Sexual Misconduct Informal Resolution Process

Informal Resolution is:

• Separate and distinct from the formal complaint investigation and hearing process and does not constitute a full investigation and adjudication of a formal complaint of sexual misconduct
• Voluntary, and both parties must agree in writing to participate and at any time, prior to the signing of a written formal agreement, may elect to withdraw and initiate or resume the formal complaint investigation and hearing process. Further, the university does not require participation in the informal resolution process as a condition of enrollment, continuing enrollment, employment, continuing employment, or enjoyment of any other right, or waiver of the right to an investigation and hearing of formal complaints of sexual misconduct.
• Is not considered a disciplinary process and generally will not result in a disciplinary record with CNU, unless a party does not fulfill requirements in a signed written formal agreement.
• Is not available in circumstances in which a student alleges sexual misconduct by an employee
• Is conducted by a trained facilitator, who, generally, is external to the university and appointed by the Office of Institutional Compliance/Title IX for the purpose of conducting the informal resolution
• Is conducted using video conferencing technology and phone but recordings are not created and the parties are prohibited from creating their own recordings.
• Confidential, and information shared during informal resolution is not made available by the informal resolution facilitator for any formal complaint investigation and hearing procedures, should such procedures be initiated or resumed.
• Not available if the university deems there is a risk to safety, the requirements of the process cannot be met, and/or the needs of the participants, as identified, are outside the scope of informal resolution.
• Available on a case-by-case basis in situations where a respondent has previously completed informal resolution for a formal complaint filed under Policy 1100.

Agreeing to participate in, participating in, and/or the signing of a written formal agreement in the informal resolution process should in no way be construed as an acceptance of responsibility for a violation of Policy 1100.

In order to utilize informal resolution to address a formal complaint of sexual misconduct, the complainant and respondent must acknowledge that harm occurred and agree to the terms of the process by providing to the facilitator voluntary written consent to participate.

The complainant and/or respondent may withdraw their participation at any time up until a written formal agreement is signed. Additionally, CNU and the informal resolution facilitator reserve the right to alter, suspend, or terminate the process at any time if it is deemed necessary to uphold the intent of the informal resolution process.

The facilitator(s) will make reasonable efforts to communicate with all parties in the informal resolution process and may refer a formal complaint back to the Office of Institutional Compliance/Title IX after multiple failed attempts to communicate with a party. If an informal resolution process is terminated by the facilitator, CNU, the complainant, or respondent, the complainant may pursue the formal complaint investigation and hearing process for the allegations, as applicable. 

• Information shared during the informal resolution process will be kept confidential by the facilitator, except to the extent permitted or required by law. The facilitator(s) will not share narratives with the other party without verbal permission.
• The facilitator(s) will send a copy of the written formal agreement (if an agreement is reached) to the Office of Institutional Compliance/Title IX at the end of the informal resolution process.
• The facilitator(s) may be required to report specific information provided during informal resolution meetings to other accountability processes, CNU department(s), or law enforcement, including but not limited to: sexual misconduct or discrimination based on a protected characteristic or status, hazing, harm or threat of harm to self or others, or other behavior that is against the mission of CNU.
• The facilitator(s) will not participate as a witness or share information gained during the informal resolution process for use in the formal complaint investigation and hearing, should it occur.
• If there is information shared regarding the personal consumption of drugs or alcohol by student participants it will generally not be referred to CHECS.
• Records created by the office of Institutional Compliance/Title IX for the informal resolution Process (which consists of the formal complaint, written notice of allegation and intent to explore the alternative resolution process, signed consent to participate, list of participants, and signed written formal agreement) will be maintained in accordance with Policy 1100 record keeping requirements. 

Informal Resolution Process Phases

The informal resolution process consists of the following phases:

• Phase 1: Exploratory Meetings
• Phase 2: Informal Resolution Meetings
• Phase 3: Formal Agreement and Completion of Process

After the Office of Institutional Compliance/Title IX has issued written notice of allegation of formal complaint which will include introduction of the designated facilitator, or the office has issued a notice of pause of formal complaint investigation and hearing process for exploration of informal resolution by the parties, the facilitator will reach out to the complainant and respondent separately, via their designated CNU email address to schedule a time to meet with each party separately to explore the feasibility of using informal resolution to reach an outcome for the formal complaint. Though listed as a phase of the overall informal resolution process, the initial outreach by the facilitator and the exploratory meetings the facilitator conducts with the parties separately are not contained within informal resolution, because both parties must first provide voluntary, written consent to participate.

Designation of a Facilitator

Only a facilitator who is trained to conduct informal resolution procedures will be designated to serve as a facilitator. Office of Institutional Compliance/Title IX staff will not serve as informal resolution facilitators. Informal resolution facilitators serve in a fair, impartial, and unbiased manner. They avoid judgement of facts at issue, and work cooperatively with both the complainant and respondent to identify and reach outcomes that both the complainant and respondent voluntarily and mutually come to an agreement on. Informal resolutions facilitators do not compel parties to participate in the process or in any way discourage use of the formal complaint investigation and hearing process for reaching an outcome in a formal complaint. Informal resolution facilitators treat informal resolution confidentially and maintain their own records that are not in any way accessed by the Office of Institutional Compliance/Title IX. Facilitators only share with the Office of Institutional Compliance/Title IX any information needed for the facilitator and Office of Institutional Compliance/Title IX to consult regarding the suitability of the complaint for informal resolution, needs the parties may have for supportive measures and resources through CNU, copies of the parties’ voluntary written consent to participate, the names of participants, and in the event an outcome is reached, the signed written formal agreement. In circumstances where there is an elevated risk to community or individual safety and wellbeing (such as threat to harm to self or others) the facilitator will break confidentiality to report to the appropriate authorities.

Advisor of Choice/Support Person

Like the investigation and hearing process, complainants and respondents may have an advisor of choice present with them at any meetings and proceedings for the informal resolution process. However, in the informal resolution process, the advisor of choice serves strictly as a support person who accompanies the individual they are providing support for and the advisor may not speak for a party or participate on behalf of the party they are supporting. Additionally, if a complainant or respondent does not have an advisor of choice for the informal resolution process, CNU will not appoint one for the party for any phase of the informal resolution process. Advisors of choice are only appointed for the purpose of conducting cross examination in a formal complaint hearing for a party who does not otherwise have an advisor for that purpose.

Advisor(s) of choice/support person(s) are expected to maintain confidentiality and privacy of all individuals involved and the informal resolution facilitator reserves the right to limit an advisor/support person’s participation, if the advisor/support person is deemed to be interfering with or hostile in the process.

The advisor of choice/support person may be anyone that an individual chooses but may not be someone who later may be called to participate in the informal resolution process.

Exploratory Meeting

The purpose of the exploratory meeting is for the facilitator to make contact with the complainant and respondent separately in order to explain the roles, features, available processes, and potential outcomes of the informal resolution process; gauge participant interest in the process; discuss communication preferences; and for the parties to ask questions in order for the parties to determine for themselves whether they would like to participate in the informal resolution process.

If the facilitator determines after these initial exploratory meetings that informal resolution is not a viable option for reaching an outcome in the formal complaint, if one of the parties does not, after repeated attempts by the facilitator to schedule a meeting, follow through on meeting with the facilitator for an initial exploratory meeting, or either party informs the facilitator in writing that they do not wish to participate in informal resolution, the facilitator will discontinue any subsequent exploration of informal resolution by informing the Office of Institutional Compliance. In such cases, the Office of Institutional Compliance/Title IX will reach out to the complainant to gauge the complainant’s interest in initiating or resuming the formal complaint investigation and hearing process. If the complainant indicates in writing an interest in initiating or resuming the formal complaint investigation and hearing process, the process will commence at the beginning with the notice of allegation of formal complaint, or if there has been a pause, will resume at the stage that was in progress at the time of the pause.

If both parties, separately and voluntarily agree to participate in the informal resolution process, then each party must separately and voluntarily provide to the facilitator their written consent to participate. The facilitator will keep a record of the party’s written consent and will share a copy with the Office of Institutional Compliance/Title IX for the office’s records.

In some instances, as determined by the Office of Institutional Compliance/Title IX, a complainant may complete a full exploratory meeting with a facilitator before the complainant has filed a written formal complaint for themselves. In those situations, before the informal resolution process can begin, the complainant must first file a written formal complaint with the Office of Institutional Compliance/Title IX; the Office of Institutional Compliance/Title IX must then send written notice of allegation of formal complaint to the respondent and complainant; and the respondent, after meeting with the facilitator for an exploratory meeting about the process, must voluntarily consent in writing to participate in informal resolution. Alternatively, the respondent may also inform the Office of Institutional Compliance/Title IX or the facilitator, in writing, after the issuance of the written notice of allegation of formal complaint and before meeting with the facilitator that the respondent does not wish to participate in informal resolution.

If both parties voluntarily consent in writing to participate and once their written voluntary consent is on file, the facilitator will begin facilitation of the informal resolution process. The most common mode of facilitation is individual meetings between the facilitator and the complainant and respondent separately to learn:

• What happened from the individual’s perspective?
• How each party has been individually impacted.
• Who else may have been impacted by what happened?
• Options that each party may be amenable to in order to address any harm that has occurred between the parties.
• The best way for the facilitator to share information between parties that meets each party’s need for distance and personal space while providing each party the opportunity to be fully engaged with the process in a manner that does not exacerbate harm.

During the facilitation period, parties may submit their perspectives in writing to the facilitator or share with the facilitator other supporting documents that the party deems relevant for the process. This information will be considered confidential and may only be shared with the other party if the facilitator gains the party’s permission to do so. Additionally, such documents and information will be retained by the facilitator in a secure file and only shared in a secure format with parties. The facilitator will not share the documents for formal complaint investigations and hearings.

During the process, the facilitator may request participation by other individuals who have been identified by the parties or the facilitator as being potential participants. The facilitator has full discretion regarding who, beyond the complainant and respondent and their advisors of choice, may participate in the process and has the right to deny participation by any party. Further, the facilitator and CNU have no mechanism to compel anyone to participate in the process.

After perspectives, impacts, harms, and needs are shared during the facilitation process, mutually agreed upon outcomes and obligations are identified that become the basis for a written formal agreement.

Though the facilitation process may take several weeks and even months, the facilitator is responsible for making sure that the parties are actively engaged in the process and that the process is moving forward toward resolution. If the facilitator deems that the parties are not engaged and/or the process is not moving toward any sort of mutually agreeable outcomes, the facilitator may elect to discontinue the process, inform the parties that the process is being discontinued, and send it back to the Office of Institutional Compliance Title IX for initiation or resumption of the formal complaint investigation and hearing process.

Alternatively, at any time during the facilitation phase the complainant and/or respondent may voluntarily elect to discontinue the process by informing the facilitator in writing that they are discontinuing the process. In such cases, the facilitator will inform the Office of Institutional Compliance/Title IX who will reach out regarding initiating or resuming the formal complaint investigation and hearing process.

The process of creating outcomes to be contained in a written formal agreement is collaborative. All participants are encouraged to share and contribute to the outcomes in a written formal agreement. To repair the stated harms and needs agreed upon by all parties, the written formal agreement will include outcomes for the respondent to complete and may also include action items for the complainant.

The resolution reached including the outcomes and any action items will be developed into the written formal agreement. For the written formal agreement to take effect, the complainant, the respondent, and the facilitator must sign it. After the written formal agreement is signed, the outcomes the respondent has agreed to become obligations that the respondent is expected to fulfill and complete.

Once the written formal agreement is signed by the parties and facilitator the formal complaint process is considered resolved and the formal complaint investigation and hearing process may no longer be initiated or resumed for the allegations contained in the formal complaint.

Since the informal resolution process is not a disciplinary process, the informal resolution will not be noted on the respondent’s disciplinary record.

In determining outcomes for the respondent and action items for the complainant, the facilitator has full authority and discretion to consult with appropriate CNU administrators during that phase. CNU administrators the facilitator may consult with include but are not limited to Student Affairs Administrators, The Title IX Coordinator, and the Deputy Title IX Coordinator. Ultimately the parties and the facilitator determine collaboratively what outcomes and action items will emerge from the process.

Failure to fulfill Obligations and Outcomes

If a party fails to complete the obligations that they are responsible for fulfilling in the written formal agreement, CNU may refer the party to the appropriate university authority for failure to comply. If the party is found responsible for failure to comply, then such a finding will be part of the party’s disciplinary record.

The signing of a written formal agreement should in no way be construed as a respondent accepting responsibility for sexual misconduct.

Possible Outcomes

Outcomes, obligations, and action items may vary according to the circumstances of the formal complaint as well as the preferences of the complainant and respondent and may include but are not limited to:

• Letters of apology
• Voluntary mutual or one-way agreed upon restrictions on contact
• Voluntary agreement to discontinue involvement in a club or organization for a set period of time
• Voluntary agreement to limit use of certain facilities on campus for a set period of time
• Voluntary agreement to independently seek counseling or other intervention and treatment
• Voluntary independent pursuit of training and education opportunities

Since this is a voluntary, non-disciplinary process that involves two parties coming to a mutually acceptable agreement, any outcomes, obligations, and or/action items should be measures that are within the control of the individual participants and not penalties imposed by CNU such as suspension, dismissal, involuntary separation from employment, university imposed training and education, fees or fines to be paid to the university, counseling or treatment imposed by the university, the requirement that the university create a new major or academic requirement, university initiated removal of financial aid, salary, or other benefits, or that the university create new positions or job descriptions.

This information outlines the expectations for all participants in the informal resolution process. This includes the complainant, respondent, advisor/support person(s), and other participants, as appropriate. Additional expectations are provided for advisors/support persons given their role in supporting a party. The informal resolution process may be stressful and emotional at times for the participants involved. As such, all participants must agree to the terms of the process and adhere to the following expectations, outlined here. If a participant refuses to agree to the following expectations, they may not be permitted to participate in the process.

General Process Expectations

Participants in the Informal Resolution process must:

• Listen respectfully to the individual speaking without interruption.
• Avoid speaking over other participants.
• Use respectful language that is not demeaning, derogatory, or disrespectful.
• Avoid raising their voices.
• Remain seated in their predetermined locations.
• Refrain from making distracting or offensive gestures (e.g., rolling eyes, throwing arms in the air, etc.) or audible reactions (e.g., scoffing, speaking under their breath, etc.).

For questions about the Rules of Decorum, a participant should ask the facilitator.

Expectations for Advisors/Support Persons (if applicable)

Participants may have one advisor/support person of their choosing present at any meeting, including facilitation of the informal resolution process. The facilitator(s) may prevent the participation of an advisor/support person if they determine the advisor/support person may negatively influence the alternative resolution process based on demonstrated actions in previous meetings or interactions with the facilitator and Office of Institutional Compliance/Title IX. CNU does not provide an advisor/support person for those participating in the informal resolution process. It is the participant’s responsibility to determine an advisor/ support person and coordinate their participation.

Additionally, an Advisor/Support Person may:

• Not engage combatively in the process.
• Not communicate for or speak on behalf of the participant. Complainants and respondents must present information themselves.
• Consult with the party on how to present their statements or information by whispering, providing notes, or taking notes as long as it does not disrupt the flow of the Informal Resolution facilitation
• Provide support by taking breaks with or requesting breaks on behalf of the party they are accompanying.

Expectations for other participants (if applicable)

Other participants will only participate in the Informal Resolution process if the Complainant(s) and Respondents(s) request and agree to their participation. Additionally, other participants may:

• Not engage combatively in the process
• Share their personal experiences, perspectives, and reflections
• Contribute to the creation of the written formal agreement

Violation of Expectations

Determination regarding a participant’s violation of one of these expectations lies with the facilitator(s). If a participant violates an expectation of the rules of decorum, the facilitator(s) will issue a verbal warning, identifying the expectation violated and how it was violated. Should a participant continue to violate these expectations, the facilitator(s) will immediately call for a break. During the break, the facilitator(s) will address the behavior directly. If the participant refuses to comply with the facilitator(s) warning or causes additional problems, the facilitator(s) may decide to take one or more of the following actions:

• Remove the participant from the informal resolution facilitation.
• End the informal resolution facilitation and potentially reconvene at a later date, at the discretion of the facilitator in consultation with the Office of Institutional Compliance/Title IX, if the removed participant is the complainant or respondent.