WSL Level 3 INV 2017 - University of Hawaii Maui...
Transcript of WSL Level 3 INV 2017 - University of Hawaii Maui...
June2016
1
Wichita, KSSeptember 21t & 22nd, 2016
© 2015, The NCHERM Group, LLC. All rights reserved.
2016 ATIXA CIVIL RIGHTS INVESTIGATOR LEVEL III TRAINING & CERTIFICATION COURSE
Presented by W. Scott Lewis, J.D.
Housekeeping Items
• Signinbothdaysoftrainingforcertificationeligibility
• [email protected] within7-10businessdaysfollowingtheconclusionofthistraining
• CEUsaregrantedonanindividualbasisbyyourfield’saccreditingbody
• Materialssitewillremainavailableforthreemonthsfollowingthistraining
• [email protected] tolearnaboutcomplimentarytrialmembershipeligibility
© 2016 ATIXA All Rights Reserved 2
YOURFACULTY
3
W.SCOTTLEWIS,J.D.Partner,TheNCHERMGroup,LLC;
Co-Founder&AdvisoryBoardMember,ATIXA;Co-founder&AdvisoryBoardMember,NaBITA;
Co-founder,[email protected]
© 2015, ATIXA. All rights reserved.
June2016
2
4
InterviewingSkillsPracticeØGeneralØComplainantØReluctantComplainantØRespondentØOtherWitnessesDa
ys1&2
© 2015, ATIXA. All rights reserved.
AGENDA
5
TITLEIX
NopersonintheUnitedStatesshall,onthebasisofsex,beexcludedfromparticipationin,bedeniedthe
benefitsof,orbesubjectedtodiscriminationunderanyeducationalprogramoractivityreceivingfederal
financialassistance.
TitleIXoftheEducationAmendmentsof1972ImplementingRegulationsat:
20U.S.C.§ 1681&34C.F.R.Part106
© 2015, ATIXA. All rights reserved.
6
THEIXCOMMANDMENTS
Thorough Reliable Impartial
Prompt Effective Equitable
EndtheDiscrimination.
PreventitsRecurrence.
Remedytheeffectsuponthevictim&community.
Investigation
Process
Remedies
June2016
3
7
BIAS&PREJUDICE
Ø DefinitionsØ SmallGroup
Discussions
© 2015, ATIXA. All rights reserved.
8
“BIAS”DEFINEDØ Tendencytobelievethatsomepeople,ideas,etc.,arebetterthanothersthatusuallyresultsintreatingsomepeopleunfairly.
Ø Stronginterestinsomethingorabilitytodosomething.
Ø Inclinationoftemperamentoroutlook;especiallyapersonalandsometimesunreasonedjudgment(merriam-webster.com).– “Biased”– Tocausepartialityorfavoritism;influence,especiallyunfairly(Dictionary.com).
© 2015, ATIXA. All rights reserved.
9
“PREJUDICE”DEFINED
ØUnfairfeelingofdislikeforapersonorgroupbecauseofrace,sex,religion,etc.
ØFeelingoflikeordislikeforsomeoneorsomethingespeciallywhenitisnotreasonableorlogical(merriam-webster.com).
ØAnypreconceivedopinionorfeeling,eitherfavorableorunfavorable(dictionary.com).
© 2015, ATIXA. All rights reserved.
June2016
4
10
BIAS&PREJUDICE
ØConsciousvs.unconscious.ØPositivevs.negative.ØSocial&culturalcapital.ØStereotyping.ØCulturalcompetence.ØMulti-partiality.ØSocialjustice.
© 2015, ATIXA. All rights reserved.
11
BIASANDPREJUDICECONT.Ø Commonhot-buttonareasofbias&prejudice:– Sexualorientation.– Gender,transgender,andgenderidentity.– Race.– Ethnicity.– Religionorreligiousbeliefs.– Politicalviews.– Athletes.– Greeklife.– Alcoholordruguse.– Sexualfreedom/preferences.
© 2015, ATIXA. All rights reserved.
12
BIAS:SMALLGROUPDISCUSSIONØ Insmallgroups,discuss:–Whataresomebias-relatedissuesyouhaveseeninyourworkinhighereducation?
– Aretherebias/prejudicesthatyouhaveseenonyourcampus?
– Howhaveyoutrainedgroups(faculty,staff,students)regardingbias&prejudice?• Whathasworked?• Whathasnotworked?
© 2015, ATIXA. All rights reserved.
June2016
5
13
THESTARTOFTHEMEETING
Ø TheEnvironmentØ Managing
ExpectationsØ TheProcess
ExplanationØ Questioning
Guidelines
© 2015, ATIXA. All rights reserved.
14
THEENVIRONMENTØWherewillyoudotheinterview?– Youroffice.– Conferenceroom.
Ø Skype,phone,andemailinterviews.Ø Importantaspects:– Neutralenvironment.–Minimizedistractions.– Sitintheirchair.– Checkyourlobby/waitingareafordistractionsand“hiddenmessages.”
© 2015, ATIXA. All rights reserved.
15
OTHERCONSIDERATIONS
ØConsiderwhoshouldconducttheinterviewandwhoshouldbenote-taking.
ØAskopen-endedquestionsfirst.ØAllowtime.(Whatifyoudon’thaveenough?)ØUsebreaksstrategically.ØRemaincalmandprofessional.
© 2015, ATIXA. All rights reserved.
June2016
6
16
THEINVESTIGATORSØMaintainprofessionalism,butbalancewithrelaxedatmosphere.– Attire.– Demeanor.
Ø Youareanextensionoftheenvironment.Ø Yourneutralityiskey,butshouldbebalancedwithcompassion.
ØMaintaingoodeyecontactandcomfortable,openbodylanguage.
© 2015, ATIXA. All rights reserved.
17
MANAGINGEXPECTATIONSØ Nooneishappyattheendofthesecases;youare
helpingmanagetheirfrustration.Ø Peoplewhoconductinvestigationswithskillrestsecure
intheknowledgethatallinvolved,includingwitnesses,aretreatedobjectivelyandfairly.
Ø Besurecomplainantandaccusedunderstandparametersofthepolicy,whatitdoesanddoesnotcover,howprocessplaysout,andwhatprocesscanandcannotaccomplish.
Ø Provideampleopportunityforinterviewee(especiallythecomplainantandtherespondent)toaskquestions.
© 2015, ATIXA. All rights reserved.
18
EXPLANATIONOFROLESØ Explanationastoyourrole intheprocess.- Neutralfactfinder.
Ø Explanationofothers’rolesintheprocess.- Hearingofficers/panelists.- Advisors(forallparties).- Appellateofficers.
Ø Afewcommentsaboutadvisors:- Who– lawyers,faculty,parents,victim’s
advocates,coaches,friends,roommates,etc.- Howmany?
© 2015, ATIXA. All rights reserved.
June2016
7
19
THEPROCESS
Ø Incident– NoticetoTitleIXofficer,strategydevelopment
Ø Investigation– Informalresolution,administrativeresolution,orformalresolution?
Ø InvestigationandReportØ Hearing(ifneeded)– Finding– Sanction
Ø Appeal(ifappropriate)
© 2015, ATIXA. All rights reserved.
20
9STEPS1. Complaintornotice2. Preliminaryinvestigation(initialstrategy)3. Gatekeeperdetermination4. Noticeofallegation5. Strategizeinvestigation6. Formalcomprehensiveinvestigation
a) Witnessinterviewsb) Evidencegatheringc) Analysis
7. Determination– post-determinationmeeting8. Prehearingmeeting9. Hearingandappeal
© 2015, ATIXA. All rights reserved.
21
MAJORGATEKEEPINGGUIDEPOSTS
AppealSanctionHearing
/Finding
NoticeofAllegation
ComprehensiveInvestigation
PreliminaryInvestigationNotice
© 2015, ATIXA. All rights reserved.
June2016
8
22
EXPLANATIONOFPROCESSØWhathappensnext.-Strategy,moremeetingswithothers,etc.-Interimactions(supporting,preventing,etc.).-Howlongthismaytake.-Otheroptionstheyhave(criminal,otherprocesses, etc.).
ØGatekeepingdetermination.-Note:Thismaybetheendoftheprocess.
ØFirstdraftofFinalReport.-Finalreportmeetings.
ØFirstsharingoftheDraftFinalReportwithpanel.-Possibilityofadditionalmeetings.
© 2015, ATIXA. All rights reserved.
23
ØDetermination/Findings- Thismaybetheendoftheprocessincertainprocessesthatallowforinformaladministrativeresolution.
- Inothers,thismaybethepre-hearingdeterminations.
Ø Pre-HearingMeetings:-Withbothparties.- Thisisthelastopportunityfornotingadditionalstatements,newwitnesses,etc.
- NotethatyouwillgoovertheentireFinalReportinthismeeting.
EXPLANATIONOFPROCESSCONT.
© 2015, ATIXA. All rights reserved.
24
Ø TheHearing:–Whatitlookslike.–Whowillbethere.– Theprocess/procedures.– Possiblesanctionsandotheroutcomes.
Ø TheAppeal:– Grounds.– Requests.– Timelines.
Ø Explanationofthestandardofproof.
EXPLANATIONOFPROCESSCONT.
© 2015, ATIXA. All rights reserved.
June2016
9
25
PREPONDERANCESTANDARD
NoEvidence
InsufficientEvidence
ReasonablePreponderance
VerySufficientEvidence
OverwhelmingEvidence
© 2015, ATIXA. All rights reserved.
26
Breakintosmallgroupsof3-4andhave1or2ofyoupracticetheopeningspiel–explainyourprocess,whatwillhappen,etc.
PRACTICEEXERCISE
© 2015, ATIXA. All rights reserved.
27
INTERVIEWINGREPORTINGPARTYØ Elementsof
Interview
ØConductingtheInterview
ØLargeGroupExercise
ØSmallGroupExercise
© 2015, ATIXA. All rights reserved.
June2016
10
28
ELEMENTSOFTHEINTERVIEWØGreeting– firstopportunitytoestablishrapportandtone:- Thankthemforcomingin.- Acknowledgedifficultyofsituation.
Ø Explanationofprocess:-Gothroughallstepsandwhathappensineach.-Sharethetimelinerequirements.-Startwiththismeeting(not“interview”).• Optionsafterthismeetingisover.
© 2015, ATIXA. All rights reserved.
29
ØAskifreportingpartyhasanyquestionsabouttheprocessortheprocedure.– Provideacopyofthebrochure.
Ø Letreportingpartyknowthatthoroughnessiskeyandtheneedforcompleteness.
ØMakesurepartiesdon'tleavefactsoutbecausetheyareafraidofgettingintotrouble.– Discusstheamnestyprovisions(ifapplicable).
Ø Createcomfortwithlanguageandsensitivesubjects.– Letthemknowtheywillnotoffendorsurpriseyou.
CONDUCTINGINTERVIEWS
© 2015, ATIXA. All rights reserved.
30
Ø Explainthatyouwillbetakingnotesorrecordingandwhy.– Writingvs.Typingvs.Recording
Ø Acknowledgethattheymayhavetoldotherswhathappenedmultipletimesalready.– Askwhoelsetheyhavetalkedtoabouttheincident.
Ø Askiftheyhavewrittenaboutthisinanyfashion:– Blog.– FaceBook/Twitter/SocialMedia.– Journalsorotherwritings.– Texts.– Videojournals.
CONDUCTINGINTERVIEWSCONT.
© 2015, ATIXA. All rights reserved.
June2016
11
31
ØNowbegingettingtheirstatement– Letthemtalk.– Givethemastartingpointiftheydon’thaveone.– Drilldownlater.– Interruptforquestionsonlywhenyoumust.– Note:Somestrategiesmaychangebasedontheparty’sdemeanor.• Expressive.• Flataffect• Resistant.• Hesitant.
CONDUCTINGINTERVIEWSCONT.
© 2015, ATIXA. All rights reserved.
32
Ø Whentheyarefinishedgivingtheinitialstatement:– Getclarifications–• Useopenendedquestions.• Givereminders.• Speakclearly.• Asksimplequestions.• Cuewithtimereminderswhenyougobacktoassistrecall.• Donotsuggestananswer.• Donotappeartogivedirectiontothe“right”or“best”answer.
CONDUCTINGINTERVIEWSCONT.
© 2015, ATIXA. All rights reserved.
33
ØWatchvictim-blaming!– Lackofphysicalresistance.– Roleofalcohol/drugs.– Inconsistencies/memoryloss.– Delayedreporting.– Priorrelationships.– “Pre-consent”/flirting.– Pre-desiredoutcomes.– Post-incidentconsensualacts.– “Whatwereyouthinking”(vs.“feeling”)?
CONDUCTINGINTERVIEWSCONT.
© 2015, ATIXA. All rights reserved.
June2016
12
34
Ø Thingsnottosaytotheminanattempttocommunicateempathyinclude:– Everythingisgoingtobeallright.– Don'tcry.– Youshouldn'tfeelthatway.– Youmustgetonwithyourlife.– Timehealsallwounds.– Itcouldhavebeenworse.– Atleastyou'renotinjured.
Ø Thinkaboutthecarwreckvictim…
CONDUCTINGINTERVIEWSCONT.
© 2015, ATIXA. All rights reserved.
35
ØAttheend:– “Whatelsedoyouthinkmightbeimportantforustoknow?”
–Whatotherquestionsaretherethatyouthoughtwemightaskthatwedidn’t?”
Ø Isthereanythingyouwantmetoasktheotherparty(oranywitness)?
Ø Ifyouhavenotascertainedthis,askwhatcomplainant’smotivationisforreportingandwhatcomplainanthopestoseeasaresult– BECAREFULHERE.
CONDUCTINGINTERVIEWSCONT.
© 2015, ATIXA. All rights reserved.
36
Ø Toconclude(someinvestigatorsdothisearliertoassistwithempathy):– Findoutifacademicsand/orworkhavebeenaffected.
– Askhowthishasaffectedthememotionallyand/orphysically.• Discusscounselingoptionsifnotalreadyconnected.
– ChallengesthatthismayprovidewhenthereisnotanSAVadvocateand/oradvisor.
CONDUCTINGINTERVIEWSCONT.
© 2015, ATIXA. All rights reserved.
June2016
13
37
ØDiscussinterimremediesthatmaybetaken:– Nocontactorders.– Classchanges.– Livingarrangements.
ØDiscussnon-retaliation.– Giveexamplesofretaliation,andtowhomitshouldbereportedimmediately.
CONDUCTINGINTERVIEWSCONT.
© 2015, ATIXA. All rights reserved.
38
Ø Letcomplainantknownextstepsandwhentheywillhearfromyou,andthattheycancontactyouanytimewithquestionsorproblems.– Gettheircontactinformation.• Voicemail?• Email?• Text?• Safetyconsiderations?
– Beasspecificaspossibleabouttimelines.
CONDUCTINGINTERVIEWSCONT.
© 2015, ATIXA. All rights reserved.
39
QUESTIONINGGUIDELINESØ Whatarethegoalsofquestioning?– Learnthefacts.– Establishandtimeline.– Understandeachparty’sperception.• Ofboththeeventandtheprocess.
– Gatherenoughinformationtodeterminefactsandtheirrelativeimportanceandrelevance.
– Trytolearnwhatismorelikelythannotwhathappened.
– Usequestionstoelicitdetails,eliminatevagueness,andfillgapswhereinformationseemstobemissing.
© 2015, ATIXA. All rights reserved.
June2016
14
40
QUESTIONINGGUIDELINESØ WHATDOIWANTTOKNOW?
Ø WHYDOIWANTTOKNOWIT?
Ø WHATISTHEBESTWAYTOASKIT?
Ø AMITHEBESTPERSONTOASKIT?(ifthereisa2ndInvestigator)
© 2015, ATIXA. All rights reserved.
41
RESTATE/REFRAMEØ Restate/summarizewhatissaid.Ø Launderthelanguage.– Removenegativeorinflammatorylanguageandemotions.
ØHelpsvalidatethatyouarelistening.ØHelpsensureyouunderstandwhatisbeingsaid.Ø “Soitsoundslike…”Ø “Tellmemore…”
© 2015, ATIXA. All rights reserved.
42
Usingacasestudy,thepresenterwillplaytheroleofcomplainantandallowtheparticipantstopracticetheirquestioningtechniques.
QUESTIONINGEXERCISE
© 2015, ATIXA. All rights reserved.
June2016
15
43
LET’SQUESTIONCOMPLAINANTØ Complainantinsexualmisconductallegationhasstated
thatafterassault,respondentwenttobathroomtoshower.Atthattime,sheturnedonthelightsinhisroom,andlookedaroundforfirsttime.Sheobservedstacksofpornographicmagazines,centerfoldpostersonthewalls,andcommercialandhome-madepornographicvideosonbookshelfandaroundBlu-Rayplayer.
Ø Whilerespondentwasinthebathroom,complainantsawaDVDwithacovershowingawomanbeingrapedinamannerthat isidenticaltoherassault,andthatshetookitandhasdisktoproveit. Questionheraboutthisasagroup.
© 2015, ATIXA. All rights reserved.
44
SMALLGROUPEXERCISE
© 2015, ATIXA. All rights reserved.
45
SMALLGROUPEXERCISE
Ø Breakintosmallgroups(4-6).ØOneplaystheroleofthecomplainant.– Trynottobreakcharacter.
Ø 2Investigators:– Assumethespiel isdone.– Beginwithquestions.
Ø 1-2observers:– Observe,donotinterrupt.– Noteverbalandnon-verbalbehaviorsofInvestigators.
© 2015, ATIXA. All rights reserved.
June2016
16
46
SMALLGROUPEXERCISE:PROCESSING
ØHowwasthespacing/environment(asmuchasyoucouldcontrolit)?
ØNon-verbalcuesandbehaviorsØTheReportingPartyandtheInvestigators
Ø Leadvs.TagTeamv.InteractiveØDocuments?Witnesses?ØQuestions– open,closed,suggestiveofanswerØMotivationforcomplaint?
© 2015, ATIXA. All rights reserved.
47
RELUCTANTCOMPLAINANTS
Ø RequestsNottoInvestigate
Ø NotifyingPartiesØ Confidentiality
RequestsØ Pattern,Predation,
Threat,orViolenceØ Exerciseand
Discussion© 2015, ATIXA. All rights reserved.
48
RELUCTANTCOMPLAINANTSCONT.ØWhenareportingpartyisreluctanttomakeaformalcomplaint,orreturnstowithdrawaformalcomplaint,Investigatorsshouldhonorthatrequest.– Unless…
Ø YouMUST determinethereasonforreconsideration.Ø Theinvestigationorhearingprocessistoohard?– Retaliation?– Justnotready?
ØUsingadvocateoradvisortoassistindetermination.
© 2015, ATIXA. All rights reserved.
June2016
17
49
RELUCTANTCOMPLAINANTSCONT.Ø ReportingpartiesMUST benotified:– Thattheprocesswillstillbeavailabletothem,regardlessofhowlongtheywait.• Prosandconsof“statutesoflimitations.”
– Thattheinstitutionwillsupporttheminanywayitcan(e.g.,housing,classes,nocontacts,etc.)
– That,ifthereisathreattothecommunity,theinstitutionmaybeforcedtoproceedwithaninvestigation,BUT thattheywillbenotifiedofthisprocessbeforewemoveforward.
© 2015, ATIXA. All rights reserved.
50
RELUCTANTCOMPLAINANTSCONT.Ø Ifreportingpartiesrequesttheirnamesnotbeused:– Theinstitutionshouldtakeallreasonablestepstorespondandinvestigateconsistentwithrequest.
– Solongasdoingsodoesnotpreventtheschoolfromrespondingeffectivelyandpreventingtheharassmentofotherstudentsorreportingparties.
– PPTV– Pattern,Predation,Threat,andViolence.
© 2015, ATIXA. All rights reserved.
51
PPTVCONSIDERATIONS:MUSTWEPROCEED?
Ø Pattern,Predation,Threat,orViolence:– Additionalcomplaintsofsexualviolenceinvolvingthesameperpetrator.
–Whethercommittedbymultipleperpetrators.–Whethertheperpetratorhasahistoryofarrestsorrecordsfromapriorschoolindicatinghistoryofviolence.
–Whetherreportrevealsapatternofperpetrationatagivenlocationorbyaparticulargroup.
© 2015, ATIXA. All rights reserved.
June2016
18
52
PPTVCONSIDERATIONS:MUSTWEPROCEED?
• Pattern,Predation,Threat,orViolence(cont.)– Whetherallegedperpetratorthreatenedfurtherviolenceorviolenceagainstthestudentorothers.
– Whetherviolencewasperpetratedwithaweapon.– Ageoftheallegedvictim.– Whethertheschoolpossessesothermeanstoobtainrelevantevidence(e.g.,securitycamerasorpersonnel,physicalevidence,etc.).
• Ifinstitutionproceeds,itshouldnotifyreportingpartyanduseappropriateinterimmeasurestoprotectparty.
© 2015, ATIXA. All rights reserved.
53
EXPLAININGRATIONALEØ Explaintoreportingpartiesthat:– Itsresponsiveactionmaybelimitedbasedonthelevelofprivacyrequestedbythem.
– Itcannotguaranteeprivacyifdoingsowouldjeopardizethesafetyofthecomplainantorothers.
Ø Emphasizethatonlythosewithaneedtoknowwillbeinformed.– Trainthosewhowillbeinformedaboutconfidentialityexpectations.
© 2015, ATIXA. All rights reserved.
54
PPTVSCENARIOØ Amalestudentisaccusedofnon-consensualsexual
intercoursebyafemalestudent.ThefemaleconfidedinthedirectoroftheWomen’sCenter(alsoafacultymember)andaskedthattheinstitutionnotinvestigatethematter.ThedirectornotifiestheTitleIXcoordinator,butindicatesthatshedoesnotwantthematterinvestigated.
Ø Coordinatorreviewsthemalestudent’sfileandnotesthathereceivedprobationforpushingafemalesecurityguardandcallinghera“stupidbitch”11monthsagoandareprimandforanalcoholviolation15monthsago.
Ø ThefemalestudentagreestomeetwiththeTitleIXdeputycoordinator/investigator.
© 2015, ATIXA. All rights reserved.
June2016
19
55
SMALLGROUPEXERCISE(TimePermitting)
Ø Breakintosmallgroups.Ø First,wouldyourinstitutionhaveevenknownthis?– Wouldthedirector/facultymemberhavetoldtheTIXA/TIXI?Howsureareyou?Whatarethethresholdsyouthinkexistforyourfaculty/stafftotellyou?
– Whatwouldtheyhavetoldyou?– Whatwouldyoutellthem?
• Doesthepriorbehaviorwarrantameeting?– DoesitcrossthePPTVthresholdstomoveforwardwithoutconsent?
• Strategizewhatyouwilldiscusswiththestudent– Whatwill/canyoutellthefemalestudent?
© 2015, ATIXA. All rights reserved.
56
LARGEGROUPDISCUSSIONØ TheFemalestudentmakestheserequests;canyoudoornotdothefollowing:– Thattheinstitutionnotinvestigatetheincident.– Thatano-contactorderbeissuedbetweenthem.– Themalestudentberemovedfromtheresidencehall(sameashers).
– Shebeallowedtowithdrawfromtwoofhercourseswithoutfinancialpenalty.
– Youdonottellherparents/partner.
© 2015, ATIXA. All rights reserved.
57
INTERVIEWINGTHERESPONDENT
Ø ElementsofInterview
Ø GatekeepingPostsØ Explanationof
ProcessØ Preponderance
StandardØExplanationofRolesØConductingtheInterviewØSmallGroupExercise
© 2015, ATIXA. All rights reserved.
June2016
20
58
ELEMENTSOFINTERVIEWØ ElementsoftheInterview:– Greeting– firstopportunitytoestablishrapportandtone.• Thankthemforcomingin.• Acknowledgedifficultyofthesituation.
– Explanationoftheprocess:• Gothroughallofthestepsandwhathappensineachstep.• Sharethetimelinerequirements.• Startwiththismeeting(not“interview”).–Optionsafterthismeetingisover.
© 2015, ATIXA. All rights reserved.
59
EXPLANATIONOFROLESØ Explanationastoyourrole intheprocess.– Neutralfactfinder.
Ø Explanationofothers’rolesintheprocess.– Hearingofficers/panelists– Advisors(forallparties).– Appellateofficers.
ØAfewcommentsaboutadvisors– dealingwiththeirs.– The“pre-meetingmeeting.”–Who– lawyers,faculty,parents,victim’sadvocates,coaches,friends,roommates,etc.
– Howmany?© 2015, ATIXA. All rights reserved.
60
MAJORGATEKEEPINGGUIDEPOSTS
AppealSanctionHearing
/Finding
NoticeofAllegation
ComprehensiveInvestigation
PreliminaryInvestigationNotice
© 2015, ATIXA. All rights reserved.
June2016
21
61
EXPLANATIONOFPROCESSØWhathappensnext.- Strategy,moremeetingswithothers,etc.- Interimactions(supporting,preventing,etc.).- Howlongthismaytake.- Otheroptionstheymaybesubjectto.
ØGatekeepingdetermination.- Note:Thismaybetheendoftheprocess.
Ø FirstDraftofFinalReport.- Finalreportmeetings.
Ø FirstSharingoftheDraftFinalReportwithpanel.- Possibilityofadditionalmeetings.
© 2015, ATIXA. All rights reserved.
62
EXPLANATIONOFPROCESSCONT.ØDetermination/findings.- Thismaybetheendoftheprocessincertainprocessesthatallowforinformaladministrativeresolution.
- Inothers,thismaybethepre-hearingdeterminations.
Ø Pre-hearingmeetings:-Withbothparties.- Thisisthelastopportunityfornotingadditionalstatements,newwitnesses,etc.
- NotethatyouwillgoovertheentireFinalReportinthismeeting.
© 2015, ATIXA. All rights reserved.
63
EXPLANATIONOFPROCESSCONT.Ø Explanationoftheprocess(continued):– Thehearing:• Whatitlookslike.• Whowillbethere.• Theprocess/procedures.• Possiblesanctionsandotheroutcomes.
– TheAppeal:• Grounds– covertheNON-statementhereagain.• Requests.• Timelines.
– Explanationofthestandardofproof.
© 2015, ATIXA. All rights reserved.
June2016
22
64
PREPONDERANCESTANDARD
NoEvidence
InsufficientEvidence
ReasonablePreponderance
VerySufficientEvidence
OverwhelmingEvidence
© 2015, ATIXA. All rights reserved.
65
ØAskiftheyhaveanyquestionsabouttheprocessortheprocedure.– Givethemacopyofthebrochure.
Ø Letthemknowthatthoroughnessiskeyandtheneedforcompleteness.
ØMakesurepartiesdon'tleavefactsoutbecausetheyareafraidofgettingintotrouble.– Discusstheamnestyprovisions(ifapplicable).
Ø Createcomfortwithlanguageandsensitivesubjects.– Letthemknowthattheywillnotoffendorsurpriseyou.
CONDUCTINGINTERVIEW
© 2015, ATIXA. All rights reserved.
66
CONDUCTINGINTERVIEWCONT.Ø Explainthatyouwillbetakingnotesorrecordingandwhy.– Writingvs.Typingvs.Recording.
Ø Acknowledgethattheymayhavetoldotherswhathappenedmultipletimesalready.– Askwhoelsetheyhavetalkedtoabouttheincident.
Ø Askiftheyhavewrittenaboutthisinanyfashion:– Blog.– FaceBook/Twitter/SocialMedia.– Journalsorotherwritings.– Texts.– Videojournals.
© 2015, ATIXA. All rights reserved.
June2016
23
67
CONDUCTINGINTERVIEWCONT.ØNowbeginthemeeting.– Letthemtalk.– Givethemastartingpointiftheydon’thaveone.– Drilldownlater.– Interruptforquestionsonlywhenyoumust.– Note:somestrategiesmaychangebasedontheirdemeanor.• Expressive.• Angry.• Resistant.• Hesitant.
© 2015, ATIXA. All rights reserved.
68
CONDUCTINGINTERVIEWCONT.Ø Whentheyarefinishedgivingtheinitialstatement– Getclarifications:• Lotsofopenendedquestions.• Usedclosedquestionswhenresistantornecessary.
– Givereminders– maywanttousevisualizationtoassistwithrecall.Thiscanbedonewithoutgivingcomplainant'sstatementtothem.
– Cuewithtimereminderswhengoingbacktoassistrecall.– Speakclearly.– Asksimplequestions.– Donotsuggestananswerorappeartogivedirectiontothe“right”or“best”answer.
© 2015, ATIXA. All rights reserved.
69
CONDUCTINGINTERVIEWCONT.ØAttheend:– “Isthereanythingelseyouthinkisimportantforustoknow?”
– Arethereanyquestionsthatyouthoughtwemightaskthatwedidn’task?”
• Isthereanythingyouwantmetoasktheotherparty(oranywitness)?
• Whatdoyouthinkthemotivationforthiscomplaintis?(Onlyaskifyouhavealreadynotbeentoldthisinformation.)
© 2015, ATIXA. All rights reserved.
June2016
24
70
CONDUCTINGINTERVIEWCONT.Ø Toconclude(someinvestigatorsdothisearlieroratthebeginningtoassistwithempathy/neutrality):– Findoutifacademicsand/orworkhavebeenaffected
– Askhowthishasaffectedthememotionallyand/orphysically.• Discusscounselingoptionsifnotalreadyconnected.
– NOTE:Challengesthatthismayprovidewhenthereisnotanadvocate.
© 2015, ATIXA. All rights reserved.
71
CONDUCTINGINTERVIEWCONT.ØDiscussinterimremediesthatmaybetaken:– No-contactorders.– Interimrestrictionsorsuspensions.• Whatthismeans– academics&timelines.
– Classchanges.– Livingarrangements.
• Discussnon-retaliation.– Giveexamplesofretaliation,andtowhomitshouldbereportedimmediately.
© 2015, ATIXA. All rights reserved.
72
CONDUCTINGINTERVIEWCONT.Ø LettheRespondingPartyknownextstepsandwhentheywillhearfromyou,andthattheycancontactyouanytimewithquestionsorproblems.– Gettheircontactinformation.• Voicemail?• Email?• Text?
– Beasspecificaspossibleabouttimelines.
© 2015, ATIXA. All rights reserved.
June2016
25
73
Usingacasestudy,presenterwillplayroleofrespondentandallowparticipantstopracticetheirquestioningtechniques.
QUESTIONINGEXERCISE
© 2015, ATIXA. All rights reserved.
74
QUESTIONINGTHERESPONDINGPARTY
Ø Thecomplainantinasexualmisconductallegationstatedthataftertheassault,respondentwenttothebathroomtotakeashower. Sheturnedonthelightsinhisroom,andtookalookaroundforthefirsttime.Sheobservedstacksofpornographicmagazines,centerfoldpostersonthewalls,andcommercialandhome-madepornographicvideotapesonthebookshelfandaroundtheBlu-Rayplayer.
Ø Whilerespondentwasinthebathroom,complainantplayedtheBlu-Raydiskthatwasintheplayer.ShecontendsthatthewayrespondentrapedherisidenticaltoarapedepictedontheBlu-Raydisk,andthatshetookitandhastheBlu-Raydisktoproveit.Questionhimaboutthisasagroup.
© 2015, ATIXA. All rights reserved.
75
LET’SQUESTIONCOMPLAINANTØ Complainantinsexualmisconductallegationhasstated
thatafterassault,respondentwenttobathroomtoshower.Atthattime,sheturnedonthelightsinhisroom,andlookedaroundforfirsttime.Sheobservedstacksofpornographicmagazines,centerfoldpostersonthewalls,andcommercialandhome-madepornographicvideosonbookshelfandaroundBlu-Rayplayer.
Ø Whilerespondentwasinthebathroom,complainantsawaDVDwithacovershowingawomanbeingrapedinamannerthat isidenticaltoherassault,andthatshetookitandhasdisktoproveit. Questionheraboutthisasagroup.
© 2015, ATIXA. All rights reserved.
June2016
26
76
MORERESPONDENTQUESTIONNG
Usingacasestudy,participantstopracticetheirquestioningtechniques.
© 2015, ATIXA. All rights reserved.
77
SMALLGROUPEXERCISE
Ø Into3–5folks.ØOneplaysrespondent.– Trynottobreakcharacter.
Ø 1–2investigators.– Assumethespielisdone.– Beginwithquestions.
Ø 1–2observers.– Observe,donotinterrupt.– Noteverbalandnon-verbalbehaviorsofInvestigators.
© 2015, ATIXA. All rights reserved.
78
ØObservers:– Pros– verbalandnon-verbal.– Thingstolookoutfor– verbalandnon-verbal.
Ø Respondingparty/respondent:– Howdidyoufeel?–Whatdidyoulike/notlike?
Ø Investigators:–Whatdidyouthinkworked?–Whatwouldyouchange?
SMALLGROUPEXERCISE:PROCESSING
© 2015, ATIXA. All rights reserved.
June2016
27
79
WITNESSESØ Challengingor
DifficultWitnesses
Ø FeedbacktoWitnesses
Ø ConductingtheInterview
Ø LyingWitnessesØ Resistant&Quiet
Witnesses© 2015, ATIXA. All rights reserved.
80
CHALLENGINGORDIFFICULTWITNESSES
Ø Setthetone:– Thankthem.– Reviewyourroleasaneutralfact-finder.– Putthematease– askaboutthemwithoutbeingphony.
– Acknowledgetheirhesitation.– Reviewretaliationagainstawitness.– Reviewimmunity.– Reviewconfidentiality.– Reviewexpectationoftruthfulness.– Restate/reframe.
© 2015, ATIXA. All rights reserved.
81
FEEDBACKTOWITNESSESØ Witnessesmayaskorsay:– AmIbeinginvestigated?– Whatareyoureallyinvestigating?– Howwillyouusetheinformationyouaregiven?– Isitconfidential?– WillIgetintotroublebygivingyouthisinformation?– Idon’twanttocooperate.– DoIneedmyparentsorlawyerpresentduringtheinterview?
Ø Anticipatingthesequestions/coveringtheminadvancecanhelpensurethatyougetcompletetruthfulness
© 2015, ATIXA. All rights reserved.
June2016
28
82
CONDUCTINGTHEINTERVIEW
ØAskiftheyhavebeencontactedalreadybyoneoftheparties.
ØAskiftheyhavemadeanypreviousstatements,suchastoprivateinvestigators.
ØAskifthereisanythingyoushouldknowthatwasnotbeencoveredorifthereisanyoneelsetheythinkthatshouldbecontacted.
ØDiscussnon-retaliationandgiveexamplesofitassomepeopleonlyseeitasthreats.
ØDiscussprivacy;executeFERPArelease.
© 2015, ATIXA. All rights reserved.
83
ØAscertaintheirrelationtotheotherpartiesinthecase.
ØAskfortheiropinionoftheotherparties.ØDidtheyseeanychangeinbehaviors?Ø Socialmedia?Ø Phonerecords.ØAskallintervieweestocontactyouiftheyrememberanythingelseorwanttoaddtotheirinterview,
CONDUCTINGTHEINTERVIEWCONT.
© 2015, ATIXA. All rights reserved.
84
LYINGWITNESSESØ Inanon-accusatoryway,explainhowtheirstatementsdon’t“makesense.”
ØAllowopportunityforwitnesstorestate.
Ø Trytogaugewhytheyarelying– fearful?Embarrassed?Protective?Trytoaddresstheirmotivationindividually,withunderstanding
Ø Iftheycontinuetolie,confrontdirectly(firm,yetpolite)andexplaintherepercussionsforlyinginaninvestigation.
Ø Calmlybringthembacktothequestions.
Ø Ifneeded,leavethedooropenandfollowup.© 2015, ATIXA. All rights reserved.
June2016
29
85
RESISTANT&QUIETWITNESSESØ Gaugetheirresistanceorhesitationandtrytoaddresstheir
motivationindividually.
Ø Answertheirquestionsabouttheprocess.
Ø Backupwhenneeded.
Ø Iftheyopenup,beresponsive.
Ø Explainexpectationsoftheschoolandrationaleforthedutytoparticipate.
Ø Ifappropriate,appealtotheirhumanity.
Ø Advancepreparationwillhelpwhenopen-endedquestionsdon’twork.
Ø Restate/reframe.© 2015, ATIXA. All rights reserved.
86
TIMEPERMITTINGWhatarethesteps– beforeandduring–tellingareportingpartyand/orarespondentthataNCSIcasehasbeendeterminednottohavesufficientevidencetomoveforwardand/oraNotResponsibleFindinghasbeenmade.
INTERVIEWEXERCISE
© 2015, ATIXA. All rights reserved.
QUESTIONS?
87© 2016, ATIXA. All rights reserved.
June2016
30
88© 2016, ATIXA. All rights reserved.
Contact us!W. SCOTT LEWIS, J.D.
89© 2016, ATIXA. All rights reserved.
YourSourceforHigherEducationNews!www.studentaffairsenews.com
90© 2016, ATIXA. All rights reserved.
Title IX Today² Practicalcontentandexpertguidance
tohelpyouaddresscomplianceissues,boosteffectiveness, andavoidcostlylitigation.
² Eightpages,inprint,eachmonth,witharticlesthatgetstraighttothepointandinformationyoucanuserightnow.
² Monthlycompanione-newsletterwith:² ThelatestissueinPDFformat;² Bonus,exclusivecontent;² Linkstousefulresources;and
² ThelatestTitleIXnews&research.² $299/year.Orderatwww.ncherm.org/store.² ATIXAmembersreceive15%[email protected] foryourdiscountcode.