Formal Complaint

A formal complaint is a document that is filed by a complainant or signed by the Title IX Coordinator alleging that sexual misconduct has occurred and requesting an investigation into the alleged conduct. This formal complaint may be filed via nl.edu/letusknow or personally delivered or mailed to the Title IX Coordinator. A formal complaint must contain the complainant’s physical or digital signature, with the exception of when the Title IX Coordinator signs a formal complaint. Upon receipt of a formal complaint, the Title IX Coordinator will begin an investigation or take other appropriate actions. Some complaints can be dismissed or transferred to another investigative process depending on the allegations. Complaints also can be consolidated into one single process/case.

Standard of Evidence:

Findings of responsibility will be evaluated using the preponderance of evidence standard. A preponderance of evidence has been described as evidence showing it is more likely than not that the respondent is responsible for the alleged conduct.

Investigation Process:

Upon receipt of a formal complaint the following procedure will be followed:

1. The Title IX Coordinator will review the information presented in the complaint and make an evaluation regarding whether the reported conduct meets the definition with the prohibited conduct of this policy
2. The Title IX Coordinator will notify all involved parties of the complaint and information related to the allegations in the complaint. The notice also will include a description of the grievance process, a statement that the respondent is presumed not responsible for the alleged conduct, that a determination regarding responsibility will be made at the conclusion of the grievance process. The notice also will inform the parties that they may be assisted by an advisor of their choice during the grievance process and other provisions required by law.
3. The Title IX Coordinator will provide supportive measures to both parties as needed and requested by the parties.
4. The Title IX Coordinator will meet separately with the complainant, respondent and interview any additional witnesses to collect and compile all available evidence All parties will have an opportunity to submit physical evidence such as documents, emails, photographs, video and audio recordings, messages and any other available evidence.
5. When applicable, the Title IX Coordinator will cooperate with law enforcement.
6. Upon completion of an investigation, the Title IX Coordinator will issue an investigative report summarizing relevant evidence and, at least ten (10) days prior to a hearing, send the report to each party and the party’s advisor, in any.

Hearing Process

After receipt and review of the investigative report, a live hearing will take place as soon as is practicable to determine the findings and resolution of the complaint. The hearing board will be composed of three individuals: a faculty member, a staff member and individual who may be a member of the faculty or staff. The hearing board may designate one of its members to serve a hearing administrator tasked with facilitating the conduct of the hearing.

1. NLU reserves the right to establish procedures for the conduct of hearings. If such procedures are developed, NLU will make them available to the parties in advance of the hearing.
2. NLU reserves the right to conduct hearings virtually with technology that enables participants simultaneously to see and hear each other. At the request of either party, NLU will provide the live hearing to occur with the parties located in separate rooms with technology enabling the hearing board and parties to simultaneously see and hear the parties and/or witnesses answering questions.
3. NLU will create an audio or audiovisual recording or transcript of the hearing and make it available to the parties for inspection and review.
4. Advisors are allowed to ask relevant cross-examination and other questions of a party or a witness, but before a party or witness answers the question, the hearing board must first determine whether the question is relevant and explain any decision to exclude a question as not relevant..
5. At the conclusion of the hearing, the Hearing Board will determine responsibility and any sanctions if respondent is found responsible.
6. The Hearing Board decision will be sent by the Hearing Officer to all involved parties and their advisors within 7 business days of the hearing. The determination will outline findings and facts used to determine the finding as well as any accompanying sanctions.

Range of Disciplinary Sanctions and Remedies

The following sanctions may be imposed upon students found responsible for violations this policy:

1. Reprimand: an official rebuke that makes the misconduct a matter of record.
2. Warning: verbal or written notice that the behavior has been inappropriate. May be considered part of student conduct record in future student conduct action.
3. Restriction: limitation of a student’s privileges or freedom.
4. Probation: a period during which continued enrollment is conditioned upon continued cooperation. Suspension may occur should another violation take place.
5. Suspension: a temporary separation from the University.
6. Dismissal: a permanent separation from the University.
7. Other: at the discretion of the hearing body or a senior administrator of the University.

Note: Sanction #6 shall be imposed only by the President.

Range of Disciplinary Sanctions and Remedies for Staff & Faculty

The following sanctions may be imposed upon employees found responsible for violations this policy:

1. Documentation: incident is documented and kept on file with Human Resources. May be added to the employee file and may be used as evidence in the event of further violations of this policy.
2. Warning: verbal or written notice that the behavior has been inappropriate and is documented to the employee file. May be considered part of employee conduct record in future employee conduct violations.
3. Final Warning: a period during which continued employment is conditioned upon continued cooperation. Depending on the severity of the infraction, this warning period may be upheld for remainder of employment with the university.
4. Termination: termination of employment from the University.
5. Other: at the discretion of the hearing body, Human Resources, or a senior administrator of the University.