Student Grievance Procedure for Claims of Discrimination, Harassment, and Retaliation

Unlawful discrimination is defined as the unjust, prejudicial, or different treatment of a person or group because of a Protected Category.

Harassment based on a Protected Category may take many forms, including verbal acts and name-calling; graphic and written statements, which may include use of cell phones or the Internet; or other conduct that may be physically threatening, harmful, or humiliating.

Harassment does not have to include intent to harm, be directed at a specific target, or involve repeated incidents. Harassment creates a hostile environment when the unwelcomed conduct is sufficiently severe, pervasive, or persistent so as to interfere with or limit a student’s ability to participate in or benefit from the services, activities, or opportunities offered by the AUHS.

Retaliation is a materially adverse action taken against a student who has, or is believed to have, reported, or opposed conduct the student reasonably and in good faith believed to be discriminatory, or participated in an investigation involving discrimination or harassment.

A student who believes that he or she has experienced or witnessed discrimination, harassment, or retaliation should promptly report such incidents to the office of the Director of Student Affairs so that an investigation can take place and corrective action, if necessary, can be taken to prevent recurrence and to correct its effects. All complaints must be filed no later than 60 calendar days after the event giving rise to the incident, or within 30 calendar days after the end of the quarter, whichever is longer. The time period for filing a Complaint may be extended for good cause as determined by the provost or his/her designee. Students must complete the Student Grievance Form for Claims of Discrimination, Harassment, and Retaliation (“Complaint”) and submit it to the Executive Director of Student Affairs. If a Complaint is presented in another written format, such as a letter, the University may ask the student to complete the form. If a student is unable to complete the complaint form due to a disability, a designee of the Executive Director of Student Affairs will assist the student. A copy of the Complaint form can be found at https://www.auhs.edu/campus/campus-safety/ may choose to participate in an Optional Informal Managed Resolution Process, or the Formal Resolution Process, described below.

1. Handling of a Complaint and Interim Measures:

1.1 After a complaint is received, the Director of Student Affairs will either assign him or herself the role of Investigator or select an impartial faculty or staff member or third-party investigator who has received training in conducting an investigation and the laws regarding discrimination, harassment, and retaliation (the “Investigator”). The Investigator may have access to legal counsel as determined by the Director of Student Affairs or the Provost. In no event will the Investigator be a person who is alleged to have engaged in the complained of behavior (the “Accused”), a person who reports to a person who is the Accused, or a relative of the Accused. A copy of the complaint will be provided to the Accused’s supervisor, if applicable.

Likewise, AUHS does not tolerate retaliation against persons who complain of discrimination or harassment or who participate in any investigation regarding discrimination or harassment.

1.2 After a complaint is received, the Investigator shall determine whether interim measures are necessary during the pendency of any investigation to protect the parties involved. Any interim measures will be implemented in a manner that attempts to minimize the burden on the individual making the complaint (the “Complainant”).

1.3 Note: Students denied a requested disability accommodation may appeal the decision through this procedure. A neutral investigation will be completed, and the President will provide a complete response to such appeals within 10 calendar days.

2. Optional Informal Managed Resolution Process:

2.1 Within two school days of receiving the Complaint, the Investigator shall notify the Complainant of the option to participate in an informal managed resolution process. The Complainant is not required to participate in this process or meet directly with the Accused. This is an optional process that the Complainant may terminate at any time. During this optional process, the Complainant, and the Accused, along with the Dean of Students, Investigator, or other third-party neutral, attempt to resolve the dispute. The details of the Optional Informal Resolution Process will be kept confidential by all parties involved. The Optional Informal Resolution Process will last no longer than 10 calendar days from the date of the Complaint, regardless of whether the matter is unresolved at the end of the 10th calendar day.

2.2 If a resolution is reached in the Optional Informal Resolution Process, the details of the resolution will be memorialized in an Optional Informal Resolution Agreement, that will be signed by the Provost and the Complainant. The matter shall be considered closed, and the Complainant is precluded from filing a new Complaint or an appeal concerning the same incident, except where the terms of the resolution are violated or have been ineffective in stopping the discrimination, harassment, or retaliation.

2.3 If the Complainant chooses to participate in this Optional Informal Resolution Process, the investigation into the complaint will be suspended until the completion of the Optional Informal Resolution Process, or the Complainant terminates the Informal Resolution Process.

2.4 When informal dispute resolution is unsuccessful or not possible, a Complaint will be processed using the Formal Resolution Process.

3. Formal Resolution Process:

3.1 Investigation into Complaint
An investigation into a Complaint will commence within five school days from receiving the complaint unless Section 1 above is applicable or the student withdraws the complaint. The Investigator will investigate the Complaint and document his or her efforts and findings. The investigation shall include, but not be limited to, review of records, notes, or statements related to the complaint; interviewing witnesses; interviewing the Complainant; and interviewing the Accused. At no time will the Complainant and the Accused be interviewed together.

The person conducting the investigation will make reasonable efforts to protect the privacy of the Complainant and the Accused. During the investigation, it may be necessary to reveal the names of the parties involved to witnesses. If this occurs, the investigator will stress to the witness(es) that this is a confidential matter and ask that it not be discussed outside the investigation. Unfortunately, because the investigation may involve third parties who are not under the control of AUHS, AUHS cannot ensure confidentiality in connection with any investigation.

The Complainant and the Accused will have an equal opportunity to present relevant witnesses and evidence. Each party shall have the opportunity to comment to the Investigator, either in writing or in person, on the information learned in the investigation.

A Complainant’s refusal to provide the Investigator with documents or other evidence related to the allegations in the complaint, failure, or refusal to cooperate in the investigation, or engagement in other acts to hinder the investigation may result in the dismissal of the Complaint because of a lack of evidence to support the allegations. Similarly, the Accused’s refusal provides the Investigator with documents or other evidence related to the allegations in the complaint, failure to participate in the investigation, or engagement in other acts to hinder the investigation may result in a finding that discrimination, harassment, or retaliation occurred and that appropriate remedies are necessary.

The investigation must be completed within 30 calendar days after receiving a Complaint. This time period maybe extended by the Provost upon a showing of good cause that additional time is necessary to conduct a fair investigation. However, it is AUHS’s policy to make reasonable efforts to complete the investigation within the 30-calendar-day time period. If an extension is needed, the Provost will notify the Complainant and Accused in writing of the extension and the reason for the extension.

3.2 Written Report Within 10 calendar days after the completion of an investigation, the Investigator will provide a written report of the investigation to the Provost and, if applicable, the Dean in charge of the Accused. The written report will include a summary of the allegations, a description of the investigation, a description of the relevant information gathered, a determination of whether the incidents alleged occurred and the specific evidence to support this determination, and whether such incidents were based on a Protected Category. In determining whether the incidents alleged occurred, the Investigator may take into account the following:
a. The statements made by the parties and all witnesses.
b. The details and consistency of each person’s account.
c. Evidence of how the Accused reacted to the incident and the Complaint.
d. The credibility of the evidence presented.
e. Evidence of any past instances of unlawful discrimination, harassment, or retaliation or other misconduct.
f. Any other information the Investigator finds as relevant. The decision of whether the incident(s) that occurred constitute prohibited discrimination, harassment, or retaliation based on a Protected Category must be supported by a preponderance of the evidence. A preponderance of the evidence means that the evidence presented shows that one result is more likely than not to be true.

3.3 Response to Complaint
Within seven calendar days after receiving the report from the Investigator, the Provost must determine a response to the Complaint. In reaching a decision as to how to respond, the details and consistency of each person’s account.
a. Evidence of how the Accused reacted to the incident and the Complaint.
b. The credibility of the evidence presented.
c. Evidence of any past instances of unlawful discrimination, harassment, or retaliation or other misconduct.
d. Any other information the Investigator finds as relevant.
e. The number of people engaged in the alleged conduct.
f. The context of the alleged conduct.
g. Other incidents of alleged misconduct by the Accused.
h. Advice of legal counsel or other professionals.
i. Whether an Optional Informal Resolution Agreement was violated.
j. Any other information the Provost deems as relevant.

The decision of whether the incident(s) that occurred constitute prohibited discrimination, harassment, or retaliation based on a Protected Category must be supported by a preponderance of the evidence. A preponderance of the evidence means that the evidence presented shows that one result is more likely than not to be true.

Response to Complaint
Within seven calendar days after receiving the report from the Investigator, the Provost must determine a response to the Complaint. In reaching a decision as to how to respond, the Provost may take into consideration the following:

a. The report and recommendation of the Investigator.
b. The effect of the misconduct on the Complainant.
c. The type, frequency, and duration of the misconduct.
d. The relationship between the Complainant and Accused.
e. The number of people engaged in the alleged conduct.
f. The context of the alleged conduct.
g. Other incidents of alleged misconduct by the Accused.
h. Advice of legal counsel or other professionals.
i. Whether an Optional Informal Resolution Agreement was violated.
j. Any other information the Provost deems as relevant.

The decision of whether discrimination, harassment, or retaliation occurred based on a Protected Category must be supported by a preponderance of the evidence. If the Provost determines that discrimination, harassment, or retaliation occurred, the Provost will also determine the steps that will be taken to prevent recurrence of any discrimination, harassment, or retaliation, and to correct its effects on the complainant, and others.

Within eight calendar days after receiving the report from the Investigator, the Provost will provide a written notice to the Complainant (Complainant Notice) concerning the outcome of the investigation. The Complainant Notice shall state that an investigation was performed, the outcome of the investigation, and any remedies provided to the Complainant. In order to maintain privacy rights, the Provost is not required to disclose every detail about the nature of any corrective action taken against the Accused. However, for complaints of discrimination, harassment, intimidation, or retaliation, the Complainant Notice will include the consequences imposed on the Accused that relate directly to the subject of the complaint, such as requiring that the Accused stay away from the Complainant, prohibiting the Accused from attending school for a period of time, or transferring the Accused to other classes or another school.

The Complainant Notice shall advise the Complainant that if he or she continues to experience or witness discrimination, harassment, or retaliation he or she should immediately report such incidents to the Investigator. Further, the Investigator will follow up with the Complainant within 30 calendar days of the Provost’s Complainant Notice to see if there have been new incidents or retaliation for making a complaint. The Investigator will keep a record of his or her findings and promptly investigate, using Section 2.1, any further allegations and will notify the Provost in writing of the further allegations and investigation within 10 calendar days of learning of the further allegations. If the outcome of the investigation is that there was no discrimination, harassment, or retaliation based on a Protected Category, the Complainant Notice will also include the Complainant’s right to appeal the decision of the Provost within 15 calendar days of the date of the Provost’s Complainant Notice. The Complainant Notice will include the procedures for initiating such an appeal. Within eight calendar days after receiving the report from the Investigator, the Provost will send a separate notice of the outcome to the Accused (Accused Notice). The Accused Notice shall state the outcome of the investigation, whether the allegations were substantiated and what, if any, corrective action will be taken to prevent recurrence of any discrimination and to correct its effects. The Accused will have the opportunity to appeal any finding that he or she engaged in discrimination, harassment, or retaliation by filing an appeal within 15 calendar days of the date of the Accused Notice. The Accused Notice will include the procedures for initiating such an appeal. Should no request for an appeal be initiated within the time to appeal, the decision of the Provost will be final and binding.

4. Appeal Process

To appeal a decision of the Provost, the appealing party must provide written notice (“Notice of Appeal”) to the Director of Students of his or her intent to appeal within 15 calendar days of the date of the Complainant or Accused Notice by the Student Services. The Notice of Appeal must include the specific reasons for the appeal and any evidence the appealing party would like considered as part of the appeal. Within three school days of receiving the Notice of Appeal, the Dean of Students will provide notice to the non-appealing party of the appeal and the basis for the appeal. The non- appealing party will have 15 calendar days to respond to the statements in the appeal.

The appeal process will be limited to determining (1) whether the decision as to a finding or no finding of discrimination, harassment, or retaliation was supported by a preponderance of evidence; (2) whether the findings of the Investigator as to whether or not the incidents occurred are supported by a preponderance of the evidence; and (3) whether the investigation was conducted in a fair and impartial manner.

The appeal will be decided by an impartial panel selected by the President. The panel shall consist of three impartial persons who have received training in the laws of discrimination, harassment, and retaliation. The President will appoint one person to chair the panel. The panel will receive and review the Notice of Appeal, a copy of the investigation notes, the report by the investigator, and the Complainant and Accused Notices. The chairperson will arrange meetings of the panel to discuss the appeal and render a decision.

The written appeal decision shall include a summary of the issues raised on appeal, a summary of the evidence considered, a decision as to the appeal, what evidence supports the decision, and what additional remedies, if any, are necessary. The panel will provide a written appeal decision of its findings to the Complainant, the Accused, the Provost, and the Investigator within 50 calendar days of receipt of the Notice of Appeal.

The decision of the panel is final and will conclude the complaint process.