Appendix A: Formal Investigation Procedure

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1. Notice of Investigations

Both parties, or solely respondent where no complainant is involved, will receive notice of the complaint and of the commencement of an investigation within five (5) business days of the initial evaluation by the Office of the Dean of Students or designee. This initial evaluation will typically occur within five (5) business days of receipt of a complaint.

The notice will include:

Amendments and updates to the notice may be made as the investigation progresses.

2. Promptness of Investigations

New York Tech will complete investigations with reasonable promptness, depending upon the complexity of the matter and the number and availability of witnesses, but generally in no more than 60 days.

If a party or witness chooses not to participate in the process or becomes unresponsive, New York Tech reserves the right to continue it without their participation to ensure a prompt resolution. Complainants maintain their right to withdraw complaints at any time, and if withdrawn, the institution will determine whether the nature of the alleged violation(s), evidence available, and other health and safety factors warrant continuation of the conduct process or other measures.

New York Tech may undertake a short delay in its investigation or conduct process (several days to a few weeks) if circumstances require. Such circumstances may include but are not limited to the need for language assistance, the absence of parties and/or witnesses, and/or health conditions. The investigation and conduct process will run concurrently with any criminal justice investigation and proceeding, except for temporary delays as requested by external municipal entities while law enforcement gathers evidence. Temporary delays should not last more than ten (10) business days except when law enforcement specifically requests and justifies a longer delay.

New York Tech will promptly resume its process as soon as feasible. During any unavoidable delay, the university will implement and maintain supportive measures for the parties as deemed appropriate.

3. Mechanics of Investigation

Investigations will be conducted by investigator(s) who have been vetted for impartiality and appropriate training. Investigations consist of interviewing all relevant parties and witnesses, obtaining all available, relevant evidence, and identifying sources of expert information, as necessary.

Interviews may be conducted in person, via online video platforms, or in limited circumstances, by telephone. New York Tech will take appropriate steps to ensure the security/privacy of remote interviews.

It is within the discretion of the investigator to record interviews—if the investigator is going to record, the parties will be informed of that fact, and the recording will be done equally for all parties in an investigation. If interviews are recorded, the parties may review copies of their own interviews upon request. No audio or video recording by anyone besides the investigator is permitted during investigation meetings.

The investigator will provide written notification of the date, time, and location of each meeting, as well as the expected participants and purpose. The investigator will make good faith efforts to provide the parties with status updates throughout the course of the investigation.

The investigator will allow each party the opportunity to suggest witnesses, offer evidence, and propose questions they wish the investigator(s) to ask of another party and/or witness; however, it is within the investigator's discretion as to the appropriateness and relevance of each.

4. Completion of Investigation

Upon conclusion of the investigation, the investigator will draft a report to aid in the next steps of the conduct process. The report may vary based on the allegations, but it will generally assess and synthesize evidence, summarize the investigation and interviews, and identify witnesses for future proceedings. The report will be shared with the Student Conduct Officer (or designee) who will determine in coordination with other administrators (such as the Title IX Coordinator), whether the student should be charged with a code of conduct violation.

The parties will each receive written notice of the decision to charge (or not to charge) and of their right to an information meeting within five (5) business days of the investigation's conclusion. The investigation report will also be provided to each party upon the scheduling of their information meeting.