Table of Contents

I. Overview and Applicability
II. Rights of Complainants and Respondents
III. Complaint Procedures
IV. Investigation Procedures
V. Adjudication by a Hearing Officer
VI. Appeals Process
VII. Remedies
VIII. Other Relevant Information

I. Overview and Applicability

The University of Alabama at Birmingham (“UAB” or “the University”) has developed these Procedures for the Resolution of Title IX Sexual 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 Sexual Harassment, as described within the definition of Prohibited Conduct in the Title IX Policy, brought against UAB students, faculty and staff members, affiliates, and non-affiliates (i.e., someone not associated with UAB), as appropriate.[1]

Any conduct that does not rise to the level of Prohibited Conduct under the Title IX Policy, and/or falls outside the jurisdiction of this policy, may be investigated and addressed pursuant to other applicable, non-Title IX policies, including but not limited to UAB’s Equal Opportunity and Discriminatory Harassment Policy, Student Conduct Code, UAB Duty to Report and Non-retaliation Policy, and UAB Enterprise Code of Conduct. 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. Community Standards and Student Accountability, Human Resources) 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.

All community members are strongly encouraged and may be required to report to the University any incident of “Prohibited Conduct” as defined in the Title IX Policy. Many University administrators are specifically trained to support individuals affected by Prohibited Conduct and the University is fully committed to promoting a safe and healthy educational and work environment.

II. Rights of Complainants and Respondents

These Procedures for the investigation and resolution of Sexual Harassment 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 Sexual Harassment Complaints. 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

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);[2]
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 be informed of available options for making a report;
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 accompanied by an advisor at all University proceedings relevant to this resolution process, subject to the limitations outlined herein;
To be notified that information and materials the University obtains during its initial assessment or investigation into allegations of sexual harassment may be disclosed in response to a valid subpoena; and
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 supporting the determination, 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 the grievance process.

III. Complaint Procedures

A. Time Frame for Resolution

The Title IX Coordinator seeks to resolve all reports 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, comply with a request by external law enforcement, 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.

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 preliminary discussion with the Complainant, the Title IX Coordinator or their designee will gather facts that will enable the Title IX Coordinator, or their designee, 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, including the right to file a Formal Complaint;
Provide the Complainant with resources, both on and off campus;
Notify the Complainant of the option to notify law enforcement and to be assisted in doing so, as well as the option to decline to notify law enforcement;
Notify the Complainant of the availability of medical treatment to address any physical and mental health concerns and to preserve evidence;
Explain the University’s policy prohibiting Retaliation;
Discuss the Complainant’s expressed preference for the manner of resolution and any barriers to proceeding;
Explain the right and role of an advisor; and
Assess the reported conduct for the need for a timely warning or entry in the crime log under federal law.

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, including whether a Formal Complaint must be or may be dismissed (if one has been filed).

If a Complainant wants to maintain anonymity and/or request that no investigative or disciplinary measures be taken, the Title IX Coordinator or their designee will advise the Complainant that the University will consider the request but cannot guarantee that the University will be able to honor the request if the Title IX Coordinator determines it would be clearly unreasonable in light of known circumstances not to investigate the allegations. The University will conduct an assessment and will weigh such a request in light of the University’s obligation to provide a safe, 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, including whether the reported misconduct involves the use of a weapon;
The respective ages and roles of the Complainant and Respondent;
The risk posed to any individual, or to the campus or hospital community, by not proceeding, including the risk of violence;
Whether there have been other reports of misconduct involving the Respondent;
Whether the report reveals a pattern of misconduct (e.g., via illicit use of drugs or alcohol) at a given location or by a particular group;
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; and
Considerations of fundamental fairness and due process with respect to the Respondent should the course of action include disciplinary action against the Respondent.

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.

2. Filing a Formal Complaint and Dismissal

A Title IX investigation will not be initiated unless and until a Formal Complaint is filed by either the Complainant or the Title IX Coordinator, and if that Formal Complaint is not dismissed by the Title IX Coordinator. A Formal Complaint is a document filed by a Complainant or signed by the Title IX Coordinator alleging Prohibited Conduct against a Respondent and requesting that the recipient investigate the allegation of Prohibited Conduct. To file a Formal Complaint, a Complainant must be participating in, or attempting to participate in, UAB’s employment or educational programs or activities, including those participating in UAB’s research, athletic, and clinical operations. Formal Complaints cannot be anonymous except for Formal Complaints filed by the Title IX Coordinator when the Title IX Coordinator believes that with or without the Complainant’s desire to participate in a grievance process, it would be clearly unreasonable in light of known circumstances not to investigate the allegations.

Where a Complainant desires to file a Formal Complaint to initiate a grievance process, the Complainant cannot remain anonymous or prevent their identity from being disclosed to the Respondent. The Complainant may request to withdraw a Formal Complaint at any time. The University reserves the right to make a determination whether to approve or deny this request, but will strongly consider the Complainant’s wishes.

The Title IX Coordinator may consolidate Formal Complaints against more than one Respondent or by more than one Complainant against one or more Respondents or by one party against the other party where the allegations of Prohibited Conduct arise out of the same facts or circumstances. Arising out of the same fact and circumstances means that the multiple Complainants’ allegations are so intertwined that their allegations directly relate to all the parties. Parties shall have the opportunity to request or object to the consolidation; however, the Title IX Coordinator shall have the authority to make the final determination as to consolidation. When Complaints are consolidated, a single investigatory and adjudicatory process will be used. In such cases, each party will independently and simultaneously receive notification and information. The Investigator will issue one Investigation Report. All parties to a consolidated complaint will also receive the same Hearing Outcome Letter, although the determination of responsibility may be different with respect to each allegation depending on the facts. The Hearing Outcome Letter will be provided simultaneously to the parties.

A. Mandatory Dismissal of Formal Complaints

The Title IX Coordinator has the ability to dismiss a Formal Complaint and is required to do so in some cases.

The Title IX Coordinator must dismiss a Formal Complaint based on the following grounds:

The Prohibited Conduct would not constitute sexual harassment even if proved;
The Prohibited Conduct did not occur in UAB’s education program or activity (as defined in Section IV (Jurisdiction) of the Title IX Policy; or
The Prohibited Conduct did not occur against a person in the United States.

B. Permissive Dismissal of Formal Complaints

The Title IX Coordinator may dismiss a Formal Complaint based on the following grounds:

If at any time during the investigation or hearing, a Complainant notifies the Title IX Coordinator in writing that the Complainant would like to withdraw the Formal Complaint or any allegations therein;
The Respondent is no longer enrolled or employed by UAB; or
Specific circumstances prevent UAB from gathering evidence sufficient to reach a determination as to the Formal Complaint or allegations therein.

Upon a mandatory or permissive dismissal, the Title IX Coordinator will promptly send written notice of the dismissal and the reason(s) for the dismissal simultaneously to the parties. A mandatory or permissive dismissal does not preclude UAB from investigating and addressing the alleged conduct pursuant to other applicable, non-Title IX policies, including but not limited to, UAB’s Equal Opportunity and Discriminatory Harassment Policy, Student Conduct Code, and UAB Enterprise Code of Conduct. If the dismissed allegations arise out of the same facts and circumstances as other Title IX allegations that are not dismissed by the Title IX Coordinator, the University has discretion to continue to investigate both the Title IX and the non-Title IX allegations using these Procedures. For the non-Title IX allegations, the relevant definitions of conduct outlined in the other applicable, non-Title IX policy will be used.

Either party may appeal the dismissal of a Formal Complaint in accordance with Section VI of these procedures.

The Title IX Coordinator will continue to offer reasonable Supportive Measures even after the dismissal of the Formal Complaint and will take appropriate prompt and effective steps to ensure that the alleged sexual harassment does not continue or recur within UAB’s employment or education programs or activities.

C. 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 Prohibited Conduct. A request to accept responsibility for the Prohibited Conduct will be treated as a request to engage in the Informal Voluntary Resolution process outlined in Section D of these procedures. The Complainant must consent to engage in Informal Voluntary Resolution with the Respondent, and either party can request to end this manner of resolution and pursue an investigation at any time. 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.

D. Informal Voluntary Resolution

Informal Voluntary Resolution 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 a Formal Complaint is filed and both parties voluntarily agree in writing to participate. A Respondent is not required to accept responsibility to participate in Informal Voluntary Resolution.

To proceed with Informal Voluntary Resolution, the Title IX Coordinator must provide the parties with written notice that includes the following information: (1) a description of the allegations in the Formal Complaint; (2) the requirements of the informal voluntary resolution process, including the circumstances under which UAB precludes the parties from resuming a Formal Complaint arising from the same allegations; (3) any consequences resulting from participating in the Informal Voluntary Resolution process, including the records that will be shared and maintained; and (4) any party’s right to, at any time prior to agreeing to a resolution, to withdraw from the informal voluntary resolution process and resume the grievance process with respect to the Formal Complaint.

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 or Respondent’s request.

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.

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. 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.

E. Emergency Removal Process for Student Respondents

The University may become aware of a Respondent whose continued participation within the University community may pose an imminent threat to another person’s physical health or safety arising from the allegations of Prohibited Conduct. If the Title IX Coordinator reasonably determines that such a threat is posed, a Respondent may be removed from the University’s educational program or activity. The Title IX Coordinator may consult with other University personnel, including UAB’s Behavioral Threat Assessment Team (BTAM), as necessary, in deciding whether to implement an Emergency Removal.

Prior to taking any action, the Title IX Coordinator must conduct an individualized safety and risk analysis to determine whether an immediate threat to the physical health or safety of any student or other individual arising from the allegations of Prohibited Conduct justifies removal of the Respondent. As part of the assessment, the Title IX Coordinator must carefully evaluate whether appropriate Supportive Measures are a more appropriate and less restrictive means to negate or sufficiently minimize the likelihood of a threat’s occurrence. The decision to implement an Emergency Removal may be made at any point in the Title IX process.

Emergency Removal generally means that the Respondent is not allowed on UAB’s campus and cannot attend classes or participate in any University sponsored activities both on and off University property. Emergency Removal generally includes a prohibition on attending activities hosted by any University sponsored or recognized groups. An Emergency Removal may be limited to an exclusion and/or administrative ban from a portion of any University Premises or any University-sponsored activity, including, but not limited to, removal from an athletic team or removal from housing. Any exceptions to Emergency Removal will be explicitly communicated by the Title IX Coordinator.

Respondents who are removed from campus on an emergency basis will have the opportunity to request a review of the decision. Notification of an Emergency Removal will be sent to the Respondent’s University e-mail account. Respondents may additionally be notified by other means. The notification will include information regarding the alleged Prohibited Conduct, the rationale for the Emergency Removal, and the process to request a review of the decision.

Respondents requesting a review of an Emergency Removal decision may do so by contacting the Vice President of Student Affairs or his/her designee. This review is an opportunity for the Respondent to articulate why the Respondent’s presence does not pose an imminent threat to the physical health or safety of any student or other individual arising from the allegations of Prohibited Conduct. The request for review must be submitted by the Respondent within five (5) business days from the date of the Emergency Removal notification. The Respondent’s request for review of the Emergency Removal decision must be in writing and include the rationale for the request and any documentation or information that supports lifting the Emergency Removal.

The review will take place within three (3) business days from the date of the request. The Emergency Removal decision, and any relevant information, will be reviewed and the decision will either be supported, modified, or revoked.

In reviewing the request, the VP of Student Affairs or his/her designee shall consider the following issues only:

The reliability of the information concerning the Respondent’s behavior, including an assertion of mistaken identity; and
Whether the alleged conduct and the surrounding circumstances reasonably indicate that the Respondent’s continued participation within the University community may pose an imminent threat to any person’s physical health or safety which might arise out of the allegations of Prohibited Conduct.

The VP of Student Affairs or designee may, in their discretion, meet with the Respondent and utilize information gathered in that meeting to make a decision whether to terminate or modify the Emergency Removal. The Respondent may have an advisor present. If the Respondent is unable to participate in the review, the review may be postponed until the Respondent can participate.

Under certain circumstances, as a condition for termination or modification of the Emergency Removal, the VP of Student Affairs or designee may require that certain conditions be met, such as the Respondent complete a medical or psychological evaluation to be arranged and paid for by the University. The Respondent shall ensure that the medical or psychological evaluation report or other requested report is delivered to the University promptly. Within five (5) business days after delivery of such report, the Respondent may submit a written request for termination or modification of the Emergency Removal to the VP of Student Affairs or designee. The VP of Student Affairs or designee shall consider such report in making a decision whether to terminate or modify the Emergency Removal.

The notification of the review decision will be sent to the Respondent’s University e-mail account and may additionally be sent by other means. The Emergency Removal will remain in effect while the investigation, adjudication, and appeal process are pending. There will be no further appeals to the decision rendered upon review. The University, however, has discretion to impose, lift, reassess, or modify an Emergency Removal as circumstances may warrant at any point in a case, including without limitation as new information becomes available.

F. Administrative Leave Process for Employees

With respect to faculty and staff, UAB may place a faculty or staff member on administrative leave (with or without pay) during the pendency of an investigation and these grievance procedures. For student-employees, if the alleged Prohibit Conduct primarily occurred in the working environment, the student-employee may be placed on administrative leave from the working environment if the student-employee’s access to education is not jeopardized. In certain circumstances, UAB may have an obligation to report the leave to the National Science Foundation, National Institutes of Health, and/or other research sponsors.

IV. Investigation Procedures

If deemed appropriate based on the Initial Assessment, and if the Complainant or Title IX Coordinator submits a Formal Complaint, the Title IX Coordinator shall initiate an impartial investigation of Prohibited Conduct in accordance with these Procedures. The Title IX Coordinator, in collaboration with Human Resources, will designate an Investigator(s) who has training and experience investigating allegations of Prohibited Conduct. The Investigator may be a University employee or an outside Investigator. The Investigator(s) will coordinate the gathering of information which may be used by a Hearing Officer to make a determination regarding whether the alleged Prohibited Conduct constitutes a violation of the Title IX Policy by a preponderance of the evidence.

The investigation is a neutral fact-gathering process. The Respondent is presumed not to have violated the Title IX Policy until a determination regarding responsibility is made at the conclusion of the grievance process. This presumption may be overcome only where the preponderance of the evidence supports a finding that the Respondent is responsible for violating the Title IX Policy.

Neither party is required to participate in the investigation nor any form of resolution under these Procedures. The Hearing Officer will not draw an adverse inference merely because either of the parties elected not to participate.

UAB will disclose information about its investigation and resolution of 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 or discussing the allegations under investigation, or gathering and presenting evidence, including communicating with witnesses or potential witnesses.

A. The Investigative Process

1. Notice of Investigation

The Title IX Coordinator will send the Complainant and the Respondent and, if applicable, the Respondent’s appropriate supervisor, 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 alleged 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 and that 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 a trained, impartial decisionmaker;
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 impermissible evidence;
Range of potential violations under the Title IX Policy (up to and including expulsion and/or termination);
On and off campus resources;
Rights of the Respondent, including the right to an advisor of their choice who may be an attorney.

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, during 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.

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 a trained and impartial Investigator(s). 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 opportunity to be heard, to submit information, and to identify witnesses who may have relevant information, including fact and expert witnesses, and other inculpatory and exculpatory evidence. The Investigator(s) will speak separately with the Complainant, the Respondent, and any other individuals who are willing to participate and have information relevant to the determination of responsibility.

The Investigator(s) will also endeavor to gather any available physical or documentary evidence, including prior statements by the parties or witnesses, any communications between the parties, email messages, social media materials, text messages, and other records as appropriate, available, and feasible. The Investigator(s) 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(s) determines that the information is irrelevant. The parties will have the right to inspect and review any evidence obtained as part of the investigation that is directly related to the allegations, including evidence upon which the Investigator(s) does not intend to rely and inculpatory or exculpatory evidence whether obtained from a party or other source.

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. 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. Additionally, evidence of the Complainant’s sexual history or behavior is not relevant if it is offered to prove that the Complainant engaged in other sexual behavior or to prove the Complainant’s sexual predisposition. Such evidence may be offered to show:

Prior or subsequent sexual encounters between the Complainant and the Respondent offered to prove consent; or
That a person other than the Respondent was the source of semen, injury, or other physical evidence.

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 for good cause as necessary to ensure the integrity and completeness of the investigation, to comply with a request by external law enforcement, to accommodate the availability of witnesses, to account for University breaks or vacations, to account for complexities of a case (including the number of witnesses and volume of information provided by the parties), or to address other legitimate reasons. 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. Relationship to Criminal Proceedings

The filing and processing of a Formal Complaint is separate from and independent of any criminal investigation or proceeding. Where the University is made aware that there is a concurrent criminal investigation, the Title IX Coordinator or their designee will coordinate with law enforcement to reduce the potential interference with the law enforcement investigation. At the request of law enforcement, the University may agree to defer its investigation until after the initial stages of a criminal investigation. The Title IX Coordinator or their designee will nevertheless communicate with the parties regarding Supportive Measures and accommodations, procedural options, anticipated timing, and the implementation of any necessary Supportive Measures for the safety and well-being of all affected individuals. The identity of the Complainant will remain confidential unless disclosing the Complainant’s identity is necessary to provide the Supportive Measures for the Complainant.

If the University defers the Title IX investigation, the Investigator(s) will promptly resume fact gathering as soon as law enforcement has released the case for review following the initial criminal investigation. Neither law enforcement’s determination as to whether to prosecute a Respondent nor the outcome of any criminal prosecution is determinative of whether sexual misconduct occurred under the Title IX Policy. If, however, a Respondent is later convicted of a crime, that Respondent could be subject to other policies and procedures that could result in discipline up to and including dismissal.

5. Cooperation in the Investigation

All community members, including students, faculty and staff, are strongly encouraged and expected to cooperate with the Title IX Coordinator, Deputy Title IX Coordinator(s), 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 Policy. The Title IX Coordinator will determine whether the investigation and any adjudication will proceed without any Complainant(s) pursuant to the factors set out in Section II, B (5)(a) above.

B. Standard of Proof

At all stages of the process, UAB will apply the preponderance of the evidence standard of proof (more likely than not) when determining whether the Title IX policy has been violated.

C. 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.

D. 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 parties have received a copy of the Final Investigative Report. 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.

E. Review of the Evidence and Submission of Additional Evidence

At the conclusion of the investigation, the Complainant and Respondent and their advisors, if any, will be given access to the evidence that has been obtained as part of the investigation that is directly related to the allegations in the Formal Complaint, including inculpatory and exculpatory evidence whether obtained from a party or another source, and evidence on which the University does not intend to rely in reaching a determination of responsibility. The evidence will be provided with any redactions if required by applicable federal and/or state law. The evidence will not include information that is not directly related to the allegations. The parties will receive access to the evidence electronically but as a precondition of receiving access to the evidence, all parties, and their respective advisors (if any) must sign and agree to abide by the UAB Title IX Commitment to Privacy. In addition to receiving access to the related evidence, the parties and their advisors will be given access to a Draft Investigation Report that objectively summarizes the related evidence.

A Complainant and Respondent may submit any additional evidence, comment, or information to the Investigator(s) within ten (10) business days of the date of receipt of the evidence and draft investigation report. This is typically the final opportunity for the parties to identify any additional information or witnesses for the Investigator’s consideration in drafting the Final Investigation Report. In the absence of good cause shown, information discoverable through the exercise of due diligence that is not provided to the Investigator within ten (10) business days of receipt of the evidence will not be considered by the Investigator(s) or Hearing Officer.

F. Final Investigation Report

Upon receipt and consideration of any additional information from the Complainant or Respondent, or after the ten (10) business days comment period has lapsed without comment, the Investigator(s) will complete a Final Investigation Report that objectively summarizes the relevant evidence. The parties and their advisors will simultaneously receive a copy of the Final Investigation Report (which is also subject to the non-disclosure agreement) at least ten (10) business days prior to an adjudication hearing. The Complainant and Respondent will each have an opportunity to review and respond in writing to the Final Investigation Report. Any such response by the parties must be submitted to the Title IX Coordinator within five (5) business days of transmission of the Final Investigation Report. The Title IX Coordinator will provide any statement(s) with the Final Investigation Report to the Hearing Officer.

V. Adjudication by a Hearing Officer

A. Initiation of the Hearing

The Title IX Coordinator (or designee) will appoint a Hearing Officer who has received appropriate training.

B. Hearing Requirements

The Hearing Officer’s role is to conduct an independent and objective review of all of the evidence, including inculpatory and exculpatory evidence, directly related to the allegations, and determine if the Respondent violated the Title IX policy based on a preponderance of the evidence standard (and, if yes, to determine an appropriate sanction).

The hearing will be scheduled and will proceed according to the guidelines set forth below:

1. Notice and Timing of Hearing

The Title IX Coordinator (or designee) will issue a written Notice of Hearing to the parties and their advisors with information regarding the hearing including the date, time, and location of the hearing; 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.

The hearing will usually be scheduled within fifteen (15) business days from the date of the Notice of Hearing, subject to extension for good cause at the discretion of the Title IX Coordinator. If a party is requesting an extension, the party must provide the rationale for the extension request in writing to the Title IX Coordinator. Good cause for extension may include the unavailability of the parties, the schedule of the Hearing Officer, the timing of semester breaks or University holidays, concurrent law enforcement activity, or other extenuating circumstances. Any extension, including the reason for the extension, will be shared with the Complainant and Respondent and their advisors in writing.

If, despite being notified of the date, time, and location of the Hearing, either party is not in attendance, the hearing may proceed subject to the limitations set forth herein.

2. Administration of the Hearing Process

The Hearing Officer is responsible for the administration of the hearing process, including procedural matters and decisions leading up to the hearing, determinations about information that will be considered or not, appropriate and inappropriate lines of questioning, and the overall decorum and conduct of the proceedings. The Hearing Officer is not bound by strict rules of legal evidence and may admit evidence that is of probative value (evidence that is useful in proving or disproving a fact) in determining the issues involved.

The Hearing Officer will apply the preponderance of the evidence standard (more likely than not) when determining whether the Title IX policy has been violated.

A transcript of the hearing will be available to the parties for inspection and review within twenty-one (21) business days after the conclusion of the hearing.

3. Hearing Format

The Hearing is an opportunity for the Complainant and Respondent to address the Hearing Officer in person. The parties may address any information in the Final Investigation Report and supplemental statements submitted in response to the Final Investigation Report. The Complainant and the Respondent have the right to make an opening and a closing statement. The Complainant shall give the first opening statement. The Respondent shall give the final closing statement. The Complainant and the Respondent may each include a statement of the impact of the alleged offense as part of their respective closing statements.

Each party must notify the Title IX Coordinator (or designee) at least ten (10) business days prior to the hearing if they will be accompanied by an advisor. If a party does not have an advisor, UAB will assign the party an advisor of the University’s choice provided without fee or charge.[3] Each party has the opportunity to be heard and to identify and secure witnesses, including expert witnesses, for the Hearing Officer’s consideration. 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.

All materials that the 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. All evidence each party wishes to be considered by the Hearing Officer should be presented to the Investigator(s) during the investigation process. If a party does not provide some piece of evidence to the Investigator during the investigation process, that party may only present such evidence during the hearing if the Hearing Officer permits the party to do so in the Hearing Officer’s sole discretion. Generally, evidence not presented during the investigation process will only be allowed in the hearing if it is new information not reasonably known and not reasonably available during the investigation process.

The Title IX Coordinator (or designee) will provide the witness lists and submitted materials to the Hearing Officer and make copies available to the Complainant and Respondent at least three (3) business days prior to the hearing, consistent with FERPA or other laws and regulations governing the disclosure of education records.

All participants in the hearing are expected to behave with decorum and may be asked to leave if they do not.

At the request of either party, the University will conduct the entire hearing (including cross-examination) with the parties located in separate rooms, utilizing technology enabling the parties to see and hear each other.

4. Questioning of Parties/Witnesses and Relevancy Determinations

The Hearing Officer may independently question the parties, witnesses, and/or the Investigator(s) to elicit relevant information. The Hearing Officer is barred from drawing any inference about the determination of responsibility based solely on a party’s refusal to answer the Hearing Officer’s questions.

Each party and all witnesses, including the Investigator(s), are subject to cross-examination by the party’s respective advisors. The party’s advisor may ask the other party and any witnesses all relevant cross-examination questions and follow-up questions, including those challenging credibility. Such questioning must be conducted directly, orally, and in real time by the party’s advisor and never by the parties personally. The parties and advisors are prohibited from questioning parties and witnesses in an abusive, intimidating, or disrespectful manner.

All admissible relevant evidence will be evaluated for weight or credibility (the quality of being reliable, trusted and believed in). Evidence that is deemed duplicative of other evidence may not be relevant.

The party’s advisor may otherwise not make statements, challenge relevancy determinations, 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 and require the party to use a different advisor.

Neither party is required to participate in the hearing for the hearing to proceed. The Hearing Officer cannot draw an inference about the determination regarding responsibility based solely on a party’s or witness’s absence from the live hearing or refusal to answer cross-examination or other questions.

A party’s advisor may appear and conduct cross-examination even when the party whom they are advising does not appear. Similarly, when one party does not appear and that party’s advisor of choice does not appear, a UAB-provided advisor will cross-examine the other, appearing party “on behalf of” the non-appearing party.

The Hearing Officer, in his or her sole discretion, will determine the relevance of all cross-examination questions presented. If the Hearing Officer deems the question irrelevant, the Hearing Officer must explain the basis for such decision. A question is relevant if it tends to prove or disprove the issue of responsibility. The Hearing Officer’s relevancy decision may not be challenged during the hearing by the parties or their advisors.

Where a cross-examination question or piece of evidence is relevant but concerns a party’s character or prior bad acts, the Hearing Officer cannot exclude or refuse to consider the relevant evidence but may objectively evaluate that relevant evidence by analyzing whether that evidence warrants a high or low level of weight or credibility. The Hearing Officer will not make credibility determinations based on a person’s status as a Complainant, Respondent or witness. Additionally, credibility determinations shall not be based solely on observations of the demeanor of a party or witness when questioned but also on other factors including but not limited to specific details, inherent plausibility, internal inconsistency, and corroborating evidence. A party’s answers to cross-examination questions must be evaluated in context, including taking into account that a party may experience stress while trying to answer questions.

5. Medical Records

The Hearing Office 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.

6. Sexual History or Behavior

Evidence of the Complainant’s sexual history or behavior is not relevant if it is offered to prove that the Complainant engaged in other sexual behavior or to prove the Complainant’s sexual predisposition. Such evidence may be offered to show:

Prior or subsequent sexual encounters between the Complainant and the Respondent that are offered to prove consent; or
That a person other than the Respondent was the source of semen, injury, or other physical evidence.

The fact of prior consensual sexual conduct between the Complainant and the Respondent does not by itself demonstrate or imply the Complainant’s consent to the alleged sex-based harassment or preclude determination that sex-based harassment occurred.

C. Sanctions

1. General Considerations

If the Hearing Officer determines that the preponderance of the evidence supports a finding of responsibility under the Title IX Policy, any one or more sanctions may be imposed. In determining appropriate sanction(s), the Hearing Officer may consult the Title IX Coordinator for the purpose of ensuring a particular sanction is feasible, consistent with past practice, and reasonably calculated to end the Policy violation. As part of this determination, the Hearing Officer will be guided by a number of considerations, including:

Whether the circumstances suggest an increased risk exists that the Respondent will commit additional acts of Prohibited Conduct (e.g., whether there have been other Prohibited Conduct complaints about the same Respondent, whether the Respondent has a history of violent behavior, whether the Respondent threatened sexual violence or other violence against the Complainant or others);
Whether the circumstances suggest an increased risk exists of the occurrence of future acts of Prohibited Conduct under similar circumstances (e.g., whether the circumstances reveal a pattern of perpetration via illicit use of drugs or alcohol, at a given location, or by a particular group);
Whether the Prohibited Conduct was perpetrated with a weapon or involved other aggravating considerations;
Whether the Respondent upon return to campus would be likely to pose a threat to the safety and/or well-being of the Complainant and/or the UAB community generally and, if so, the nature and extent of the threat and the availability of steps to effectively mitigate the impact;
The impact of the Prohibited Conduct on the Complainant;
The impact of the Prohibited Conduct on the University community;
The need for any sanctions or remedies to eliminate, prevent, or address the existence of a hostile environment within the University community or to maintain a safe and respectful environment conducive to learning, working and living;
Whether the Respondent accepted responsibility for the Prohibited Conduct; and
Whether there are any other mitigating, aggravating, or compelling circumstances warranting a sanction or remedy to reach a just and appropriate resolution of the matter.

2. Student Respondent Sanctions

One or more of the following sanctions actions may be imposed on a student Respondent found responsible for a violation(s) of the Title IX Policy:

Formal Written Warning – Formal written warning that the student’s behavior violated Title IX.
Probation – A status in which the student is deemed not to be in good conduct standing with the University for a specified period of time. Probation does not affect the student’s academic standing (i.e., the student may continue attending the University), is not shared with instructors, and is not notated on the student’s permanent academic record. If the student is subsequently found responsible for a violation(s) of the Title IX policy while on Probation, more severe sanctions, including Suspension or Expulsion, may result. Conditions restricting the student’s participation in University activities may also be imposed.
Suspension – Separation of the student from the University for a specified period of time. During the suspension period, the student is administratively banned from the University and may not be present on University premises (excluding UAB Medicine and UAB Health System Foundation facilities unless otherwise specified); attend or participate in classes; access various University electronic systems; or participate in Student Organizations or any University-sponsored activity. Violation of the terms of Suspension may subject the student to additional sanctions or criminal action. The student will be automatically withdrawn from registered courses based upon the effective date of the suspension. The student will be responsible for any financial obligations to the University but may be eligible for a refund of tuition and fees based upon the effective date of the Suspension and the University’s Institutional Refund Policy. Notation of the Suspension will appear on the student’s permanent academic record and will remain until the end of the Suspension period.
Expulsion – Permanent separation of the student from the University. The student is administratively banned from the University and may not be present on University premises (excluding UAB Medicine and UAB Health System Foundation facilities unless otherwise specified); attend or participate in classes; access various University electronic systems; or participate in Student Organizations or any University-sponsored activity. Violation of the terms of Expulsion may subject the student to criminal action. The student will be automatically withdrawn from registered courses based upon the effective date of the Expulsion. The student will be responsible for any financial obligations to the University but may be eligible for a refund of tuition and fees based upon the effective date of the Suspension and the University’s Institutional Refund Policy.
Notation of the Expulsion will appear on the student’s permanent academic record.
Housing Reassignment or Removal from University Housing – Reassignment to another University housing facility and/or loss of the privilege of living in University housing. Removal may be for a definite period of time not less than the remainder of the semester in which the removal is imposed or for an indefinite period of time. If the removal is for an indefinite period, the student may petition the Director of Residence Life and the Title IX Coordinator in writing for restoration of University housing privileges, but not earlier than one (1) calendar year from the effective date of the removal. The student will be responsible for any financial obligations to the University as set forth in the student housing contract between the University and the student.
Additional Sanctions – The following sanctions may also be imposed: exclusion and/or administrative ban from all or a portion of any University Premises or any University-sponsored activity, as specified in the sanction, for a definite or indefinite period of time; probation, suspension, or dismissal from the Honors College; an administrative no contact order with an individual(s); alcohol/substance use assessment and education; anger management assessment and education; essay/reflection or research paper; mandatory assessment with a licensed counselor; community service and/or participation in educational programs; removal from intercollege athletic team and loss of athletic scholarship.

3. Faculty, Staff, Affiliates, and Non-Affiliates (non-students) Respondents Sanctions

Sanctions for non-student Respondents may include formal written warning, suspension without pay (vacation, holiday, or sick time benefits will be paid by UAB during suspension), imposed Probation, reassignment of job responsibilities or duties, mandatory counseling, mandatory attendance at the Employee Assistance Program, demotion, ineligibility to receive raise or promotion, suspension of annual merit increase, decrease in salary, transfer, campus ban/no trespass warning from UABPD, prohibition on further employment at the University, loss of University benefits for retirees, termination of third-party relationships; and referral to proper law enforcement authorities for prosecution.

D. Notice of Hearing Outcome Letter

The Hearing Officer will provide the parties with the final hearing decision (“Hearing Outcome Letter”) no later than seven (7) business days after the conclusion of the hearing. The Hearing Outcome Letter must include the following information:

Identification of the allegations potentially constituting sexual harassment as defined in the Title IX Policy;
A description of the procedural steps taken from the receipt of the Formal Complaint through the determination, including any notifications to the parties, interviews with parties and witnesses, site visits, methods used to gather other evidence, and hearings held;
Findings of fact supporting the determination;
Conclusions regarding the application of UAB’s Title IX Policy to the facts;
A statement of and rationale for the result as to each allegation in the Formal Complaint, including a determination regarding responsibility, any disciplinary sanctions the University imposes on the Respondent, and whether remedies designed to restore or preserve equal access to the University’s employment or education program or activity will be provided by the University to the Complainant; and
UAB’s procedures for the Complainant and Respondent to appeal.

The Hearing Officer will simultaneously issue the “Hearing Outcome Letter” to both the Complainant and the Respondent within seven (7) business days following the hearing (or such longer time as the Title IX Coordinator (or designee) may for good cause determine). The Hearing Outcome Letter may also identify protective measures implemented with respect to the Respondent or the broader University community. The Hearing Outcome Letter will not disclose any remedial measures provided to the Complainant.

The hearing decision will not be final and, if the Respondent is found responsible, sanctions will not be imposed, until the appeal process is completed or the deadline to file an appeal has passed and no appeal was filed.

VI. Appeals Process

Both the Complainant and Respondent have a right to seek a review of the dismissal of a Formal Complaint or the Hearing Officer’s decision with regard to a finding of responsibility or non-responsibility and/or the imposed sanctions. Appeals must be submitted to the appropriate Appeals Officer as outlined below:

Student appeals are submitted to the Vice President of Student Affairs or his or her designee.
Staff appeals are submitted to the Chief Human Resources Officer or his or her designee.
Faculty appeals are submitted to the Provost or his or her designee.

The Complainant and Respondent have the right to appeal solely on the following grounds:

The existence of a procedural irregularity that materially affected the outcome of the matter;
The existence of new evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made that could affect the outcome;
The Title IX Coordinator, investigator, or Hearing Officer had a conflict of interest or bias that affected the outcome; and/or
The recommended sanction(s) is too severe or too lenient.

In any request for an appeal, the burden of proof lies with the party requesting the appeal, because the Title IX Coordinator’s and/or Hearing Officer’s decision will be presumed to have been decided reasonably and appropriately. Appeals are not intended to be a rehearing of the matter. The scope of the appeal will be limited only to the permissible grounds outlined above that have been accepted for review. In most cases, appeals are confined to a review of the written documentation or record of the original hearing and pertinent documentation regarding the grounds for appeal. The Appeals Officer may speak to the Title IX Coordinator, Investigator, the Hearing Officer, or the parties, as appropriate. The Appeals Officer will defer to the original Title IX Coordinator’s and/or Hearing Officer’s decision, making changes to the findings only where there is clear error.

Written requests for appeal must be submitted within three (3) business days following delivery of the notice of the dismissal and/or outcome. Each party may respond in writing to any appeal submitted by the other party. Written responses must be submitted within three (3) business days following delivery of the notice of the written appeal. Written requests for appeal submitted by one party will be shared with the other party.
If the appeal of a dismissal of a Formal Complaint is granted, the Formal Complaint will be reinstated and the Title IX Coordinator will initiate an impartial investigation of Prohibited Conduct in accordance with the Investigation Procedures outlined in Section IV of these procedures. The decision of the Appeals Officer will be final and not subject to further appeal under the Title IX policy.

If the appeal of a dismissal of a Formal Complaint is denied, the matter is closed, and the Title IX Coordinator’s decision stands as final.[4] The Appeals Officer will issue a written decision describing the result of the appeal and the rationale for the result. The appeal decision will be provided simultaneously to both parties no later than fifteen (15) business days after all written responses are received.

If an appeal of a determination of responsibility and/or imposed disciplinary sanction(s) is granted, the Appeals Officer may remand the case to the Hearing Officer and provide instructions regarding the nature and extent of reconsideration. The Hearing Officer will act promptly to reconsider the matter consistent with those instructions. Following reconsideration, the finding of the Hearing Officer or the sanction imposed by the Hearing Officer will be final and not subject to further appeal under the Title IX policy.

Alternatively, the Appeals Officer may modify the Hearing Officer’s decision and/or sanction in accordance with the Title IX Policy and these procedures.

If the appeal of a determination of responsibility and/or imposed sanction(s) is denied, the matter is closed, and the Hearing Officer’s decision stands as final. The Appeals Officer will issue a written decision describing the result of the appeal and the rationale for the result. The appeal decision will be provided simultaneously to both parties no later than fifteen (15) business days after all written responses are received.

In the event of a determination that the Title IX Policy was violated by an employee, the Hearing Outcome Letter and Appeal decision will be provided to the Dean of the Respondent’s School or College and/or Department Chair (if the Respondent is a faculty member), the Provost (if the Respondent is a Dean), or relevant Vice President and/or appropriate Supervisor (if the Respondent is a staff member or third-party). UAB may also have reporting obligations to the National Science Foundation, National Institutes of Health, other research sponsors, and/or the U.S. Department of State.

VII. 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.

VIII. Other Relevant Information

A. External Agreements

The University will not recognize or enforce agreements between the parties outside of these procedures. The University will recognize, however, a lawfully issued protective order under Alabama law.

B. Withdrawal and Readmission

If a student Respondent voluntarily withdraws from the University while a Formal Complaint against him or her is pending, permission for readmission will be considered only after the charges have been resolved.

C. Preservation of Records

The Title IX Coordinator and/or the Human Resources Department will maintain for a period of seven (7) years all records related to the following: all Formal Complaints, including the investigation and disposition, any disciplinary sanctions imposed, any remedies provided to the Complainant, any audio or audiovisual recording or transcript of the live hearing, any appeal and results, any information resolution and the results therefrom, and all materials used to train Title IX Coordinators, Deputy Title IX Coordinators, Title IX Investigators, Hearing Officers, and any person who facilities an informal voluntary resolution process.

The date of the record’s creation begins the seven (7) year period. All records maintained pursuant to this provision are considered confidential and subject to applicable state and federal privacy laws.

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 Sex Discrimination Complaints (non-harassment)

[1]For purposes of the University’s Title IX Policy and these Procedures, an “affiliate” includes, but is not limited to, visiting scholars and postdoctoral fellows who are not otherwise classified as UAB faculty, staff, or students.

[2] If the Complainant requests such Supportive Measures and if they are reasonably available and do not unreasonably burden the Respondent, they will be provided regardless of whether the Complainant chooses to file a Formal Complaint or refuses to report the crime to campus police or local law enforcement.

[3] If UAB provides a party with an advisor, the party cannot request a different advisor unless the Title IX Coordinator determines that the assigned advisor has bias or a conflict of interest to the detriment of the assigned party. If, however, the party asserts the assigned advisor is refusing to “conduct cross-examination on the party’s behalf” then UAB will provide the party an advisor to perform that function, whether that means counseling the assigned advisor to perform that role, or stopping the hearing to assign a different advisor. If a party to whom the recipient assigns an advisor refuses to work with the advisor when the advisor is willing to conduct cross-examination on the party’s behalf, then that party has no right of self-representation with respect to conducting cross-examination, and that party would not be able to pose any cross-examination questions. The cross-examination will be conducted by the assigned advisor.

[4] The appeal is final pursuant to the Title IX Policy and procedures but a Respondent may have additional rights under separate policies and procedures.