Student Conduct Process

Conduct Process Overview

When the University receives an Incident Report that names a student as its subject (Responding Student), the following process is initiated:

1. Incident Report or Complaint received
2. Incident is assessed for possible policy violation. 
3. Upon assessment of incident, incident is documented in online Student Conduct management system. If incident does not rise to the level of a policy violation, incident is dismissed and does not constitute a record of student conduct. Except in cases pursuant to the Comprehensive Sexual Misconduct and Relationship Violence  The reporter will be notified of this decision.
4. Informal Resolutions are determined by the administrator, as well as the severity of the policy violation. Informal Resolutions are an educational tool to prevent the recurrence of behavior. Informal Resolution will not be considered a part of a permanent conduct file, however, will be documented and considered in the event of future conduct violations, except in cases pursuant to the Comprehensive Sexual Misconduct and Relationship Violence
5. Formal Resolutions are determined by the administrator, as well as the severity of the policy violation. The purpose of a formal resolution is to determine if the Responding Student holds any responsibility for the policy violations.
   1. Administrative Action: If the Responding Student assumes Responsibility for the violation(s), the Office of Student Experience reviews the case and may impose sanctions.
   2. Student Conduct Hearing: If the Responding Student does not assume Responsibility for the alleged violation(s) or a hearing is required pursuant to the Comprehensive Sexual Misconduct and Relationship Violence policy, the Office of Student Experience will convene a Student Conduct Hearing Committee. The Student Conduct Hearing Committee is comprised of an Office of Student Experience staff member (serves as hearing administrator) and two trained faculty/staff members of the Student Conduct Hearing Board. In hearings conducted pursuant to the Comprehensive Sexual Misconduct and Relationship Violence policy, the members of the Hearing Committee will have received training related to sexual violence, domestic violence, dating violence and other training required by law. 
6. Written notice of the results of the formal resolution is provided.
7. If applicable, Responding Students are provided the right to appeal the outcome of the process pursuant to the right to appeal outlined below.

Investigative Process Overview

1. The Office of Student Experience reviews the Incident Report, meets with all involved parties to investigate the incident, and collects evidence. This may include the reporting party (the Complainant), the Responding Student and any witnesses who may have information related to the incident.
2. When an allegation is made that a student engaged in conduct prohibited by the Comprehensive Sexual Misconduct and Relationship Violence policy, the Title IX Coordinator  or designee is responsible for conducting the investigation that informs the Student Conduct Process and for providing the information, support and services required by the Comprehensive Sexual Misconduct and Relationship Violence policy.
3. At any point during the Student Conduct Process, the Office of Student Experience or the Title IX Coordinator or designee may place interim restrictions or requirements on a Responding Student or other involved parties to ensure the safety and security of the campus community. These actions include, but are not limited to, no contact orders, limiting presence on campus or modifications to class attendance. In situations where temporary suspension is recommended, the decision rests with the Office of Student Experience, Title IX Coordinator or designee.
4. During investigative interviews, the Office of Student Experience provides the Responding Student with a copy of the Incident Report, the University policies, and explains the Student Conduct Process to all involved parties. Investigations of complaints subject to the Comprehensive Sexual Misconduct and Relationship Violence policy will be conducted pursuant to that policy.   
5. The investigator will use a preponderance of the evidence standard (“more likely than not”) in determining whether the Responding Student violated any policies or rules of the University.  For investigations conducted pursuant to the Comprehensive Sexual Misconduct and Relationship Violence policy, the Title IX Coordinator or designee will issue an Investigative Report with recommendations for resolution of the incident and will distribute the Report to the Office of Student Experience when the Responding Student is a student. 
6. Following the completion of the investigation, the Office  of Student Experience or the Title IX Coordinator or designee will communicate in writing via NLU email to notify the Complainant and Responding Student whether formal charges will result from the alleged behavior within three business days. Investigations of complaints subject to the Comprehensive Sexual Misconduct and Relationship Violence policy will be conducted pursuant to that policy.
   
7. If no formal charges result, the Student Conduct Process is complete and this incident does not constitute a student conduct record for the Responding Student. For complaints subject to the Comprehensive Sexual Misconduct and Relationship Violence policy, however, the Complainant may file an appeal with the Vice Provost Advising and University Registrar or designee and request a hearing according to that policy. The Vice Provost Advising and University Registrar or designee will review the investigative file and the appeal and determine whether the evidence indicates a hearing is appropriate. 
8. If formal charges result or a hearing is scheduled pursuant to the Comprehensive Sexual Misconduct and Relationship Violence policy, the written communication shall include:

   a) A description of the alleged misconduct.

   b) Specific provisions of University policy that are alleged to have been violated.

   c) Directions and deadline to the Responding Student regarding his/her choice to plead Responsible or Not Responsible for each alleged violation.

Student Rights and Procedural Considerations

The following procedures are designed to determine, without bias, what is best for the Complainant, the Responding Student and the NLU community.

1. The Responding Student is entitled to a Student Conduct Hearing if the matter cannot be resolved through Administrative Action. Reasonable efforts will be made to hold the hearing   in not less than 5, nor more than 15 business days from the date of the charge notification, unless the Responding Student expressly waives all or part of the notice period or a continuance is granted by the Office of Student Experience.
2. The Complainant in hearings related to the Comprehensive Sexual Misconduct and Relationship Violence policy shall have the opportunity to request that the hearing begin promptly and proceed in a timely manner. 
3. The Complainant and the Responding Student will be notified of the time and place of the hearing at least 5 business days prior to the hearing date. At the time of this notification, the Office of Student Experience will provide the names of available witnesses and any available evidence to the Complainant and the Responding Student. If the Complainant or the Responding Student wishes to bring witnesses to the hearing, they must provide the names of witnesses and any related materials within 2 business days of the date of the hearing. All individuals who participate as witnesses must submit a written statement as directed by the Office of Student Experience. The number of witnesses permitted to attend any hearing is at the discretion of the hearing administrator.
4. The Complainant and the Responding Student may challenge the participation of any member of the Student Conduct Hearing Committee for good and substantial reasons, including a conflict of interest, and request the substitution of that member of the Hearing Committee.  The challenge and request for substitution must be filed in writing with the hearing administrator no later than 2 business days before the scheduled commencement of the hearing. The committee member’s continued participation is at the discretion of the hearing administrator.  Challenges to the participation of the hearing administrator will be submitted to the Vice Provost Advising and University Registrar or designee no later than 2 business days before the scheduled commencement of the hearing. The hearing administrator’s participation is at the discretion of the Vice Provost Advising and University Registrar or designee.    
5. The Complainant and the Responding Student may appear in person and present evidence. The Complainant and the Responding student will not be compelled to attend the hearing or to make statements or testify at the hearing. If the Complainant or the Responding Student does not attend, the hearing body may proceed in his/her absence. The absence of the student will be noted in the record without prejudice.
6. The Complainant and the Responding Student may be assisted during the hearing by an advocate  of his/her choosing. The advocate will not be permitted to participate directly in the hearing and will be available only to consult privately with the student regarding questions the student may have during the course of the hearing. Decisions regarding the extent of advocate/student consultation will be determined by the hearing administrator.
7. All proceedings are closed to the public. Persons in attendance shall  be  limited to members of the hearing body, Complainant, Responding Student, Complainant’s advocate, Responding Student’s advocate, witnesses and Title IX Coordinator where appropriate. All persons involved in a proceeding shall agree to hold information related to the student conduct case confidential. 
8. It is within the discretion of the hearing administrator to determine whether witnesses may be present at the hearing when they are not testifying.
9. The Complainant and the Responding Student and their advocates may be present for the entire hearing. 
10. In hearings proceeding pursuant to the Comprehensive Sexual Misconduct and Relationship Violence policy, the Complainant is entitled to the same procedural rights afforded to the Responding Student.
11. Hearing Committees  are required to determine whether the Responding Student is Responsible or Not Responsible for each alleged violation. The decision of the Hearing Committee  shall be made only on the basis of statements and other evidence relevant to the case. The standard of review used to reach a decision is preponderance of evidence, or “more likely than not.” Decisions of the Hearing Committee  will be determined   by simple majority. If the Hearing Committee determines that a Responding Student is responsible for a violation of University policy,  the Responding Student’s past offenses or other relevant information may be considered for purposes of determining sanctions. 
12. The Responding Student and Complainant are each entitled to written notice of the results of the Student Conduct Hearing sent via NLU email no later than 7 calendar days after the hearing date. 
13. An audio recording of the Student Conduct Hearing shall be made by the hearing administrator and filed in the Office of Student Experience. The Complainant and the Responding Student may request access to the audio recording.
     

Format of Student Conduct Hearing

Procedural aspects of the hearing are at the discretion of the hearing body, inclusive of the Student Rights and Procedural Considerations above and the hearing elements listed in (a)-(h).

a. The charges stated and the case presented by the hearing administrator.

b. A statement made by the Complainant.

c. A statement made by the Responding Student.


d. A statement made by the witnesses, if appropriate.

e. Questions are asked by members of the Student Conduct Hearing Committee. If the Complainant or Responding Student has questions during the proceeding, the questions will be submitted in writing to the hearing administrator. The hearing administrator has the discretion to determine whether proposed questions are relevant to the proceedings and consistent with University policy.  Only the hearing administrator will read questions submitted by the Complainant or Responding Student.


f. Any final statements made by the Complainant.

g. Any final statements made by the Responding Student. 

h. Closing statements made by the hearing administrator notifying hearing body of deliberation instructions and notifying involved parties of decision timeline.

i. In hearings conducted pursuant to the Comprehensive Sexual Misconduct and Relationship Violence policy, the Complainant has the right not to provide opening or closing statements, or testify in the presence of the Responding Student.  When the Complainant asserts this right, the University will provide a procedure in which the Complainant is allowed to speak to the Hearing Committee outside the presence of the Responding Student. The procedure will allow the Responding Student to hear the Complainant’s statement or testimony without being physically present in the hearing room.

Sanctions

The following sanctions may be imposed upon students found Responsible for violations of University regulations:

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. 

Right of Appeal

The Complainant or the Responding Student have the right to appeal when they allege a procedural error occurred, new information exists that would substantially change the outcome of the finding or the sanction is disproportionate to the violation. The appeal must be submitted in writing no later than 10 days after notification of the decision. This appeal must be made to the Vice Provost Advising and University Registrar or designee, 122 S. Michigan Ave., Chicago, IL 60603. The Vice Provost Advising and University Registrar or designee will review the appeal and the record. The Complainant and the Responding Student will be notified within 7 calendar days after a decision regarding the appeal has been made. 

Records of Student Conduct Matters

All student conduct records are kept in the Office of Student Experience. This information is not recorded on academic transcripts, nor released to any persons outside the University except when authorized by the student involved or when under legal compulsion.

Records of student conduct actions are maintained for 7 years from the date the incident was reported.

Conflicts of Interest

With the exception of the process for challenging members of the Hearing Committee described previously in this section, if there is a real or perceived conflict of interest involving the actions of the designated University official or University office typically responsible for handling matters of concern, the Complainant or the Responding Student may challenge the participation of the official or University office for good and substantial reasons. The challenged member’s continuation is at the discretion of the Vice Provost Advising and University Registrar.

Alternate representatives may include the Office of Student Experience, the Title IX Coordinator, the University Ombudsman, the Provost’s Office or the Office of Human Resources. The alternate University representative or office may then designate an impartial and appropriate University official to resolve the matter following applicable University policy. 

A conflict of interest exists when an individual’s knowledge of the matter or personal or professional relationships with the Complainant, respondent, or witnesses would preclude the individual from being able to investigate or adjudicate the case fairly and impartially.

Challenges to the participation of the Title IX Coordinator in matters related to the Comprehensive Sexual Misconduct and Relationship Violence policy are subject to the provisions of that policy.