The Complainant and Respondent have the right to be assisted by an advisor of their choosing throughout the resolution process. An Advisor serves as a resource and support to the party through all phases of the process and may accompany their advisee to any meeting the advisee attends throughout the process. The parties may select whomever they wish to serve as their Advisor as long as the Advisor is willing and available to serve in this capacity.

The Advisor may be a friend, mentor, family member, attorney, or any other individual a party chooses to advise, support, and/or consult with them throughout the resolution process. The parties may choose Advisors from inside or outside of the Bates community.  While the college strongly encourages parties to have an Advisor, individuals are not required to have an Advisor, except when participating in a hearing.

The college trains a pool of individuals who are willing to serve as Advisors.  If a party chooses an Advisor from this pool, the Advisor will be familiar with the Bates resolution process. The Title IX Coordinator will also offer to assign a trained Advisor for any party if the party so chooses. Any advisor who is not trained by the college is encouraged to schedule a meeting with the Title IX Coordinator, or their designee, prior to attending any resolution meeting in order to discuss the college’s processes and the advisor’s role.

Parties should consider their choice of Advisor carefully.  While a party may choose anyone to serve as their Advisor, choosing an Advisor who is also a witness in the process creates potential for bias and conflict of interest. A party who chooses an Advisor who is also a witness can anticipate that issues of potential bias will be explored by the Hearing Officer(s).

A party may elect to change Advisors during the process and is not obligated to use the same Advisor throughout. However, the parties are expected to provide timely notice to the Title IX Coordinator if they change Advisors at any time.

Any person who serves as an Advisor should plan to make themselves available for meetings throughout the process.  Scheduling of interviews and meetings will not be significantly delayed due to the lack of availability of the Advisor.  The Title IX Coordinator will make reasonable provisions to allow an Advisor who cannot attend a scheduled in-person meeting to attend that meeting by telephone, video conferencing, or other similar technologies as may be convenient and available.

1. The Role of the Advisor

The parties may be accompanied by their Advisor in all meetings and interviews at which the party is entitled to be present, including any intake meeting or interviews. Advisors should help their advisee prepare for each meeting and are expected to advise ethically, with integrity, and in good faith.

Generally, the role of the Advisor is one of support, but not active participation. Except during questioning in a Process A hearing, the advisor may not make arguments, ask questions, or speak for a Complainant, Respondent, or third party. Although the Advisor generally may not speak on behalf of their advisee, the Advisor may consult with their advisee in a manner that does not disrupt the proceedings — by conferring or passing notes during any resolution process meeting or interview. For longer or more involved discussions, the parties and their Advisors may ask for breaks to allow for private consultation. 

Any Advisor who oversteps their role as defined by this policy will be warned only once. If the Advisor continues to disrupt or otherwise fails to respect the limits of the Advisor role, the meeting will be ended, or other appropriate measures implemented. Subsequently, the Title IX Coordinator will determine how to address the Advisor’s non-compliance and future role.

2. The Role of the Advisor in Process A Hearing

Under the 2020 federal regulations regarding the handling of Sexual Harassment under Title IX, formal grievance procedures must include real-time questioning of the other parties and witnesses as part of the hearing procedures.  This questioning must be conducted on behalf of the parties by their Advisors. The parties are not permitted to directly question each other or any witnesses. Because of this requirement, the college will appoint a trained Advisor for the limited purpose of conducting any questioning of the other party and witnesses for any Complainant or Respondent who does not have a designated Advisor for a hearing.

3. Sharing Information with the Advisor

Parties may share information related to a complaint directly with their Advisor so they may support or assist them in navigating the resolution process and presenting their case.  In addition, the Complainant or Respondent may request that the Title IX Coordinator, Investigator(s), and/or Hearing Officer(s) share documentation and evidence related to resolution of the complaint with their Advisors. In order to accommodate this request, the party will be asked to provide the Title IX Coordinator with a signed consent form indicating the parameters for this release of information to the Advisor.  Typically, the advisee will be copied at all written communication sent directly to the Advisor. 

Should a party change Advisors, consent to share information with the previous Advisor is terminated, and a release for the new Advisor must be secured.

Advisors are expected to maintain the privacy of the records shared with them. These records may not be shared with third parties, disclosed publicly, or used for purposes not explicitly authorized by Bates College. The college may seek to restrict the role of any Advisor who does not respect the sensitive nature of the process or who fails to abide by the college’s privacy expectations.

When participation of the Complainant, the Respondent, or a Witness is expected, that party will receive written notice of the date, time, and location of the meeting, as well as a list of the other expected participants and the purpose of the meeting. Every effort will be made to schedule meetings in a manner that minimizes the impact on a student’s academic commitments.

If a student Respondent elects to take a leave from the college after an investigation has commenced but prior to a final resolution, the college reserves the right to complete the resolution process remotely. If the student is found responsible for a policy violation, they will not be permitted to return to the college until all sanctions have been satisified.

If a student Respondent elects to withdraw from the college prior to the resolution of a complaint, they shall have no right to apply for readmission nor will they be considered for future employment. The Admission Office and Human Resources Offices will be notified accordingly.

In exceptional circumstances, the Dean of Students may grant permission to apply for readmission to a withdrawing or withdrawn student. If such special permission is granted, readmission will not be automatic and may be subject to such terms and conditions as the Dean of Students, in consultation with the Title IX Coordinator may deem to be appropriate.

Any employee who resigns with unresolved allegations pending is not eligible for admission or rehire with the college and the records retained by the Title IX Coordinator and Human Resources Office will reflect that status.

The resolution process relies on both college employees and external consultants to serve in a variety of roles, including as Deputy Title IX Coordinators, Investigators, Facilitators for Informal Resolution, Hearing Officers and Hearing Facilitators, and Appellate Officers. These individuals are appointed by the Title IX Coordinator and act with independence and impartiality.

Any individual materially involved in the administration of the resolution process, including the Title IX Coordinator, Investigator(s), Hearing Officer(s), and Appellate Officer(s), may neither have nor demonstrate a conflict of interest or bias for a party generally, or for a specific Complainant or Respondent.

The Title IX Coordinator will vet all assigned individuals to ensure impartiality by confirming there are no actual or apparent conflicts of interest or disqualifying biases. The parties may, at any time during the resolution process, raise a concern regarding bias or conflict of interest, and the Title IX Coordinator will determine whether the concern is reasonable and supportable. If so, another individual will be assigned and the impact of the bias or conflict, if any, will be remedied. If the source of the conflict of interest or bias is the Title IX Coordinator, concerns should be raised with a Deputy Title IX Coordinator or the President.

To assist them in performing their responsibilities and in compliance with federal regulations, all individuals involved in the resolution of reports receive ongoing training on an annual basis.  This training includes, but is not limited to:

• the scope of the Bates Equal Opportunity, Non-Discrimination, and Anti-Harassment Policy and procedures;
• applicable laws, regulations, and federal regulatory guidance;
• the definitions of all offenses;
• reporting, confidentiality, and privacy requirements;
• how to implement appropriate and situation-specific remedies;
• how to uphold fairness, equity, and due process;
• how to serve impartially by avoiding prejudgment of the facts at issue, conflicts of interest, and bias;
• implicit bias, disparate treatment, and impartiality and objectivity;
• how to conduct an investigation and grievance process including hearings, appeals, and informal resolution processes;
• how to conduct investigations and hearings that protect the safety of Complainants and Respondents, and promote accountability;
• how to investigate in a thorough, timely, reliable, and impartial manner;
• how to weigh evidence, conduct questioning, and assess credibility;
• issues of relevance to create an investigation report that fairly summarizes relevant evidence;
• how to use any technology to be used at a live hearing;
• issues of relevance of questions and evidence;
• how to apply definitions used by the recipient with respect to consent (or the absence or negation of consent) consistently, impartially, and in accordance with policy;
• how to render findings and generate clear, concise, evidence-based rationales;
• how to determine appropriate sanctions in reference to all forms of harassment, discrimination, and/or retaliation allegations; and
• recordkeeping.

The materials used to train all members of the resolution team are publicly posted here: www.bates.edu/here-to-help.

Other than a judicial order, the college will not recognize agreements between the Complainant and the Respondent in which the college did not participate unless reviewed and approved by the Title IX Coordinator.

The College seeks to resolve all reports in a prompt and timely manner (60-90 business days). All time frames expressed in this policy are meant to be guidelines rather than rigid requirements. Extenuating circumstances may arise that require the extension of time frames. Extenuating circumstances may include the complexity and scope of the allegations, the number of witnesses involved, the availability of the parties or witnesses, the effect of a concurrent criminal investigation, any intervening school break or vacation, or other unforeseen circumstances.

In general, the Complainant and the Respondent can expect that the process will proceed according to the time frames provided in this policy. In the event that the investigation and resolution time frame needs to be extended for good cause, the college will provide written notice to all parties of the reason(s) for the delay and the expected adjustment in time frames. Best efforts will be made to complete the process in a timely manner by balancing principles of thoroughness and fundamental fairness with promptness.

Reasonable supportive measures will be implemented or continued during any delay.

All communications and notices required by these procedures may be made electronically, in hard copy, or in person.

The Hearing Officer(s) will determine whether the Respondent is responsible for a policy violation by the preponderance of the evidence standard which is whether the information provided supports a finding that it is “more likely than not” that the Respondent is responsible for the alleged violation.

Throughout the resolution process, the college operates with the presumption that the Respondent is not responsible for the reported misconduct unless and until the Respondent is determined to be responsible for a policy violation by a preponderance of the evidence.

If the Respondent Party fails to meet and cooperate with the Title IX Coordinator, the Investigator(s), the Hearing Officer(s), or any other person during this process, the resolution of the complaint will proceed without input from the Respondent.

The Complainant retains all rights of the Complainant under this policy irrespective of their level of participation.  When the Complainant chooses not to participate or withdraws participation, their Advisor may serve as a proxy throughout the process to ensure and protect their rights.  If the Complainant does not designate an Advisor, one may be appointed for them.

Witnesses (as distinguished from the parties) who are Bates employees are expected to cooperate with and participate in the college’s investigation and resolution process. Failure of such witnesses to cooperate with and/or participate in the investigation or resolution process constitutes a violation of policy and may warrant discipline.[1]

Interviews for parties and all potential witnesses may take place in-person or via video conferencing or telephone. The college will take appropriate steps to reasonably ensure the security/privacy of remote interviews.

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[1] See the Employee Handbook.

In formal complaints involving more than one Respondent or in which two (2) or more Complainants have accused the same individual of substantially similar conduct, the default procedure will be to resolve the allegations jointly.

However, the Title IX Coordinator may instruct that the investigation and/or hearings pertinent to each Respondent to be conducted separately if there is a compelling reason to do so. In joint hearings, separate determinations of responsibility will be made for each Respondent with respect to each alleged policy violation.

Individuals may request Informal Resolution with any or all of the individuals involved, following the procedures described in Section X.E.  Formal Resolution can be pursued with any of the remaining individuals.

The Title IX Coordinator will provide written notice of the investigation and allegations (“the Notice”) to the Respondent upon commencement of the Formal Resolution Process. This Notice facilitates the Respondent’s ability to prepare for the initial interview and to identify and choose an Advisor to accompany them. The Notice is also copied to the Complainant, who is to be given advance notice of when the Notice will be delivered to the Respondent.

As required by the 2020 Federal Regulations under Title IX, the Notice will include:

• a meaningful summary of all of allegations, including:
  • the identity of the involved parties (if known);
  • the precise misconduct being alleged;
  • the date and location of the alleged incident(s) (if known);
• the specific policies implicated;
• a description of the applicable procedures;
• the potential sanctions/responsive actions that could result from a finding of responsibility;
• information on:
  • the right of each party to have an Advisor of their choosing;
  • the confidentiality of the process;
  • the process for request disability accommodations during the resolution process;
  • availability of support resources and supportive measures; and
  • the need to preserve any evidence that is directly related to the allegations;
• a statement regarding each of the following items:
  • determinations of responsibility are made at the conclusion of the process and that the college presumes the Respondent is not responsible for the reported misconduct unless and until the evidence supports a different determination;
  • the parties opportunity to inspect and review all directly related and/or relevant evidence obtained during the review and comment period;
  • the college’s policy on retaliation;
  • the college’s policy prohibition on knowingly making false statements, including knowingly submitting false information during the resolution process;
• a link to the college’s How We Can Help brochure; and
• the name(s) of the Investigator(s), along with a process to identify any conflict of interest that the Investigator(s) may have.

Amendments and updates to the Notice may be made as the investigation progresses and more information becomes available regarding the addition or dismissal of various allegations.

Notice will be made in writing and may be delivered by one or more of the following methods: in person, emailed to the parties’ Bates-issued email, delivered electronically via a secure Bates-issued account on a web-based portal, or, in rare circumstance, mailed to a physical address. If a party does not have a Bates-issued email address/account, a personal email address may be used. Once mailed, emailed, posted, and/or received in-person, notice will be presumptively delivered.

1. Investigator(s)

The Title IX Coordinator, in consultation with Title IX Team members, as appropriate, will designate one or more Investigator(s) of their choosing, who has specific training and experience investigating allegations of bias, harassment, and discrimination, to conduct a thorough, impartial, and fair investigation. These trained Investigators may be employees of the college, external consultants engaged to assist the college in its fact gathering, or a combination thereof. Any Investigator(s) chosen to conduct the investigation must be impartial and free of any conflict of interest.

The investigation is intended to provide a fair and reliable gathering of the facts. All individuals in the investigation, including the Complainant, the Respondent, and any third-party witnesses, will be treated with appropriate sensitivity and respect. Consistent with the need for a full assessment of the facts, the Investigator(s) will safeguard the privacy of the individuals involved.

The parties will be given the names of the Investigator(s) as part of the Notice of Investigation. All objections to any Investigator must be raised in writing, detailing the rationale for the objection, and must be submitted to the Title IX Coordinator as soon as possible and prior to the start of the investigation. An Investigator will only be removed if the Title IX Coordinator concludes that their bias or conflict of interest precludes an impartial investigation of the allegation(s).  Should a concern regarding whether an Investigator is impartial arise after the investigation has begun, the party should bring it to the attention of the Title IX Coordinator immediately.

2. Investigation Process

The Investigator(s) will coordinate the gathering of information from the Complainant, the Respondent, and other individuals or entities with relevant information regarding the complaint, including evidence which supports that the Respondent is responsible for a policy violation and evidence which supports that the Respondent did not engage a policy violation. 

All parties will have a full and fair opportunity to suggest witnesses and questions, to provide evidence and expert witnesses, and to fully review and respond to all the evidence on the record. All available evidence should be presented to the Investigator(s) prior to the conclusion of the investigation.  Evidence that was available, but not presented at the time of the investigation, may not be admissible during the hearing.

The investigation phase will typically be completed within sixty (60) calendar days. Given the availability of witnesses or complexity of the circumstances, this time frame may be extended as necessary to ensure the integrity and completeness of the investigation.

The Investigator(s) will provide periodic updates to the Title IX Coordinator, particularly regarding any emerging needs that would require additional protective or supportive measures for the Complainant or Respondent and regarding any adjustments to estimated timelines. 

The Investigator(s) will also work with the Title IX Coordinator if in the course of the investigation new allegations emerge and the Notice needs to be amended or if new information suggests the complaint should be dismissed under Title IX.

The Investigator(s) will gather information using any combination of the following:

2.1 Document/Records Review

In addition to reviewing any documents submitted by the Complainant and the Respondent, the Investigator(s) will try to obtain such other physical or medical evidence relevant to the investigation as the Investigator(s) determine, in their judgment, to be necessary, including but not limited to documents, police records, electronic or other records of communications between the parties or witnesses, video or audio recordings, records or other relevant information. In obtaining such evidence, the Investigator(s) will comply with applicable laws and college policies.

2.2 Site Visits

The Investigator(s) may visit relevant sites or locations and record observations through written or photographic documentation.

2.3 Complainant and Respondent Interviews

The Investigator(s) will interview the Complainant and the Respondent separately and may interview one or both more than once as necessary. The Complainant and the Respondent may be accompanied by their respective Advisors.  Parties will have the opportunity to review and verify the Investigator(s)’ summary of the relevant evidence/testimony from their respective interviews.

2.4 Witness Interviews

The Investigator(s) will make a good faith effort to contact and interview any witnesses identified by the parties or in the documentation, including those no longer at the college. The Investigator(s) may also interview any other individual they find to be potentially relevant to the allegations of the report. Witnesses will have the opportunity to review and verify the Investigator(s)’ summary of the relevant evidence/testimony from their respective interviews.

The Investigator(s) will inform each witness or other individual interviewed that they are prohibited from retaliating against the Complainant and the Respondent or other witnesses.

Prior to the completion of the investigation the Investigator(s) will provide the Complainant and the Respondent with a list of Witnesses interviewed.

2.5 Experts

The Investigator(s) may contact any expert the Investigator(s) determine is necessary to ascertain the facts related to the report. An expert witness may be contacted for an informal consultation or for a professional opinion regarding information learned from the investigation.

2.6 Prior Sexual History

In general, in a case where the Respondent raises consent as a defense, any prior consensual relationship between the parties may be deemed relevant to assess the manner and nature of communications between the parties, but is not necessarily determinative. As noted in Section VI, a current or previous dating or sexual relationship, by itself, is not sufficient to constitute consent.

Generally, the Complainant’s sexual predisposition or prior sexual history will not be considered relevant to an investigation, unless such questions and evidence about the Complainant’s prior sexual behavior are offered to prove that someone other than the Respondent committed the conduct alleged by the Complainant, or if the questions and evidence concern specific incidents of the Complainant’s prior sexual behavior with respect to the Respondent and are offered to prove consent.

3. Investigation Report

At the conclusion of the investigation, the Investigator(s) will prepare a written investigation report fully summarizing the relevant facts determined through the investigation, addressing all relevant evidence and referencing any supporting documentation or statements. In preparing the report, the Investigator(s) will review all facts gathered to determine whether the information is relevant and material to the determination of responsibility given the nature of the allegation.

The investigation report will include as appendices summaries and/or transcripts of interviews with the Complainant, Respondent, Witnesses, experts, and any other individuals with relevant information, photographs of relevant sites or physical evidence, electronic records, forensic evidence, and other relevant evidence collected.

While the Investigator(s) will gather, assess, and synthesize evidence, they will not make any conclusions regarding whether the Respondent is responsible for a policy violation.

3.1       Review and Comment Period

Before the report is finalized, the Complainant and the Respondent will be given the opportunity to review a copy of the draft of the investigation report, as well as an opportunity to inspect and review all of the evidence obtained as part of the investigation that is directly related to the reported misconduct, including evidence upon which college does not intend to rely in reaching a determination.

The Complainant and the Respondent will have a ten (10) business day review and comment period to respond in writing to the report and evidence. Upon receipt of any additional information by the Complainant and the Respondent, or after the ten (10) day comment period has lapsed without comment, the Investigator(s) will attempt to resolve any remaining questions or concerns.

The Investigator(s) may elect to to share the responses between the parties for additional comment or conduct limited follow-up interviews.  The Investigator(s) will incorporate relevant elements of the parties’ written responses into the final investigation report, include any additional relevant evidence, make any necessary revisions, and finalize the report. The Investigator(s) should document all rationales for any changes made after the review and comment period.  Similarly, they should include written responses to comments that do not result in changes to the report.

The finalized report will be submitted to the Title IX Coordinator.  The Title IX Coordinator will certify that the report is complete and meets the requirements under this policy.  Reports that are not complete or do not meet the requirements under this policy will be returned to the Investigator(s) so they may incorporate any relevant feedback. 

3.2  Distribution to Parties

Once the investigation report is certified by the Title IX Coordinator, the Title IX Coordinator will provide the Complainant and the Respondent with a finalized copy of the investigative report through secure electronic transmission or hard copy and will inform both parties of the tentative date for the hearing, which will be scheduled no earlier than ten (10) business days from the distribution of the final report.

The parties will also be provided with a file of any directly related evidence that was not included in the report and other relevant information collected during the investigation, including the summaries of statements of the other party(s) and any witnesses.

The Complainant and the Respondent maintain the right to request Informal Resolution after the receipt of the final investigation report and prior to the hearing.  This includes the Respondent’s right to accept responsibility for the alleged policy violations.  Requests for Informal Resolution will be evaluated as described in Section X.E.

After the investigative report has been finalized, and provided the complaint has not been resolved successfully through Informal Resolution, the resolution process will proceed to a hearing.  The goal of this hearing is to provide the parties with an opportunity to be heard by one or more impartial decision-maker(s).  After the presentation of all evidence, the Hearing Officer(s) will determine whether the Respondent is responsible for a violation of this policy based upon a preponderance of evidence and, if so, appropriate sanctions and/or remedies.

1.       Hearing Officer(s)

At the discretion of the Title IX Coordinator, the college will designate one or more Hearing Officer(s) to preside over the hearing.  The Hearing Officer(s) may be employees of the college, external consultants engaged to assist the college in its resolution of the complaint, or any combination thereof. The Title IX Coordinator will also designate one of these individuals as the Chair who oversees the hearing.  Any Hearing Officer chosen to conduct the hearing must be impartial and free of any conflict of interest.  Hearing Officer(s) will not have any previous involvement in the investigation of the complaint. In all cases, these individuals will have received specific training related to the resolution of allegations of discrimination, harassment, or retaliation.

The Title IX Coordinator may not serve as a Hearing Officer but may serve as an administrative facilitator of the hearing if their previous role(s) in the matter do not create a conflict of interest. If the Title IX Coordinator is unavailable to serve as an administrative facilitator, a designee may fulfill this role.

The college seeks to provide the Complainant and the Respondent a fair and reliable opportunity to be heard and to present and challenge evidence and its credibility.  All individuals will be treated by the Hearing Officer(s) with appropriate sensitivity and respect.  Consistent with the need for a full assessment of the facts, the Hearing Officer(s) will safeguard the privacy of the individuals involved.

The parties will be given the names of the Hearing Officer(s) as part of the Notice of Hearing. All objections to any Hearing Officer must be raised in writing, detailing the rationale for the objection, and must be submitted to the Title IX Coordinator as soon as possible and no later than three (3) days prior to the hearing. Hearing Officers will only be removed if the Title IX Coordinator concludes that their bias or conflict of interest precludes an impartial hearing of the allegation(s).

2. Evidentiary Considerations in the Hearing

Any evidence that the Hearing Officer(s) determine is relevant and credible may be considered. However, the hearing does not consider: 1) incidents not directly related to the possible violation, unless they evidence a pattern; or 2) questions and evidence about the Complainant’s sexual predisposition or prior sexual behavior, unless such questions and evidence about the Complainant’s prior sexual behavior are offered to prove that someone other than the Respondent committed the conduct alleged by the Complainant, or if the questions and evidence concern specific incidents of the Complainant’s prior sexual behavior with respect to the Respondent and are offered to prove consent.

Previous disciplinary action of any kind involving the Respondent may be considered in determining an appropriate sanction upon a determination of responsibility for a policy violation. This information is only considered at the sanction stage of the process, and is not shared until then.

Each of the parties may submit a written impact statement prior to the hearing for the consideration of the Hearing Officer(s) at the sanction stage of the process after a determination of responsibility has been reached.

After post-hearing deliberation, the Hearing Officer(s) render a determination based on the preponderance of the evidence whether it is more likely than not that the Respondent violated the Policy as alleged.

3. Scheduling Considerations and Notice of Hearing

Hearing will be scheduled for no earlier than ten (10) days after the distribution of the final investigation report.  The hearing will be scheduled as soon as reasonably possible, giving consideration to the availability of the Hearing Officer(s), the Complainant, the Respondent, and relevant Witnesses as well as the academic calendar.

Hearings for possible violations that occur near or after the end of an academic term and cannot be resolved prior to the end of term will typically be held as soon as possible after the end of the term.  This may include times when classes are not in session in order to resolve the complaint promptly.  The Complainant and the Respondent will be notified of any delays or changes in the resolution timeline.

Once the hearing date is finalized, the Title IX Coordinator will send notice of the hearing to the parties. This notice will be sent no less than ten (10) business days prior to the hearing.  Once mailed, emailed, otherwise electronically delivered, and/or received in-person, notice will be presumptively delivered.

The notice will contain:

• a description of the alleged violation(s), a list of all policies allegedly violated, a description of the applicable hearing procedures, and a statement of the potential sanctions/responsive actions that could result;
• the time, date, and location of the hearing;
• information regarding any technology that will be used to facilitate the hearing;
• information about the option for the live hearing to occur with the parties located in separate rooms using technology that enables the Hearing Officer(s) and parties to see and hear a party or witness answering questions;
• a list of all those who will attend the hearing, along with an invitation to object to any Hearing Officer on the basis of demonstrated bias or conflict of interest;
• information on how the hearing will be recorded and on access to the recording after the hearing;
• a statement that if any party or witness does not appear at the scheduled hearing, the hearing may be held in their absence. For compelling reasons, the Title IX Coordinator may reschedule the hearing.
• notification that the parties may have the assistance of an Advisor of their choosing at the hearing and will be required to have one present for any questions they may desire to ask. The party must notify the Title IX Coordinator if they do not have an Advisor, and the college will appoint one.
• a copy of all the materials provided to the Hearing Officer(s) about the matter, unless they have been provided already;
• an invitation to submit an impact statement pre-hearing that the Hearing Officer(s) will review during any sanction determination;
• an invitation to contact the Title IX Coordinator to arrange any disability accommodations, language assistance, and/or interpretation services that may be needed at the hearing; and
• information regarding any other logistical items to assist in the smooth administration of the hearing.

4. Alternative Participation Options

If a party cannot attend the hearing in person or prefers not to attend in person, the party should request alternative arrangements from the Title IX Coordinator at least five (5) business days prior to the hearing.

The Title IX Coordinator can arrange to use technology to allow remote testimony without compromising the fairness of the hearing. Remote options may also be needed for witnesses who cannot appear in person. Any witness who cannot attend in person should let the Title IX Coordinator know at least five (5) business days prior to the hearing so that appropriate arrangements can be made.

The college reserves the right to arrange for the entire hearing to be held virtually, provided that the college will at all times ensure the privacy and integrity of the hearings.

5. Pre-Hearing Preparation

After any necessary consultation with the parties and the Hearing Chair, the Title IX Coordinator, will compile a list of the names of all of the individuals who will be participating in the hearing.  The Title IX Coordinator or hearing facilitator will provide this list to the Complainant and the Respondent, as part of the Notice of the Hearing.  The Title IX Coordinator or hearing facilitator will also confirm that the parties have received the final investigation report and all pertinent documentary evidence.

Any witness scheduled to participate in the hearing must have been first interviewed by the Investigator(s) or have provided documentary evidence to the Investigator(s), unless all parties and the Chair assent to the witness’s participation in the hearing. The Chair also may determine whether any evidence that is first offered at the hearing is relevant and admissible. If relevant new evidence necessitates further examination, the Chair may delay the hearing and/or instruct that the investigation needs to be re-opened to consider that evidence.

The Title IX Coordinator will give the Hearing Officer(s) a list of the names of all parties, witnesses, and Advisors at least five (5) business days in advance of the hearing. Any Hearing Officer who cannot make an objective determination must recuse themselves from the proceedings when notified of the identity of the parties, witnesses, and Advisors in advance of the hearing. If a Hearing Officer is unsure of whether a bias or conflict of interest exists, they must raise the concern to the Title IX Coordinator as soon as possible.

The Title IX Coordinator will draft an outline to be used to structure the hearing.   This outline will include the order of the proceedings, as well as logistical and other information, to assist in the smooth and efficient facilitation of the hearing.  The Hearing Chair will receive a copy of this document prior to the hearing.

6. Pre-Hearing Meetings

The Hearing Chair may convene pre-hearing meetings with each of the parties and/or their Advisors and invite them to submit the questions they wish to ask or topics they wish to discuss at the hearing.  Pre-submission of this information will allow the Chair to rule on their relevance ahead of the hearing to avoid any improper evidentiary introduction in the hearing and/or to provide recommendations for more appropriate phrasing. However, this advance review opportunity does not preclude the Advisors from asking a question for the first time at the hearing or from asking for a reconsideration of a question’s relevance based on any new information or testimony offered at the hearing. The Chair must document and share with each party their rationale for any exclusion or inclusion of questions or topics.

The Chair, only with full agreement of the parties, may decide in advance of the hearing that certain witnesses do not need to be present if their testimony can be adequately summarized by the Investigator(s) in the investigation report or during the hearing.  The parties must agree that this testimony/evidence is not in dispute nor is either party interested in challenging the credibility of this witness.

At the pre-hearing meetings, the Chair will consider arguments that evidence identified in the final investigation report as relevant is, in fact, not relevant. Similarly, evidence identified as directly related but not relevant by the Investigator(s) may be argued to be relevant. The Chair may rule on these arguments pre-hearing and will exchange those rulings between the parties prior to the hearing to assist in preparation for the hearing. The Chair may consult with the Title IX Coordinator, or ask them to attend pre-hearing meetings.

The pre-hearing meetings will not be recorded. These meetings may be held in-person or remotely or may be a simple paper exchange. The Chair will work with the parties to establish the most appropriate format.

7. Hearing Logistics

At the hearing, the Hearing Officer(s) has the authority to hear and make determinations on all allegations of discrimination, harassment, and/or retaliation and may also hear and make determinations on any additional alleged policy violations that have occurred in concert with the discrimination, harassment, and/or retaliation, even though those collateral allegations may not specifically fall within the policy on Equal Opportunity, Non-Discrimination, and Anti-Harassment.

Participants at the hearing will include the Chair, any additional panelists, the hearing facilitator, the Investigator(s) who conducted the investigation, the Complainant and the Respondent and their respective Advisors, any called Witnesses, and anyone providing authorized accommodations, interpretative and/or assistive services.

The Chair will decide all questions of procedure. Anyone appearing at the hearing to provide information will respond to questions on their own behalf.

At the hearing, recording, witness logistics, party logistics, curation of documents, separation of the parties, and other administrative elements of the hearing process are managed by a non-voting hearing facilitator, typically the Title IX Coordinator. The hearing facilitator may attend to: logistics of rooms for various parties/witnesses as they wait; flow of parties/witnesses in and out of the hearing space; ensuring recording and/or virtual conferencing technology is working as intended; copying and distributing materials to participants, as appropriate, etc.  They may also provide information regarding hearing procedures to the Chair.

8. Order of the Hearing

8.1 Introductions and Explanation of Procedure

The Chair explains the procedures and introduces the participants. The Chair then conducts the hearing according to the hearing outline.

8.2 Presentation of the Final Investigation Report

The Investigator(s) will present a summary of the final investigation report, including items that are contested and those that are not, and will be subject to questioning by the Hearing Officer(s) and the parties (through their Advisors). The Investigator(s) may present during the entire hearing process, except during deliberations.

Neither the parties nor the Hearing Officer(s) will be allowed to ask the Investigator(s) their opinions on credibility, recommended findings, or determinations, and the Investigator(s), Advisors, and parties will refrain from discussion of or questions for the Investigator(s) about these assessments. If such information is introduced, the Chair will direct that it be disregarded.

8.3 Testimony and Questioning

Once the Investigator(s) present the report and are questioned, the parties and witnesses may provide relevant information in turn, beginning with the Complainant, and then in the order determined by the Chair. The questioning of the parties and witnesses will first be conducted by by the Hearing Officer(s) and then by the parties through their Advisors. Non-party witnesses may be present only when they are providing live testimony.  They will be excused from the hearing space at the conclusion of their testimony.

All questions are subject to a relevance determination by the Chair. The Advisor, who will remain seated during questioning, will pose the proposed question, the proceeding will pause to allow the Chair to consider the question and determine whether it will be permitted, disallowed, or rephrased.

The Chair may invite explanations or persuasive statements regarding relevance with the Advisors, if the Chair so chooses. The Chair will then state their decision on the question for the record and advise the party/witness to whom the question was directed, accordingly. The Chair will explain any decision to exclude a question as not relevant, or to reframe it for relevance.

The Chair will limit or disallow questions on the basis that they are irrelevant, unduly repetitious (and thus irrelevant), or abusive. The Chair has final determination on all questions and issues of relevance. The Chair may ask Advisors to frame why a question is or is not relevant from their perspective but will not entertain argument from the Advisors on relevance once the Chair has ruled on a question.

If the parties raise an issue of bias or conflict of interest of an Investigator or Hearing Officer at the hearing, the Chair may elect to address those issues, and/or refer them to the Title IX Coordinator, and/or preserve them for appeal. If bias is not at issue at the hearing, the Chair should not permit irrelevant questions that probe for bias.

8.4 Refusal to Submit to Questioning and Inferences

If a party or witness chooses not to submit to questioning at the hearing, either because they do not attend the meeting, or they attend but refuse to participate in questioning, then the Hearing Officer(s) may not draw any inference solely from a party’s or witness’s absence from the hearing or refusal to answer any questions.

If charges of policy violations other than Sexual Harassment are considered at the same hearing, the Hearing Officer(s) may consider all evidence it deems relevant to that charge, may rely on any relevant statement as long as the opportunity for questioning is afforded to all parties through their Advisors, and may draw reasonable inferences from any decision by any party or witness not to participate or respond to questions regarding that charge.

If a party’s Advisor of choice refuses to comply with the college’s established rules of decorum for the hearing, the college may require the party to use a different Advisor. If a college-provided Advisor refuses to comply with the rules of decorum, the college may provide that party with a different Advisor to conduct questioning on behalf of that party.

An Advisor may not be called as a Witness to testify to what their advisee has told them during their role as an Advisor. An Advisor who is a college employee is temporarily alleviated from reporting responsibilities related to their interaction with their advisee during the resolution process.

8.5 Deliberation and Decision-making

The Hearing Officer(s) will deliberate in closed session to determine whether the Respondent is responsible or not responsible for the policy violation(s) in question by a preponderance of evidence. If a panel is used, a simple majority vote is required to determine the finding. The hearing facilitator may be invited to attend the deliberation by the Chair, but is there only to facilitate procedurally, not to address the substance of the allegations.

When there is a finding of responsibility on one or more of the allegations, the Hearing Officer(s) may then consider the previously submitted party impact statements in determining appropriate sanction(s).  While the Hearing Officer(s) may consider the statements, they are not binding.

The Hearing Officer(s) will also review any pertinent conduct history provided by Title IX Coordinator and/or Student Affairs, Human Resources, and/or Dean of Faculty’s Office as appropriate. After this review, the Hearing Officer(s), in consultation with other appropriate administrators, will determine the appropriate sanction(s).

Factors considered when determining a sanction/responsive action may include, but are not limited to:

• the nature, severity of, and circumstances surrounding the violation(s);
• the Respondent’s disciplinary history;
• the need for sanctions/responsive actions to bring an end to the discrimination, harassment, and/or retaliation;
• the need for sanctions/responsive actions to prevent the future recurrence of discrimination, harassment, and/or retaliation;
• the need to remedy the effects of the discrimination, harassment, and/or retaliation on the Complainant and the community;
• the impact on the parties; and
• any other information deemed relevant by the Hearing Officer(s).

The Chair will then prepare a written deliberation statement and deliver it to the Title IX Coordinator, detailing the determination, rationale, the evidence used in support of its determination, the evidence not relied upon in its determination, credibility assessments, and any sanctions or remedies.

This report is typically no more than five (5) pages in length and must be submitted to the Title IX Coordinator within five (5) business days of the end of deliberations, unless the Title IX Coordinator grants an extension. If an extension is granted, the Title IX Coordinator will notify the parties.

d.  Notice of Outcome

Using the deliberation statement, the Title IX Coordinator will work with the Chair to prepare a Notice of Outcome letter which will include the final determination, rationale, and any applicable sanction(s) and/or remedies. Typically, the finalized Notice of Outcome will be distributed to the Complainant and Respondent within three (3) business days of receiving the Hearing Officer(s)’ deliberation statement. If there is a delay in the distribution of the Notice, the Title IX Coordinator will notify the parties.

The Notice of Outcome letter will be shared with the parties simultaneously. Notification will be made in writing and may be delivered by one or more of the following methods: in person, mailed to the local or permanent address of the parties as indicated in official college records, or emailed to the parties’ college-issued email or delivered electronically using a secure web-based portal. Once mailed, emailed or otherwise delivered electronically, and/or received in-person, notice will be presumptively delivered.

The Notice of Outcome letter will articulate the specific policy(ies) reported to have been violated, including the relevant policy section, and will contain a description of the procedural steps taken by the college from the receipt of the report to the determination, including notifications to the parties, interviews with parties and witnesses, site visits, methods used to obtain evidence, and hearings held.

The Notice of Outcome letter will specify:

• the finding on each alleged policy violation;
• the findings of fact that support the determination;
• conclusions regarding the application of the relevant policy to the facts at issue;
• a statement of, and rationale for, the result of each allegation to the extent the college is permitted to share such information under state or federal law;
• any sanctions issued which the college is permitted to share according to state or federal law;
• and whether any remedies will be provided to the Complainant to ensure access to the Recipient’s educational or employment program or activity.

The Notice of Outcome letter will also include information on the relevant procedures and grounds for any available appeal options and when the results are considered by the Recipient to be final.  The Complainant and Respondent will be notified of any changes that occur prior to finalization.

Students found responsible for a violation of this policy violation are subject a range of disciplinary actions including any combination of the following:

• Loss or Restriction of Privileges
  • Loss of the privilege of participating in any public function (e.g., literary, dramatic, forensic, radio, television, musical, or athletic) wherein the participant will be thought of as a representative of Bates College;
  • Loss of on campus housing and/or dining privileges;
  • Loss of the privilege of participating in social and/or ceremonial events on campus;
  • Loss of the privilege of maintaining a motor vehicle on campus;
  • A requirement that a student resign membership in or any offices, elected or appointed, held in campus organizations;
  • Loss of access to certain campus locations;
  • Loss of specific campus or Bates-sponsored employment opportunities;
  • Loss of specific academic opportunities; and
  • Loss of use of certain campus resources.
• Required Action
  • Required counseling or educational sessions;
  • Required community service or restitution hours; or
  • Required restorative action.
• Disciplinary Probation
  • Probation for a specified or indefinite period of time, with or without conditions relating to the termination of probation.
• Suspension
  • Suspension for a specified or indefinite period of time, with or without conditions relating to readmission to the college.
• Dismissal from the college
• Withholding or Revocation of Degree
• Any other sanction deemed appropriate

Sanctions or responsive actions for employees who have been found responsible for a violation of this policy could include any combination of the following:

• Warning – verbal or written;
• Loss of access to certain campus facilities or functions;
• Initiation of the Performance Improvement Process;
• Enhanced supervision, observation, or review;
• Disciplinary Probation for a specified or indefinite period of time, with or without conditions relating to the termination of probation;
• Required counseling or educational sessions;
• Required restitution or restorative action;
• Loss of annual pay increase;
• Loss of supervisory or leadership responsibilities;
• Loss of specific duties;
• Demotion, reassignment of duties, or transfer;
• Suspension with or without pay, for a specified or indefinite period of time, with or without conditions relating to return to the college;
• Delay in tenure track progress;
• Termination; and
• Any other sanction deemed appropriate.

In most circumstances, all sanctions will be implemented as soon as is feasible, either upon the outcome of any appeal or the expiration of the window to appeal without an appeal being requested.

The sanctions described in this policy are not exclusive of, and may be in addition to, other actions taken or sanctions imposed by external authorities.

The Complainant or Respondent may file a request for appeal in writing to the Title IX Coordinator within five (5) days of the delivery of the Notice of Outcome.  Appeals are on limited grounds and are not intended to be a full re-hearing of the allegations or evidence.  If an appeal meets the limited grounds, the non-appealing party will be notified of the appeal and have an opportunity to respond to it.

1. Appellate Officer(s)

The Title IX Coordinator, the college will designate either one or more Appellate Officer(s), including a voting Chair, to review and rule on the appeal.  The Appellate Officers may be employees of the college, external consultants engaged to assist the college in its resolution of the complaint, or any combination thereof. Any Appellate Officer chosen to hear the appeal must be impartial and free of any conflict of interest.  No Appellate Officer will have been involved in the investigation or hearing or in hearing an appeal regarding dismissal.

2. Grounds for Appeal

The Request for Appeal will be forwarded to the Appellate Chair or their designee to determine if the request is proper for consideration. This review is not a review of the merits of the appeal, but solely a determination as to whether the request is timely and is based on one or more permissible grounds.

Appeals are limited to the following grounds:

• a procedural error that may have had a prejudicial effect upon the outcome of the matter;
• new evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made, that could affect the outcome of the matter;
• the Title IX Coordinator, Investigator(s), or Hearing Officer(s) had a conflict of interest or bias for or against Complainants or Respondents generally or the specific Complainant or Respondent that affected the outcome of the matter; or
• the sanction imposed on the Responding Party is grossly inappropriate.

If none of the grounds outlined in the Request for Appeal meet the grounds in this policy, that request will be denied by the Appellate Chair and the parties will be notified in writing of the denial and the rationale.

If any of the grounds in the Request for Appeal meet the grounds in this policy, then the Appeal Chair will initiate a review of the appeal based on those grounds. They will notify the other party, the Title IX Coordinator, and, when appropriate, the Investigator(s) and/or the Hearing Officer(s).

The other party, the Title IX Coordinator, and, when appropriate, the Investigator(s) and/or the Hearing Officer(s) will be provided a copy of the appeal request with the approved grounds and be given three (3) business days to submit a response to the portion of the appeal that was approved and involves them. The Chair will forward all responses to the parties for review and comment.

The non-appealing party (if any) may also choose to raise a new ground for appeal at this time. If so, that will be reviewed to determine if it meets the grounds in this policy by the Appeal Chair and either denied or approved. If approved, it will be forwarded to the party who initially requested an appeal, the Title IX Coordinator, the Investigator(s) and/or Hearing Officer(s), as necessary, who will submit their responses, if any, in three (3) business days. The responses will also be circulated for review and comment by all parties.

3. Review of Appeal and Notice of Appeal Outcome

Neither party may submit any new requests for appeal after this time period. The Appellate Chair will collect any additional information needed and all documentation regarding the approved grounds for appeal and the subsequent responses will be shared with other Appellate Officers (if any).  The Appellate Chair may permit the parties an opportunity to be heard by the Appellate Officer(s) and answer questions from them.  

The Appellate Officer(s) will render a decision on appeal in no more than three (3) business days, barring exigent circumstances. All decisions are by majority vote and apply the preponderance standard of evidence.

A Notice of Appeal Outcome will be sent to all parties simultaneously. The Notice of Appeal Outcome will specify the finding on each approved ground for appeal, any specific instructions for remand or reconsideration, any sanctions that may result which the college is permitted to share according to state or federal law, and the rationale supporting the essential findings to the extent the college is permitted to share under state or federal law.

Notification will be made in writing and may be delivered by one or more of the following methods: in person, mailed to the local or permanent address of the parties as indicated in official institutional records, or emailed to the parties’ Bates-issued email or posted on a secure web-based portal. Once mailed, emailed and/or received in-person, notice will be presumptively delivered.

4. Sanctions Status During the Appeal

Any sanctions imposed as a result of the hearing are stayed during the appeal process. Supportive measures may be continued or reinstated, subject to the same supportive measure procedures detailed in Section IX.A.

If any of the sanctions are to be implemented immediately post-hearing, but pre-appeal, then emergency removal procedures for a show cause meeting on the justification for doing so must be permitted within 48 hours of implementation. For more information on Emergency Removal, see Section IX.B.

College may place holds on official transcripts, diplomas, graduations, and course registration pending the outcome of an appeal when the original sanctions included separation from the college.

5. Appeal Considerations

Appeals may be granted with regard to the responsibility finding only on the basis of clear error, and to the sanction(s)/responsive action(s) only if there is a compelling justification to do so.  Appeals are not intended to provide for a full re-hearing (de novo) of the allegation(s). An appeal is not an opportunity for the Appellate Officer(s) to substitute their judgment for that of the Hearing Officer(s) merely because they disagree with the finding and/or sanction(s).

In most cases, appeals are typically confined to a review of the written documentation or record of the original hearing and pertinent documentation regarding the specific grounds for appeal.  However, as noted, the Chair has the discretion to allow for brief oral argument.

The Appellate Officer(s) may consult with the Title IX Coordinator on questions of procedure or rationale, for clarification, if needed. Documentation of all such consultation will be maintained.

Appeals granted should normally be remanded (or partially remanded) to the original Investigator(s) and/or Hearing Officer(s) for reconsideration. In rare cases where a procedural or substantive error cannot be cured by the original Hearing Officer(s) (as in cases of bias), the Appeal Chair may order a new investigation and/or hearing with new Investigator(s) and/or Hearing Officer(s) as necessary.

When an appeal is denied, that decision is final. If an appeal results in a new hearing, the outcome of that hearing can be appealed on the grounds listed above and in accordance with these procedures. 

In cases in which the appeal results in reinstatement to the college or a resumption of privileges, all reasonable attempts will be made to restore the Respondent to their prior status, recognizing that some opportunities lost may be irreparable in the short term.

Following the conclusion of the resolution process, and in addition to any sanctions implemented, the Title IX Coordinator, in consultation with other appropriate administrators, may implement additional long-term remedies or actions with respect to the parties and/or the campus community that are intended to stop the harassment, discrimination, and/or retaliation, remedy the effects, and prevent reoccurrence.

These remedies/actions may include, but are not limited to:

• Referral to counseling and health services;
• Referral to the Employee Assistance Program;
• Education to the individual and/or the community;
• Permanent alteration of housing assignments;
• Permanent alteration of work arrangements for employees;
• Provision of campus safety escorts;
• Climate surveys;
• Policy modification and/or training;
• Provision of transportation accommodations;
• Implementation of long-term contact limitations between the parties;
• Implementation of adjustments to academic deadlines, course schedules, etc.

At the discretion of the Title IX Coordinator, certain long-term support or measures may also be provided to the parties even if no policy violation is found.  When no policy violation is found, the Title IX Coordinator will address any remedies owed by the college to the Respondent to ensure no effective denial of educational access.

The college will maintain the confidentiality of any long-term remedies and actions, provided the confidentiality does not impair the college’s ability to provide these services.

All Respondents are expected to comply with the assigned sanctions, responsive actions, and/or corrective actions within the time frame specified by in the Notice of Outcome.

Failure to abide by the sanction(s) or remedies imposed by the date specified, whether by refusal, neglect, or any other reason, may result in additional sanction(s) or disciplinary action(s), including suspension, dismissal from the college, and/or termination of employment.