Procedural Guidelines for Responding to Allegations Implicating:
WSU Executive Policy #15,
The Policy Prohibiting Discrimination, Sexual Harassment, and Sexual Misconduct
Updated: October 17, 2019
The Office of Civil Rights Compliance and Investigation (CRCI) is WSU’s central authority for intake, investigation, and response to allegations that implicate the WSU Policy Prohibiting Discrimination, Sexual Harassment, and Sexual Misconduct, Executive Policy #15 (EP 15). These procedural guidelines are flexible and may be adapted on a case-by-case basis to promote a prompt, impartial, thorough, and effective process.
Consistent with Executive Policy #26, CRCI has the sole jurisdiction to investigate matters concerning EP 15, unless specifically delegated or assigned to another office or individual by the President or the Director of CRCI. Generally, these processes will apply to matters implicating any policy within the purview of CRCI. For a complete list of CRCI policies, visit CRCI Policies and Procedures
If a complaint extends beyond CRCI’s jurisdiction, CRCI may refer the complaint to another WSU office and/or collaborate with that office to complete the investigation. If the complaint does not involve WSU community members or have sufficient nexus to WSU’s operation, activities and mission, CRCI may refer the matter to an outside entity or agency, as appropriate and consistent with applicable privacy lawWSU community members may include, but are not limited to, employees, students, volunteers, vendors, contractors, affiliates, visitors, and any other person connected to the university.
A. For purposes of this document, a Complaint is an allegation of conduct that implicates EP 15, or another a policy within the purview of CRCI.
B. Complaints, or third-party reports, may be made in person, by phone, by email, in writing, or by using CRCI’s online complaint form, which allows for anonymous reporting. See File a Complaint.
D. Generally, CRCI will assess the complaint and review response options with the complainant.
E. CRCI promotes the prompt and effective resolution of complaints. When appropriate, CRCI will work with the appropriate WSU unit to respond to and resolve a complaint at the unit level. CRCI may facilitate an informal resolution process in lieu of, or simultaneously with, a formal investigation. See Informal Resolution Process below.
F. CRCI may collaborate with supervisors, academic units, Human Resource Services (HRS), the Office of the Dean of Students (DOS), and/or other appropriate offices or individuals to facilitate the implementation of interim measures to ensure safety and mitigate the effects of the alleged conduct. Any interim measures will be carefully crafted to ensure, to the extent possible, that the needs and concerns of all persons involved are met.
G. WSU’s policies in these matters are not designed to hamper educational discussions or academic freedom, including topics which may be deemed sensitive or controversial to some.
H. Malicious or Frivolous reporting is prohibited and may constitute a violation of EP 15. A complaint will not be considered malicious or frivolous solely because it cannot be corroborated.
IV. Complaint Processing
A. Intake: Generally, upon receipt of a complaint, CRCI will attempt to schedule an initial intake meeting with the Reporting Party. During this meeting, the CRCI investigator will generally do the following:
1. Obtain identification and contact information from the Reporting Party. However, the Reporting Party may request to remain anonymous during an initial intake interview. See Anonymous Complaints below.
2. Explain the role of CRCI as a neutral fact-finder and/or facilitator for a resolution process, which may include an investigation. When CRCI conducts an investigation, CRCI seeks to determine the facts surrounding the allegation and whether those facts constitute a violation of EP 15 or other policies within the purview of CRCI. See Investigation Process below.
3. Explain alternative options, including confidential resources available on- campus and within the community that may provide counseling and support to the Reporting Party.
4. Explain the processes CRCI may use for responding to the allegation, which may include the steps involved in pursuing an informal resolution or a formal investigation, among other options.
5. Explain that CRCI takes participants’ privacy seriously, but limitations exist on confidentiality. Those limitations include:
a) Notice: When conducting a formal investigation, CRCI will provide the Responding Party with notice of the allegations and an opportunity to respond. This notice may include the identity of the Reporting Party and/or witnesses.
b) Public Records: Because WSU is a state agency, CRCI’s files may be subject to public records requests. The WSU Public Records Office will review all documents submitted under a public records request and will redact information where legally permissible, such as student identifying information.
c) Mandatory Reporting to Law Enforcement: CRCI is required to report suspected child abuse, elder abuse, or abuse of persons with diminished capacity to law enforcement agencies. If the Complainant(s) is under the age of 18, CRCI may be required to report information to law enforcement.
d) CLERY Act Reporting: CRCI is required to report statistical information related to certain types of crimes occurring on campus for inclusion in the WSU Annual Fire and Security Report. These reports do not include the names of the involved parties.
6. CRCI will provide information concerning EP 15 and/or other CRCI policies, including information about the provision prohibiting retaliation and/or interference with an investigation, and explain that retaliation and/or interference is prohibited towards any participant in a matter and may be considered a separate and distinct violation of university policy. Retaliatory and interfering conduct should be reported immediately to CRCI and will be addressed promptly, effectively, and equitably. See EP 15.
7. CRCI will provide information on resources and services that are available to the Reporting Party. CRCI will discuss whether individualized and appropriate interim measures are applicable. Resources and interim measures may be available whether or not a Reporting Party wishes to participate in an investigation.
8. After the Reporting Party indicates that they understand CRCI’s process and confidentiality measures, CRCI will ask whether or not they would like to provide information for investigative purposes.
9. CRCI will request information from the Reporting Party, which may include identifying other possible sources of information, such as the names and contact information for witnesses and/or individuals from whom CRCI may obtain additional information.
10. CRCI will request and consider the Reporting Party input when determining the appropriate resolution path.
B. Responding Party Notice: Generally, upon receipt of a complaint in which a Responding Party can be identified, CRCI will provide the Responding Party with notice of the allegations and an opportunity to respond. The notice shall generally include:
1) A brief summary of the allegations set forth by the Reporting Party and notice that CRCI is initiating an investigation into the matter.
2) A brief description of CRCI’s investigation process and its role as a neutral fact-finder.
3) An invitation for the Responding Party to engage in the investigation process and submit information, documents, records, and/or witnesses to be included in CRCIs assessment of the case. CRCI shall generally request that the Responding Party submit a written response and/or schedule a time to speak with the investigator.
4) A provision prohibiting retaliation and/or interference with an investigation, explaining that retaliation and/or interference is prohibited towards any participant in a matter and may be considered a separate and distinct violation of university policy. Retaliatory and interfering conduct should be reported immediately to CRCI and will be addressed promptly, effectively, and equitably. See EP 15.
5) Information on the implicated University policy, Executive Policy #15, the WSU Policy Prohibiting Discrimination and Sexual Harassment and CRCI investigative processes.
6) Information on resources and services that are available to the Responding Party and inform the Responding Party that individualized and appropriate interim measures are available to both parties and will be considered and implemented based on the information available to the University.
C. Responding Party Intake: During its processing of the complaint, CRCI will generally attempt to schedule a meeting with the Responding Party. During this meeting, the CRCI investigator will generally do the following:
1. Explain the role of CRCI as a neutral fact-finder and/or facilitator for a resolution process, which may include an investigation. When CRCI conducts an investigation, CRCI seeks to determine the facts surrounding the allegation and whether those facts constitute a violation of EP 15 or other policies within the purview of CRCI. See Investigation Process below.
2. Explain the processes CRCI may use for responding to the allegation, which may include the steps involved in pursuing an informal resolution or a formal investigation, among other options.
3. CRCI will provide information on resources and services that are available to the Responding Party and discuss whether interim safety measures are applicable. Resources and interim measures may be available whether or not a Responding Party wishes to participate in an investigation.
4. After the Responding Party indicates that they understand CRCI’s process and confidentiality measures, CRCI will ask whether or not they would like to provide any additional information for investigative purposes.
5. CRCI will request information from the Responding Party, which may include identifying additional sources of information, such as the names and contact information for witnesses and/or individuals from whom CRCI may obtain additional information.
6. CRCI will request and consider the Responding Party input when determining the appropriate resolution path.
D. Safety Assessment: After the initial intake and as necessary throughout an investigation, CRCI will assess whether action must be taken to protect the safety or security of any person involved, or of the university community. This may include individualized and appropriate interim measures for any participant in the matter. Consistent with this assessment, CRCI may share limited information with relevant offices or individuals at WSU or in the community, which may include but is not limited to law enforcement, HRS, the WSU Office of the Provost, the Office of the Dean of Students, crisis centers, and/or counseling centers, as appropriate to address the safety concern.
E. Conflict Review:
1. A conflict of interest is defined as a personal interest, financial, familial, professional, or otherwise, that might impair or reasonably appear to an objective, outside observer to impair an investigator’s independent, unbiased judgment in reviewing the matter.
2. An CRCI investigator will not participate in an investigation in which he or she has a conflict of interest. If the conflict cannot be managed internally to CRCI, the allegation may be referred to HRS, or another appropriate office, to supervise the investigation or to conduct an independent investigation as appropriate.
F. Determination to Proceed: In assessing whether a formal investigation is warranted, CRCI will consider relevant factors, which may include, but are not limited to the following:
1. The availability of information to support the allegations;
2. The totality of the information available to CRCI; and
3. Would the alleged conduct constitute a violation of EP 15, or another policy within the purview of CRCI, if found to have occurred?
If at any time CRCI determines that the basis for proceeding with a formal investigation no longer exists, CRCI may decline to proceed further. If the complaint presents other potential issues outside the purview of CRCI, CRCI may refer the matter to other appropriate offices.
Proceeding with participation by the Reporting Party- After informing the Reporting Party of its investigation procedures and discussing options, if CRCI determines that further investigation is warranted, CRCI will request input from the Reporting Party on how they would like to proceed. During an investigation, CRCI will also request input from the Responding Party as to the appropriate resolution path.
Proceeding without participation by the Reporting Party – In limited circumstances, the Title IX Coordinator may determine that it is necessary to proceed with an investigation even where the Reporting Party does not wish to participate, particularly where there is an ongoing safety threat to the campus or local community. In cases where CRCI proceeds with an investigation without participation by the Reporting Party, CRCI will notify the Reporting Party in advance of issuing notice and will take great care to address the Reporting Party’s concerns, if any.
G. Anonymous Complaints – If a Reporting Party requests to remain anonymous, the Title IX Coordinator will consider how to proceed, taking into account the following:
1. The wishes of the Reporting Party,
2. WSU’s commitment to provide a non-discriminatory environment,
3. Individual and campus safety, and
4. The right of the Responding Party to have sufficient notice of the allegations.
In some circumstances, respecting a request for anonymity by the Reporting Party may mean an investigation cannot occur. In limited circumstances where the Title IX Coordinator determines that further investigation is necessary, the Reporting Party will be informed, prior to disclosure, that identifying information may be shared as necessary for the investigation process, which may include listing their name in a notification letter to the Responding Party. See Notice below.
H. Notice: Where CRCI proceeds with a preliminary investigative inquiry or a formal investigation, CRCI will generally provide notice and information to the following persons, unless there is a compelling basis for confidentiality. CRCI may share information with others, as appropriate, to ensure a prompt and equitable response to concerns.
1. Relevant supervisor(s) (where the Responding Party is an employee or volunteer): Will be notified of the complaint, and asked to inform the Responding Party and others involved, if any, that they are expected to cooperate with the CRCI investigation and conduct themselves in a professional manner during the CRCI process, to be truthful, and that they must refrain from retaliating against anyone involved in the process or interfering with the investigation. Supervisors may take steps, after consultation with CRCI, HRS, and/or the WSU Division of the Attorney General’s Office, to ensure a safe and inclusive working environment throughout the CRCI process, to protect the safety of all persons involved in an investigation, and to respond to concerns that implicate other university policies.
2. Human Resource Services (HRS), the Center for Community Standards (CCS), or relevant individuals on other WSU campuses may be notified of the complaint and may participate in the investigation.
3. Program Administrators: Where the Reporting Party and or the Responding Party participate in programs or activities administered or sponsored by WSU, the appropriate program administrator may be given limited notice in order to consult with CRCI and implement interim measures during the CRCI process as appropriate.
4. Responding Party: Upon commencing an investigation, CRCI will provide Responding Party with notice and opportunity to respond to allegations that they violated university policy under the purview of CRCI (see Section IV(B) above).
V. Informal Resolution Process
A. CRCI processes seek to identify and resolve discriminating or potentially discriminating conduct at the earliest possible opportunity and in the most effective manner. At any time after receipt of a complaint, and when appropriate, CRCI may assess whether an informal resolution is appropriate. Note that mediation is typically not appropriate for complaints of sexual violence. CRCI may participate in the resolution process, and/or may ask others to guide that process, as appropriate. Generally, informal resolution may be appropriate in the following situations:
1. The alleged conduct is not sufficiently severe, persistent, or pervasive to constitute a violation of policies under the purview of CRCI;
2. The Reporting Party and/or the Responding Party prefer an informal resolution process; or
3. There is a limited nexus between the alleged conduct and EP 15 or other relevant policies.
VI. Investigation Process
A. Determination of Evidence: If an investigation is warranted, CRCI will determine what evidence will be needed to determine whether the allegation(s) is supported, including relevant documents, witnesses to interview, and/or other evidence.
B. Advisor/Support Person: Both the Reporting Party and the Responding Party may bring an advisor or a support person to accompany them to meetings with CRCI throughout the process. However, the Reporting Party and the Responding Party are responsible for presenting their own information throughout the CRCI process.
C. Investigation Timeline: CRCI seeks to balance the need to promptly complete investigations after receipt of a complaint with the need to conduct a thorough investigation. Generally, CRCI will complete the information gathering portion of an investigation within 60 days, and will issue relevant reports to the parties involved in an investigation within 30 days of completing the information gathering portion. The length of an individual investigation varies depending on, but not limited to, the number of witnesses to be interviewed, the extent of documentation to be reviewed, the type of alleged conduct, and length of time over which the alleged conduct has occurred. As needed, CRCI will provide written notice to parties when the timeline for an investigation is changed.
D. Investigation Steps. Generally, CRCI will take the following steps in its investigation(s):
1. Interview the Reporting Party, the Responding Party, and witnesses whom CRCI determines may have relevant information. Interviews will be conducted in person when practicable. Audio and/or video recording of interviews will generally not be allowed. In matters involving more than one potential complainant and/or Responding Party, CRCI will usually seek to conduct initial intake interviews with each complainant and/or Responding Party, individually.
2. Request written statements when they may be helpful to the investigation. Complaints or responses are not required to be submitted in writing; however, Reporting Party, Responding Party, and any witnesses may submit written statements if they so choose.
3. Obtain all reasonably available relevant documentation, which may include, but is not limited to, WSU records, email and text messages, social media messages and postings, correspondence, computer files, and notes.
4. When appropriate, conduct follow-up interviews with the Reporting Party and the Responding Party to respond to additional information or to clarify statements. When appropriate, provide the Reporting Party, the Responding Party, and supervisors updates regarding the status of the investigation.
E. Completion of Investigation
Standard of Evidence: CRCI applies the preponderance of the evidence standard when evaluating allegations of policies under its purview (i.e. “more likely than not”).
1. Generally, if CRCI terminates the review process prior to the issuance of an investigation report or investigation memorandum, CRCI will notify the parties with a closing letter or email.
2. An investigation memorandum or an investigation report will generally include a list of the documents reviewed, a list of the witnesses interviewed and/or contacted, a summary of the investigation, findings of fact, and a conclusion as to whether or not a policy under the purview of CRCI was violated.
3. The Reporting Party and Responding Party will receive a copy of the closing document, unless a compelling reason exists to withhold the document, in whole or in part, from any of the parties. Student names, and other protected information, will be redacted where appropriate.
4. As appropriate, CRCI may share the closing document, or information obtained through CRCI’s process with relevant supervisors, administrators, and/or other appropriate members of the WSU community.
A. Appeal of an CRCI Closing Document (Students)
After CRCI issues a final Closing Document in a matter where the Responding Party was a WSU student, the Reporting Party or Responding Party may participate in additional process, review, and/or appeal through the WSU Center for Community Standards. Additional information on these processes is available through the Center for Community Standards (conduct.wsu.edu/).
In matters where CRCI finds no violation of WSU’s Executive Policy #15, and the Reporting Party or Responding Party object to the findings or outcome reflected in the CRCI Closing Document, feel there is additional information that should be considered, or feel that student conduct charges are otherwise warranted in the matter, they have the opportunity to provide that information in writing to the Center for Community Standards within (10) calendar days of the notification from the Center for Community Standards. The Center for Community Standards will consider this information in determining whether or not to proceed with the conduct process. If the Reporting Party or Responding Party presents information to the Center for Community Standards that is not reflected in the CRCI Investigation Document, the Center for Community Standards may elect to refer the matter back to the CRCI to review for a potential revision to the CRCI Investigation Document prior to proceeding with the conduct process.
In limited circumstances, as warranted by the facts and at the discretion of the Director of CRCI, CRCI may conduct additional review after the issuance of an CRCI Investigation Document. CRCI will notify the Center for Community Standards, the Reporting Party, and the Responding Party of the additional review.
B. Appeal of an CRCI Closing Document (Employees and WSU Community Members)
After CRCI issues a Final Closing Document, the Reporting Party or Responding Party may file for an appeal with WSU Office of the President within 15 calendar days of the date of issuance.
1. CRCI Appeals Committee
i. The WSU President’s standing CRCI Appeals Committee (the Committee) will consist of the Committee Chair (the Chair), two regular committee members (the Members), one of whom will be the Vice Chair, and at least two alternate committee members (Alternate Members).
ii. Committee members will serve for a term of up to three years. Each committee member will receive appropriate training, as determined by the Director of CRCI, prior to serving on the committee and at least annually thereafter, related to, but not limited to, the following:
1. Due Process and Investigation Procedures;
2. Sex and Gender Based Violence;
3. 1st Amendment Protected Speech;
4. Discrimination & Sexual Harassment;
5. Disability Accommodation and Access concerns;
6. Implicit Bias and Cultural Competency; and
7. Conflict of Interest.
2. Filing and Contents of an Appeal
i. An appeal after an CRCI Closing Document must satisfy the following requirements:
1. It must be timely filed;
a. The Reporting Party or Responding Party may request an extension of the 15 calendar day deadline, which the CRCI Appeals Committee Chair (the Chair) will grant only for a showing of good cause.
2. It must be in writing;
3. It must articulate a basis for the appeal consistent with the following:
a. CRCI engaged in insufficient investigation, which is defined as a lack of investigation into facts or issues that, more likely than not, could have resulted in a different outcome in the CRCI Investigation Document;
b. CRCI committed a substantial procedural error that, more likely than not, could have resulted in a different outcome in the CRCI Investigation Document; and/or
c. New information exists that, if it had been available during the CRCI investigation, could have resulted in a different outcome in the CRCI Investigation Document.
3. Review of an Appeal
i. The Chair will conduct an initial review of all timely filed appeals to determine if they meet the minimum requirements of the appeals process as indicated in section II above.
ii. If the appeal meets these minimum requirements, the Chair will convene the Committee and send notice to the Reporting Party, Responding Party, and CRCI within seven (7) calendar days of the end of the appeals period. This notice will indicate the following:
1. The name, official title, and WSU department of each of the Committee members who will be reviewing the appeal;
2. The scope of the review, which is limited to insufficient investigation, substantial procedural error, and/or new information as defined above;
3. Any request for supporting documentation or clarifications; and
4. The timeline for the review
iii. The Committee shall review any supporting documents submitted by the Reporting Party and Responding Party as part of the appeals process and shall also have access to the CRCI investigative file.
iv. The Committee has the discretion to invite the Reporting Party, the Responding Party, and/or the CRCI lead investigator for an interview.
v. The Committee shall give substantial deference to the credibility and factual determinations made by the CRCI lead investigator.
4.Conflicts of Interest
i. A conflict of interest is defined as a personal interest, financial, familial, professional, or otherwise, that might impair or reasonably appear to an objective, outside observer to impair a Committee member’s independent, unbiased judgment in reviewing the appeal.
ii. Committee members shall promptly disclose to the Chair any potential conflict of interest. If the Chair has the potential conflict of interest, they shall disclose it to the Vice Chair.
iii. After consultation with the Attorney General’s Office, the Chair (or Vice Chair, if applicable) shall determine whether recusal is warranted.
iv. The Reporting Party and Responding Party may also request recusal by sending the request in writing to the Chair (or Vice Chair, if applicable) within 7 (seven) calendar days of receiving the notice described in Section III (b), above. The request shall explain why the party believes recusal is warranted.
v. If a Member is recused, the Chair (or Vice Chair, if applicable) shall select one of the Alternate Members to fill the vacancy.
5. Timeline for Review of an Appeal
i. The Committee shall issue a decision letter within 30 calendar days of the date of the notice described in Section III (b), above.
ii. The Chair may extend the decision timeline for good cause of up to 30 days. If an extension is needed, the Chair will send notice of the extension to the Reporting Party, the Responding Party, and CRCI prior to the end of the initial 30-day period.
6. Decision Letter Contents
i. The decision letter shall include the following:
1. a short summary of the procedural history and stated grounds for the appeal;
2. A list of the documents reviewed by the Committee and any interviews conducted by the Committee;
3. A summary of the Committee’s findings; and
4. A conclusion as to whether the appeal warrants remanding the CRCI Final Investigation Report for additional investigation by CRCI. A conclusion that remand is warranted shall also include specific recommendations to CRCI such as, but not limited to, the following:
a. Specific witnesses to be interviewed;
b. Specific questions of fact left to be determined; and/or
c. Clarifying details sought.
7. Further Action:The Committee’s decision is final with respect to the investigation, unless the Committee determines that additional investigation by CRCI is warranted. If the committee concludes that additional investigation is warranted, at the conclusion of such additional investigation, no further appeal is available.
VIII. Intervention by Title IX Coordinator
In matters that involve sexual harassment and/or sexual misconduct, the WSU Title IX Coordinator has the authority to intervene at any stage of the CRCI review and may make revisions to the process on a case-by-case basis in order to ensure a prompt, thorough, and effective resolution of the complaint.
IX. Other Available Process
Any student or employee aggrieved by an CRCI report may be entitled to file a complaint outside of WSU with the U.S. Equal Employment Opportunity Commission, the U.S. Department of Education Office of Civil Rights, the Washington State Human Rights Commission, or any other state of federal agency having jurisdiction. See External Offices.
Before discipline may be imposed based on an investigation memorandum or investigation report, a student or employee may be entitled to further internal process depending upon the applicable employment agreement, standards of conduct for students, or other University policy.