Education Policies and Procedures Manual. The appeal under this manual is not intended to be a re-investigation of the matter, and the scope of the appeal will be limited only to the determination regarding sanctions.
D. Postdoctoral Fellows and Trainees
If there is a final determination that there was a Title IX Policy violation, a respondent who is a postdoctoral fellow or trainee may have additional rights to appeal the sanctions (if any) pursuant to the Handbook for Postdoctoral Scholars. The appeal under the handbook is not intended to be a re-investigation of the matter, and the scope of the appeal will be limited only to the determination regarding sanctions.
E. Community Member / Third-Party / Affiliate / Non-Affiliate / Campus Visitor
In determining appropriate sanctions, the disciplinary sanction must be reasonably calculated to end the Title IX Policy violation. Depending on the relationship of the Respondent with UAB, possible sanctions may include, but are not limited to, verbal counseling, written counseling or warning, official reprimand, mandatory counseling, training, mandatory attendance at the Employee Assistance Program, educational assignment, paid or unpaid administrative leave, performance improvement plan, reassignment of responsibilities, ineligibility to receive raise or promotion, suspension of annual merit increase, decrease in salary, suspension, demotion, transfer, termination of employment, termination of the third-party relationship, or prohibition on further employment at the University.
The Title IX Coordinator will inform the Complainant that appropriate corrective action has been taken, but cannot reveal the specifics of the action if it is a confidential personnel action.
VII. Acceptance of Responsibility
The Respondent may, at any time before a determination of responsibility has been made, request to resolve the investigation process or resolve specific allegation(s) by accepting responsibility for the alleged Prohibited Conduct. The Title IX Coordinator will consider the request; if the request is granted, the Title IX Coordinator, in consultation with, if necessary, the appropriate leadership office (e.g., Human Resources, the Provost, the Director of Community Standards & Student Accountability) will determine the appropriate sanction(s). When a Respondent accepts responsibility for Sex Discrimination, both the Complainant and Respondent may appeal the determination on the basis that the sanction(s) is either too severe or too lenient. The appeal process is detailed in Section IV of these procedures.
Related Policies
UAB Enterprise Code of Conduct
Equal Opportunity and Discriminatory Harassment Policy
Duty to Report and Non-retaliation Policy
Policy Concerning Consensual Romantic Relationships
Violence Prevention and Response Policy
Title IX Policy
Related Procedures
Title IX Procedures for the Resolution of Sexual Harassment Complaints |
