Moxie User Manual

Last updated: 3/29/2016

Table of Contents

Part 1: Introduction 2

I. Purpose and Background 2

II. Confidentiality 2

Part 2: Using Moxie 4

I. Case Detail View 4

Case name 4

Case ID & Advocate ID 4

Basic Info tab 5

Clery 7

Tasks tab 9

Parties Involved tab 10

Incidents tab 12

SubEvents tab 19

Police tab 21

Outcomes tab 21

Notes tab 25

Emails tab 26

Documents tab 27

II. Black Menu Bar 28

Linked Cases icon 28

Overdue Task icon 28

Orphaned Email icon 28

Download from the Cloud icon 29

III. Dashboard 29

All Open Cases tab 29

Assignee tab 29

Status tab 29

Statistics 29

Part 3: Appendix 30

I. Incident types: definitions 30

II. Outcomes: definitions 36

III. Status types: definitions 39

IV. Request for Privacy vs. Obligation to Act Checklist 40

V. Template for report response email 41

VI. Template for reluctant victim letter 42

VII. Case work conventions 44

Creating new cases 44

Incident type definitions 44

Additional outreach 45

 

 

PART 1: INTRODUCTION

I. Purpose & Background:

Moxie is the name of the database maintained by the Office of the Sexual Misconduct Response Coordinator (OSMRC) containing records of the reports we receive. It was created in June 2014 by the University of Iowa Application Development team, funded by a one-time allocation of $32,000 from President Mason.

 

Moxie allows us to:

  • Improve collaboration among campus and community responders
  • Ensure uniform reporting of incidents
  • Ensure centralized control of investigative process
  • Ensure a coordinated response by all constituencies, including victim advocates
  • Sequence institutional response
  • Manage student and employee grievance procedures
  • Track trends
  • Organize and store data for OVW grant reporting

 

II. Confidentiality and Moxie:

All cases that come into our office are entered into Moxie. In order to ensure the safety of the individuals involved in those cases and their families, keeping that data protected is critical.

The data is stored in the high-security zone of the campus ITF (information technology facility), which is physically located in Coralville.  

The data is encrypted at rest (meaning if someone were to access the physical hard drive, it would be useless, as it's all encrypted), as well as encrypted in transit (meaning when you're sending data from a client computer to the server, it's encrypted) 

Only certain University staff have access to Moxie. They include:

  1. ITS Filemaker Server Administrators.  They have (and must have) the ability to work with any Filemaker database on campus, as a matter of system administration and University policy.
  2. Developers and support staff associated with this project
  3. People added to the OSMRC Active Directory Groups - These are users that have been added, per request from the Sexual Misconduct Response Coordinator, to have access to the project.  Currently, that list is limited to OSMRC staff (with full access), and the Title IX Coordinator(with read-only access).

To get access, we have required that request to come from the Sexual Misconduct Response Coordinator, and then they are added to the AD groups by an Active Directory administrator on campus.  This is the same structure that controls access to all other data on campus, things like MAUI, ISIS, etc. Those changes are audited and actively monitored.  

On the application level, we have auditing of every login that happens to the system, as well as any view of a case or e-mail in the system, which stores the IP address, timestamp, and username of those interactions.  

All UI employees must, annually, agree to the Confidentiality Statement on their HR page. That statement reads:

By clicking "Agree" below, I certify that I understand that (1) as a University of Iowa employee, worker, student, volunteer or non-paid assistant, I may have access to confidential or sensitive information including, but not limited to general ledger, payments to vendor and/or individuals, budget, purchasing, data warehouse, payroll and personnel information, employee records, research information, student records, patient records; (2) that accessing, using, and/or disclosing such information for any reason other than the legitimate pursuit of my employment or volunteer duties, and in adherence with guidelines mandated by federal law (including FERPA, or HIPAA) and university policies and guidelines constitutes misuse; (3) that any misuse or unauthorized release of such information, either during my employment or affiliation with The University of Iowa or subsequent to the conclusion of my employment or affiliation with The University of Iowa, may be grounds for discipline (up to and including expulsion or discharge from employment or other affiliation with the University), and/or the initiation of legal actions against me.

The data stored in Moxie is shared under the following conditions:

  • Aggregate data might be shared with other campus or community members or the press. This aggregate data must not contain information that identifies specific individuals or reveal personally identifying information. For example, we might report on the number of cases involving a sexual assault that were reported in a particular time period.
  • Case-specific data, including identifying information, might be shared with the office responsible for investigating the case. For example, we might create a list of all open cases being investigated by the Dean of Students Office to discuss with the investigator from the Dean of Students Office.

 

PART 2: USING MOXIE

 

 

I. Case Detail View:

This view shows us the details of an individual case. To get to the case detail view, click on the “Layout” dropdown menu in the upper left of the screen and select “Case Detail View.”

 

Case Name:

The naming convention used here is:

[Victim/Survivor’s name (last, first)] / [Accused’s name (last, first)]

Separate multiple names by semi-colon.

 

Case ID: Is automatically created when a new case is created. Cannot be edited.

 

Advocate Case ID: Indicates that a case was imported from Advocate, the database system used by our office from 2009 – spring of 2014

 

 

Basic Info tab:

  • Reported: The date the case was reported to our office. Automatically populated when the status “New Report” is selected, or when the SubEvent “New Report” is created. Can be edited in the SubEvents tab by changing the date next to the “Status: New Report” or “New Report” SubEvent.
  • Resolution: Indicate which resolution type will be pursued. The date is automatically populated when resolution type is selected. The date can be edited in the SubEvents tab by changing the date next to the “Resolution Type: ___” SubEvent. Title IX requires that we address complaints in a timely manner (the standard time is 60 days), so we need to keep track of how long it is taking to resolve cases.
    • Formal: A formal complaint has been made and an investigation has been initiated by either the Office of the Dean of Students (in cases in which the accused person is a student) or the Office of Equal Opportunity and Diversity (in cases in which the accused person is an employee).
      • This date is set to the date that a complaint notification is sent out
      • There are cases in which a formal investigation might be initiated even if the victim has not requested one. This decision is made with guidance from the “Request for Privacy vs. Obligation to Act Checklist”, which is included in the appendix.
    • Informal: The complainant has requested an informal resolution. In cases in which the accused person is an employee, informal resolutions can be requested. In this case, we will receive an Informal Sexual Harassment Form from EOD when the case has been resolved. In cases in which the accused person is a student, there is no official informal resolution. However, we might categorize some student conduct cases as informal if an action was taken with regards to the accused. Examples are an RA doing group education in a floor meeting in response to a report, or a policy reminder letter being sent.
    • N/A: No action has been requested by the complainant, and we are not required to take action.
  • Resolved Date: Resolved means that a case is closed and no more action is required. We put the resolved date here in order to keep track of how long it takes the university to investigate and take action on a case.
    • In formal cases: a case is resolved after the finding is issued or the hearing finding has been issued whichever comes last. We do not need to include the time granted for appeals in this date.
    • In informal cases: a case is resolved after the informal remedy has been completed.
    • In N/A cases: a case is resolved as soon as the decision is made not to take action.
  • Status: Tells us what stage we are in in our process of working on the case. Refers to our office/university process, not the criminal process.
    • New report: The report has been entered into Moxie recently but no action has been taken yet. We should not have cases in this status for more than a couple days. If a report is in this status, there should also be a task created to prompt action.
    • Waiting for information/response: Has multiple possible meanings, including: a report response letter has been sent to the victim/survivor and we’re waiting to hear back, or we are waiting for information from another office. Whenever this status is selected, there should be a task created to prompt follow-up action.
    • Investigating: A formal investigation has commenced, and either EOD or DOS is in the process of investigating the case.
    • Appeal window: A formal investigation has been completed and a finding has been issued. After a finding has been issued, both the victim/survivor and the accused have 10 working days to appeal. When this status is selected, a task should be created to prompt a change of status when the appeal window has closed.
    • Hearing: A formal investigation has been completed, and the finding of the investigation was that a policy was violated and a suspension or expulsion is warranted; the accused student has disputed the charges, and a hearing has been ordered. (See flowchart: http://dos.uiowa.edu/assets/Judicial-Flowchart-FINAL.pdf)
    • Safety and support only: We are actively working to support the victim/survivor.
    • Resolved: The case is closed and we are no longer taking action on it.
    • Edit…: A new status can be created by clicking here. This should not be done often, and should only happen after discussion and agreement with the rest of the office.
  • Clery Crime?
    • Read background on the Jeanne Clery Act here: http://clerycenter.org/summary-jeanne-clery-act.
    • The final decision that a case includes a Clery incident is made by the UIPD, not by our office. However, we need to keep track of cases that may include Clery incidents by marking them as “Maybe.” Cases marked as “Maybe” will be discussed at monthly Clery meetings with UIPD.
    • If there is not enough information about the incident or the location, select “No” and write “Not enough information” in the box. This can be updated to “Maybe” if more information comes in.
    • Mark an incident as “Maybe” and write an explanation if:
      • The incident type falls under a Clery crime category, as the incident is understood at the time of the report. Clery statistics are recorded based on the initial report, regardless of additional information that may come out later. Source for definitions: 2014 Annual Security Report (http://police.uiowa.edu/about/campus-security-act)
        • Forcible Sex Offense: Any sexual act directed against another person, forcibly and/or against that person's will; or not forcibly or against the person's will where the victim is incapable of giving consent
          • Forcible Rape - The carnal knowledge of a person, forcibly and/or against that person's will; or not forcibly or against the person's will where the victim is incapable of giving consent because of his/her temporary or permanent mental or physical incapacity (or because of his/her youth).
          • Forcible Sodomy - Oral or anal sexual intercourse with another person, forcibly and/or against that person's will; or not forcibly against the person's will where the victim is incapable of giving consent because of his/her youth or because of his/her temporary or permanent mental or physical incapacity.
          • Sexual Assault With An Object - The use of an object or instrument to unlawfully penetrate, however slightly, the genital or anal opening of the body of another person, forcibly and/or against that person's will; or not forcibly or against the person's will where the victim is incapable of giving consent because of his/her youth or because of his/her temporary or permanent mental or physical incapacity.
          • Forcible Fondling - The touching of the private body parts of another person for the purpose of sexual gratification, forcibly and/or against that person's will; or, not forcibly or against the person's will where the victim is incapable of giving consent because of his/her youth or because of his/her temporary or permanent mental incapacity.
        • Non-Forcible Sex Offense: Unlawful, non-forcible sexual intercourse
          • Incest - Non-forcible sexual intercourse between persons who are related to each other within the degrees wherein marriage is prohibited by law.
          • Statutory Rape - Non-forcible sexual intercourse with a person who is under the statutory age of consent.
        • Dating Violence: violence committed by a person who is or has been in a social relationship of a romantic or intimate nature with the victim; and where the existence of such a relationship shall be determined based on a consideration of the following factors: the length of the relationship, the type of relationship, and the frequency of interaction between the persons involved in the relationship
        • Domestic Violence:  a felony or misdemeanor crime of violence committed by: a current or former spouse or intimate partner of the victim, a person with whom the victim shares a child in common, a person who is cohabitating with or has cohabitated with the victim as a spouse or intimate partner, a person similarly situated to a spouse of the victim under the domestic or family violence laws of the jurisdiction receiving grant monies [under VAWA], or any other person against an adult or youth victim who is protected from that person's acts under the domestic or family violence laws of the jurisdiction.
        • Stalking: engaging in a course of conduct directed at a specific person that would cause a reasonable person to fear for his or her safety of the safety of others, or suffer
      • And, the incident occurred in a Clery location:
        • Clery “On Campus” locations: Any building or property owned or controlled by an institution within the same reasonably contiguous geographic area and used by the institution in direct support of, or in a manner related to, the institution's educational purposes, including residence halls; and (2) Any building or property that is within or reasonably contiguous to paragraph (1) of this definition, that is owned by the institution but controlled by another person, is frequently used by students, and supports institutional purposes (such as a food or other retail vendor).
        • Clery “On Campus Housing” locations: Any student housing facility that is owned or controlled by the institution, or is located on property that is owned or controlled by the institution, and is within the reasonably contiguous geographic area that makes up the campus is considered an on-campus student housing facility.
        • Clery “Non Campus” locations: properties that are controlled by the university, such as properties that we are renting, fraternities/sororities, dorms in international study abroad programs
        • Clery “Public Property” locations: All public property, including thoroughfares, streets, sidewalks, and parking facilities, that is within the campus, or immediately adjacent to and accessible from the campus. Includes pedestrian mall.
    • After the Clery meeting, the selections need to be moved from “Maybe” to “Yes” or “No” based on the decision made. There is a text box for writing justifications/explanations.
  • Case Description: Write a narrative description of what happened.
  • Accommodations/Interim Sanctions: This text box is automatically populated when an “Accommodation” or “Interim Sanction” SubEvent is created. Any text written in the “Notes” box of the SubEvent will appear here. The purpose of this box is to keep track of what accommodations have been offered to a victim/survivor. Tasks should be used to prompt follow-up on accommodation requests.

 

 

Tasks tab:

Tasks are used to help our workflow. They can be created by any user and assigned to any user.

 

To create a new task:

  1. Click on the “Tasks” tab.
  2. Click the “Add Task” button.
  3. In the “Name” field, write the action required.
  4. In the “Due” field, select a date. If it is something urgent, using a past due date will make the task appear in a special area for the assignee to see.
  5. Under “Assigned To,” select the HawkID of the person responsible for the task.

 

Some instances in which a task might be created include:

  • After sending out a report response and switching the case status to “Waiting for information,” create a task to prompt sending a reluctant victim letter in case the victim never responds.
  • When going through current cases, if no new information has been recorded on an active case in several weeks, create a task and assign it to the response coordinator managing the case.
  • After creating a new case and setting the status to “New report,” create a task to prompt follow up with a report response.

 

 

Parties Involved tab:

This tab lists the parties involved in a case, their role in the case, and their university affiliation at the time of the case. This may include the victim/survivor and accused, the response coordinator working on the case, witnesses, family members, and other people at the university who are associated with the case.

 

There is a differentiation between a “party” record and a “person” record. The “party” record is a snapshot of information about a person from the time of the incident. The “person” record pulls current information about a person from MAUI. A “party” record can be edited, but a “person” record cannot.

 

  • Name: the party’s name, beginning with the surname
  • Role: the party’s role in this case:
    • Victim/survivor: The person harmed in the incident.
    • Complainant: If a third party (someone who is not the victim/survivor of the incident) is making a complaint, specify that this person is the complainant. If the victim/survivor is also the complainant, there is no need to use this role.
    • Accused: The accused party.
    • Witness: A witness to the incident.
    • Investigator: The University investigator, in cases in which a formal investigation is being conducted.
    • Adjudicator: In a hearing, the person who will be hearing the case and making a decision. Adjudicators are hired and trained by the University, but are not full time University staff.
    • Response Coordinator: The OSMRC coordinator responsible for the case.
    • Charging Officer: In a hearing, the person who will be presenting evidence that the accused person was responsible for the incident. In most cases, our current practice is for the investigator to be the charging officer.
    • Victim Advocate: Victim/survivors have the right to have an advocate present with them for meetings at each stage of the University process. Advocates may be trained representatives from RVAP, DVIP, or Monsoon United. Victim/survivors may also choose to have a friend or family member act as their advocate. With permission from the victim/survivor, the victim advocate may be copied on all communication with the victim/survivor.
    • Police Detective: In cases with a concurrent police investigation, the police detective investigating the case. One role of our office is to facilitate communication with police detectives in order to share information.
  • University affiliation: the party’s affiliation at the time of the incident, not at the time the report is received.
    • Student: The party is a student who is enrolled at the University at the time of the incident.
    • Staff: The party is a merit or P&S staff member
    • Faculty: The party is a faculty member
    • Student employee: The party is a student employee at the time of the incident, and the incident occurred in the context of the party’s role as a student employee. This affiliated is significant because cases in which the accused person is a student employee may involve both DOS and EOD in the investigation and sanctioning process. If the party is a student employee, but the incident occurred outside of the context of that person’s employment, then the party affiliation “Student” should be selected.
    • Visitor: The party is on the University campus as an official visitor
    • Not affiliated: The party is not affiliated with the University at the time of the incident. This includes people who are prospective students or former students.

 

 

To add a new party to the “Parties Involved” list:

  1. Click on the “Parties Involved” tab.
  2. If the party involved is affiliated with the University, the best practice is to use that person’s HawkID to populate the party information section. In the “HawkID/UID” field, begin typing the person’s HawkID (this can be found by searching the UI directory: https://www.dna.its.uiowa.edu/Whitepages/ or MAUI: http://maui.uiowa.edu). As you type, the system will search. Select the correct HawkID from the dropdown menu.
  3. If the party involved does not have a HawkID, write the person’s name (“Last name,” “First name”) in the Name field.
  4. Select the person’s role from the dropdown menu.
  5. Click the “Add” button. A popup window will appear with the party information on it. If the party is University affiliated, confirm that this is the correct person, and click the “Save” button. If the party is not University-affiliated, write in any additional information available, and click the “Save” button.

 

 

Incidents tab:

The incidents tab is where we record the incidents that occurred, as they are understood at the time the report is made. The incident type might be updated to reflect new information that comes forward; if this is the case, the change should be documented in the “Notes” tab.

 

Incident types: The incident types recorded here are based on our policy definitions, not on criminal definitions.

 

Incident types:

 

Sexual harassment

  • Sexual misconduct involving students: Sexual harassment is a form of discrimination that includes verbal, written, or physical behavior of a sexual nature, directed at an individual, or against a particular group, because of that person's or group's gender, or based on gender stereotypes or manifestation, when that behavior is unwelcome and meets either of the following criteria:
    • (1) Submission or consent to the behavior is believed to carry consequences for another person's education, employment, on-campus living environment, or participation in a University program or activity. Examples of this type of sexual harassment include:
      • (a) pressuring a student to engage in sexual behavior for some educational or employment benefit; or
      • (b) making a real or perceived threat that rejecting sexual behavior will carry a negative consequence for the student in education, on-campus residence, or University program or activity.

    • (2) The behavior has the effect of limiting or denying another person's work or educational performance or creating an intimidating, hostile, or demeaning environment for employment, education, on-campus living, or participation in a University program or activity. Examples of this type of sexual harassment can include:
      • (a) persistent unwelcomed efforts to develop a romantic or sexual relationship;
      • (b) unwelcome commentary about an individual's body or sexual activities; 

      • (c) repeated unwanted sexual attention;
      • 
(d) repeated and unwelcome sexually-oriented teasing, joking, or flirting; 

      • (e) verbal abuse of a sexual nature.

    • Comments or communications could be verbal, written, or electronic. Behavior does not need to be directed at or to a specific student, but rather may be generalized unwelcomed and unnecessary comments based on sex or gender stereotypes.
    • Determination of whether alleged conduct constitutes sexual harassment requires consideration of all the circumstances, including the context in which the alleged incidents occurred.
  • Sexual harassment policy: For purposes of this policy, "sexual harassment" means persistent, repetitive, or egregious conduct directed at a specific individual or group of individuals that a reasonable person would interpret, in the full context in which the conduct occurs, as harassment of a sexual nature, when:
    • (a) Submission to such conduct is made or threatened to be made explicitly or implicitly a term or condition of employment, education, on-campus living environment, or participation in a University activity; or
    • (b) Submission to or rejection of such conduct is used or threatened to be used as a basis for a decision affecting employment, education, on-campus living environment, or participation in a University activity; or 

    • (c) Such conduct has the purpose or effect of unreasonably interfering with work or educational performance, or of creating an intimidating or hostile environment for employment, education, on-campus living, or participation in a University activity. 

  • (2) Evidence of sexual harassment. Behavior that may constitute, or be evidence of, prohibited sexual harassment includes, but is not limited to, the following:
    • (a) Physical assault;
    • (b) Direct or implied threats that submission to sexual advances will be a condition of, or that failure to submit to such advances will adversely affect, employment, work status, promotion, grades, letters of recommendation, or participation in a University activity;
    • 
(c) Direct propositions of a sexual nature or persistent unwelcomed efforts to pursue a romantic or sexual relationship, including subtle pressure for sexual activity, an element of which may be repeated staring; 

    • (d) A pattern of unwelcomed sexually explicit gestures, statements, questions, jokes, or anecdotes, whether made physically, orally, in writing, or through electronic media;
    • 
(e) A pattern of unwelcomed conduct involving: 

      • (i) Unnecessary touching;
      • (ii) Remarks of a sexual nature about a person's clothing or body; 

      • (iii) Remarks relating to sexual activity or speculations concerning previous sexual experience;
    • (f) A display of graphic sexual material (not legitimately related to the subject matter of a course, if one is involved, or to job requirements) in a context where others are not free to avoid the display because of an employment or educational requirement or without surrendering a privilege or opportunity that others may reasonably expect to enjoy in that location.

Sexual assault

  • Sexual assault is a form of sexual misconduct and represents a continuum of conduct from forcible intercourse to nonphysical forms of pressure that compel individuals to engage in sexual activity against their will. 
Examples of sexual assault under this policy include, but are not limited to, the following behaviors, however slight, when consent is not present:

    • (1) sexual intercourse (anal, oral, or vaginal). Intercourse, however slight, meaning vaginal penetration by a penis, object, tongue, or finger; anal penetration by a penis, object, tongue, or finger; or oral copulation (mouth to genital contact or genital to mouth contact);
    • (2) attempted sexual intercourse (anal, oral, or vaginal);

    • (3) intentional contact with the breasts, buttocks, groin, or genitals, or touching another with any of these body parts, or making another touch you or themselves with or on any of these body parts;

    • (4) any other intentional unwanted bodily contact of a sexual nature; 

    • (5) use of coercion, manipulation, or force to make someone else engage in sexual touching, including breasts, chest, and buttocks; 


(6) engaging in sexual activity with a person who is incapacitated and unable to provide consent due to the influence of drugs, alcohol, or other mental or physical condition (e.g., asleep or unconscious)

Sexual intimidation

  • Sexual intimidation involves:
    •  threatening another person that you will commit a sex act against them;
    • engaging in indecent exposure;

Sexual exploitation

  • Sexual exploitation involves taking nonconsensual, unjust, or abusive sexual advantage of another person. Examples can include, but are not limited to the following behaviors:
    • electronically recording, photographing, or transmitting intimate or sexual utterances, sounds, or images without the knowledge and consent of all parties involved;
    • voyeurism (spying on others who are in intimate or sexual situations);
    • distributing intimate or sexual information about another person without that person's consent;
    • prostituting or trafficking another person.

 

Stalking

  • Stalking is a course of conduct directed at a specific person that would cause a reasonable person to feel fear.
 Examples of prohibited stalking can include but are not limited to:

    • (a) Nonconsensual repeated communication including in-person communication, telephone calls, voice messages, text messages, email messages, social networking site postings, instant messages, postings of pictures or information on web sites, written letters, gifts, ordering goods or services, or any other communications that are undesired;
    • (b) Following, pursuing, waiting, or showing up uninvited at a workplace, place of residence, classroom, or other locations frequented by a recipient of unwelcome conduct; 

    • (c) Monitoring online activities, surveillance and other types of observation, whether by physical proximity or electronic means, attempts to gather information about the recipient of unwelcome conduct;

    • (d) Vandalism, including attacks on data and equipment; 

    • (e) Direct physical and/or verbal threats against a recipient of unwelcome conduct or loved ones of a recipient of unwelcome conduct, including animal abuse; 

    • (f) Gathering of information about a recipient of unwelcome conduct from family, friends, coworkers, and/or classmates; 

    • (g) Manipulative and controlling behaviors such as threats to harm oneself, or threats to harm someone close to the recipient of unwelcome conduct;
    • 
(h) Defamation or slander against the recipient of unwelcome conduct; posting false information about the recipient of unwelcome conduct; posing as the complainant in order to post to web sites, news groups, blogs, or other sites that allow public contributions; and/or encouraging others to harass the recipient of unwelcome conduct;

    • (i) Posing as someone other than oneself to initiate transactions, financial credit, loans, or other contractual agreements;
    • 
(j) Arranging to meet the recipient of unwelcome conduct under false pretenses.


 

Domestic violence

Domestic/dating violence is coercive, abusive, and/or threatening behavior aimed at gaining power and control over a current or former intimate or romantic partner.  These behaviors may include physical, sexual, emotional, economic, or psychological actions or threats of actions that intimidate, manipulate, humiliate, isolate, frighten, terrorize, coerce, threaten, or injure the victim/survivor. The existence of such a relationship will be determined based on a consideration of the following factors: 1) the length of the relationship, 2) the type of relationship 3) the frequency of interaction between the persons involved in the relationship.

 

Domestic violence, as opposed to dating violence, is selected if the partners are in an intimate/romantic relationship and are married, divorced, or separated; live together or have lived together; or have a child together.

Dating violence

Domestic/dating violence is coercive, abusive, and/or threatening behavior aimed at gaining power and control over a current or former intimate or romantic partner.  These behaviors may include physical, sexual, emotional, economic, or psychological actions or threats of actions that intimidate, manipulate, humiliate, isolate, frighten, terrorize, coerce, threaten, or injure the victim/survivor. The existence of such a relationship will be determined based on a consideration of the following factors: 1) the length of the relationship, 2) the type of relationship 3) the frequency of interaction between the persons involved in the relationship.

 

Dating violence, as opposed to domestic violence, is selected if the partners are in an intimate/romantic relationship but are not (and have never been) married, do not and have never lived together, and do not have a child together.

 

Retaliation

"Retaliation" means any materially adverse action or credible threat of a materially adverse action by the University, or member thereof, taken against any faculty member, staff member, or student for having made a good-faith report of University-related misconduct, or taken to deter such a report in the future, or taken against another covered individual because of a close association with someone who has made or may make such a report.

No contact directive concern

This category is used when we receive a report that someone has broken an administrative no-contact directive

Suspicious activity

  • This category is used for cases in which it isn’t clear what happened in the report. For example, if two people are heard arguing but there is no evidence that the incident is one of dating/domestic violence, we would choose this category.
  • This category is also used for cases involving threats or harassment that are not of a sexual nature.

At any point, we might receive more information that would cause us to change an incident type from “suspicious activity” to another category.

Witness to incident/crime

  • This category is used for reports in which the victim/survivor has been impacted as a result of witnessing an incident or crime.

Consensual relationship

  • A policy violation involving a romantic and/or sexual relationship between an instructor and a student in an instructional context. At this time, incidents involving consensual relationships may not be reported consistently to our office unless they also involve another type of sexual misconduct (e.g. sexual harassment following the end of such a relationship).

 

 

 

To create a new incident:

  1. Select the incident type from the dropdown list.
  2. Select the date the incident occurred, if known. If an approximate date is known (e.g. within a month), select the “Approx?” checkbox.
  3. Begin typing the location of the incident, if known. Matching building names will automatically appear; select the correct building name. If the location is off campus, type “Off campus – (location)”. If the location is unknown, type “Unknown”.
    1. The Building Locator Map may be useful for finding the official name of a building, or the building’s acronym: http://maps.uiowa.edu
    2. Incidents that occur in UIHC may have information about the office/department, but not the building. This map may be helpful for finding the building name: https://www.uihealthcare.org/a-z-directory/
  4. If the incident occurred on campus, select the “Campus?” checkbox.
  5. Click the “Add” button.
    1. If the incident type was sexual assault, a box will appear asking for more information. Select the checkbox for “Penetration,” “Unwanted touching of a sexual nature,” or “Unknown.” This is significant for reporting and sanctioning purposes. Write additional details about the incident here that have not been recorded in the case description.
    2. If the incident type was sexual harassment, a box will appear asking for more information. Select “verbal” if the harassment was spoken. Select “visual” if the harassment involved images or written text. Select “physical” if the harassment involved touching. Write additional details about the incident here that have not been recorded in the case description.
    3. If the incident type was dating violence or domestic violence, a box will appear asking for more information. Select “strangulation” if a blocked airway was reported. Write additional details about the incident here that have not been recorded in the case description.

 

 

SubEvents tab:

The SubEvents tab is where we keep track of the actions taken by our office or others at the University in response to a case. This helps us maintain a timeline of the major events related to a case, ensure that cases are moving forward in a timely way, coordinate the response to cases involving multiple offices, and meet our compliance requirements.

 

SubEvent Type:

  • New report: The report was received by OSMRC.
  • Put On Notice: A responsible employee at the University knows or should have known that a Title IX violation may have occurred.
  • Report response: A response coordinator called or emailed the victim/survivor in response to the new report. The template for a report response is in the appendix; it is modified as needed for each case.
  • Interim sanction: Interim sanctions have been placed on the accused to ensure the victim/survivor’s safety. If this SubEvent is created, it is necessary to click on the “Notes” button and enter the interim sanctions that are in place. This information will be populated in the “Interim sanctions/Accommodations” box in the “Basic Info” tab.
  • Initial meeting: A response coordinator met with the victim/survivor to share reporting options and resources. In some cases, this meeting may have been done by a first responder, EOD, or DOS.
  • Meeting summary: A written summary of the initial meeting was sent to the victim/survivor.
  • Process update: A response coordinator emailed or called the victim/survivor with an update on the status of the case.
  • Reluctant victim letter: A response coordinator emailed the victim/survivor with a “reluctant victim letter.” This letter is sent in cases in which the victim/survivor did not respond to any initial outreach, or requested that no action be taken.  The template for a reluctant victim letter is in the appendix; it is modified as needed for each case.
  • Notice of complaint: A letter has been delivered to the respondent informing him/her that an official investigation is underway. If interim sanctions have been listed in this complaint notice, an “Interim sanction” SubEvent must also be created.
  • Finding shared: The investigator’s finding has been shared. Both parties receive the finding at the same time.
  • Accommodation: List academic/housing/workplace accommodations made by our office on behalf of the victim/survivor. If this SubEvent is created, it is necessary to click on the “Notes” button and enter the accommodations that are in place. This information will be populated in the “Interim sanctions/Accommodations” box in the “Basic Info” tab.
  • Hearing date: The date that the administrative hearing occurs. If a hearing needs to be rescheduled, update the date of the SubEvents, and click on the “Notes” button next to the SubEvent to record the reason for the change and the originally scheduled date.
  • Adjudicator’s decision: The adjudicator has submitted his/her decision after the hearing.
  • Notice of appeal: A party has submitted an appeal
  • Response to appeal: The non-appealing party has submitted their response to the other party’s appeal
  • Appeal outcome: The appeal decision has been transmitted to both parties
  • Board appeal received: An appeal to the Board of Regents has been made. This SubEvent records the date that we receive notice of the appeal being received by the Board of Regents.
  • Board appeal decision: The Board of Regents appeal decision has been received.
  • Informal resolution requested
  • Timely Warning: The incident is a Clery crime (see the information listed in the “Clery crime?” section of the “Basic Info” tab description), and a Timely Warning has been sent out to campus members.
  • Outreach: A response coordinator has outreached to the victim/survivor. Different from a report response or a process update.
  • Linkage with victim advocate: The victim/survivor has been linked with an advocate from RVAP, DVIP, or Monsoon.

 

To create a new SubEvent:

  1. Select or type in the date that the SubEvent occurred. If the date is estimated, click the “Approx?” checkbox.
  2. Select the SubEvent type from the dropdown list.
  3. Click the “Notes” button to add additional information about the SubEvent (for example, to note that a report response took place over the phone, or to explain that an initial meeting had to be rescheduled). If the “Interim sanction” or “Accommodation” SubEvents have been selected, you must use the “Notes” button to describe the details.
  4. Click the “Add” button.

 

 

Police tab:

The purpose of this tab is to record police involvement in a case. This includes university police as well as municipal police. Police investigations may occur concurrently with university investigations. They are separate processes; however, our office maintains relationships with university and local police offices, and information about an investigation may be mutually shared with the victim/survivor’s consent, or in the case of an ongoing threat to campus to meet Clery Timely Warning obligations.

 

Actions recorded in the Police tab:

Under development.

 

 

Outcomes tab:

The purpose of this tab is to record the actions that are taken by university administration against the accused person. We do not use this tab to record actions taken by UIPD or ICPD; those should be recorded in the “Police” tab. We do not use this tab to record actions taken to support the victim/survivor; those may be recorded in the “Accommodations” SubEvent, if applicable, or in the notes.

 

Outcome types:

1 on 1 conversation (with details)

Respondent/accused is confronted with reported concern and counseled on future expectations.  May or may not include sharing of the complainant’s name.

1 on 1 conversation (without details)

Respondent/accused is told generally about reported concern and counseled on future expectations.

Apology letter

Written by respondent/accused to the direct victim or organization impacted by respondent’s behavior.  Letter must take responsibility for behavior and demonstrate a commitment not to repeat the behavior in the future

Building prohibition

Respondent/accused restricted from entering a specific building or buildings (i.e residence hall) or movement in a building is limited to a particular floor and/or entrance.

Bystander course

Required to attend or host a bystander-training program provided by an approved (by sanctioning body) instructor

Campus prohibition

Restricted from entering campus property (exceptions may exist to attend medical appointments)

Counseling mandate

Required to attend counseling by a licensed provider, usually with specific outcomes requested to be documented by provider and sent to sanctioning body.

Counseling recommendation

Recommendation by sanctioning body to attend counseling with a licensed provider, usually with specific outcomes suggested (i.e. reflect on inappropriate use of substances to cope)

Demotion

Reduction in employee’s rank or job title within organizational hierarchy; may lead to loss of other privileges associated with a more senior rank, reduction in salary or benefits.

Disciplinary probation

A written admonishment for a violation of specified regulations. With respect to the non-academic disciplinary system, a student on disciplinary probation is not considered to be in good standing for a designated period of time. If the student is found to violate any institutional regulation(s) during the probationary period, more severe disciplinary sanctions may be imposed. Once the designated period of time has elapsed, the student will be considered in good standing; however, a record of the sanction will be kept in the Office of the Dean of Students.

Education mandate

The respondent is required to attend policy education with UI provider.

Event exclusion

The respondent is banned from attending a specific event or events sponsored by a specific student organization or department.

Expulsion

The student is permanently separated from the University.

Group education

A department/organization is required to have more training on issues related to policy expectations or awareness raising or bystander skill-building.

Housing contract cancellation

The respondent is no longer able to live/dine on campus for a specific period of time or permanently.

Housing transfer

The respondent is moved to a University housing unit to mitigate interaction with the complainant or victim/survivor.

Judgment deferred

No finding of responsibility, the investigator postpones judgment and gives the accused a probationary period to prove they won’t have future problems, at the end of the probationary period the complaint is dismissed.

Referred

Case was referred to another office

Respondent left the UI, case not resolved

No finding issued

No action requested & required

The victim/survivor has requested that no action be taken.

No classes/student orgs in common

An individual is not permitted to enroll in the same classes or join the same student organizations as the victim/survivor.

No contact directive

An individual is directed not to initiate contact with another party in person, in writing, through a third party, through phone or social media.  There may be a specific direction as to the number of feet the individual is to stay away from the other party.  Such prohibition may be in effect for a specific or an indefinite period of time.

No jurisdiction

Policy does not apply because of location of the incident, because of the identity of one or both parties, because there is no connection to the workplace or learning environment.

No policy violation

Unfounded complaint

Not enough information

Not enough information is known about the incident to take action

Policy violation

An investigation has determined that a policy was violated

Reflection paper

A respondent is assigned to write about the impact of their behavior on the victim-survivor, the importance of policy or laws to a community, and/or identify attitude and behavior change plan.

Registration hold placed

A notation is placed on the individual’s registration that will not permit him/her to enroll without meeting certain conditions.

Reprimand

Formal letter or verbal reprimand from a decision maker stating concern about behavior and explicitly defining expectations for future behavior and/or a corrective plan.  Letter is kept as part of official record or student or employee.

Responsibilities modified

An individual’s work or teaching responsibilities are modified to prevent recurrence of similar incidents.

Substance Abuse Assessment

Respondent/accused is required to undergo a substance abuse evaluation with a licensed or approved provider and to share the outcome of the assessment with the decision maker.

Suspension

A person may be involuntarily separated from the University for a period of time after which readmission is possible. Conditions for return may be specified. The Dean of Students may be required to approve any request for readmission

Suspension in abeyance

Respondent is found responsible, the sanction does not go into effect as long as the student complies with all requirements during the interim period

Termination

Employee is terminated from employment and may or may not be eligible for re-hire.

Terminated for other policy violation

Employee is terminated from employment for violating a policy other than the Sexual Harassment Policy

Urinalysis test checking

Required urine testing to determine if respondent is remaining drug-free

Voluntary separation

Record reflects employee chose to leave employment of his/her own accord

Work prohibition

Not eligible to work in certain position (TA, patient care, etc.)

Work reassignment

Accused is assigned to a different work project, small group, or re-directed to complete alternate work tasks to mitigate future contact with the complainant or victim-survivor.  Respondent is transferred to another location, alternate job duties, or to a new reporting line.

Written warning

A progressive discipline step; summary of concerning behavior, of required steps to take to improve performance, and clear expectations if improvement is not met.

 

 

Notes tab:

The purpose of this area is to keep track of notes related to a case that do not fit in any other areas. It is especially useful for recording consultation phone calls made to other offices.

 

To create a new note:

  1. Click the “New Note” button. The username, date, and time will automatically appear.
  2. Begin typing your note.

 

Emails tab:

All emails related to a case should be copied to the database for documentation purposes. They can be accessed in this tab. Emails are stored in reverse-chronological order, with newest emails at the top of the list.

 

To upload an email to the database:

  1. Open the email in your email client (e.g. Outlook)
  2. Click “Forward”
  3. In the “To” section, enter the address osmrc-database-upload@uiowa.edu
  4. In the body of the email, write:

OBID: [case number]

 

For example,

OBID: 888

  1. Send the email.

 

To move an email to another case:

  1. In the Emails tab, click on the grey square icon to open the email in Moxie.
  2. At the top of the window, you will see the “Select a case” dropdown menu. Click on the menu and begin typing the new case number.
  3. Once the new case number has been selected, click the “Close email” button.

 

 

 

Documents tab:

All documents related to a case should be copied to the database for documentation purposes. They can be accessed in this tab.

 

To upload a document to the database using the email method:

  1. Create a new email in your email client (e.g. Outlook)
  2. In the “To” section, enter the address osmrc-database-upload@uiowa.edu
  3. Attach the document to the new email
  4. In the body of the email, write:

OBID: [case number]

 

For example,

OBID: 888

  1. Send the email.

 

 

To upload a document to the database using the upload method:

  1. In the Documents tab, click the paperclip icon.
  2. Search for the document on your hard drive, select it, and click the “Insert” button.
  3. Click the “Save” button.

 

 

 

 

II. Black Menu Bar:

 

The black menu bar running along the top of the window contains several icons that may appear in certain cases.

 

 Linked Cases icon:

This icon may appear if you are looking at a case using the “Case Detail View”. It indicates that either the accused or the victim/survivor in the case may also have been a party in another case in the database.

 

If the Linked Cases icon appears, click on it. There are two sections: “Confirmed” and “Suggested.” The “Suggested” section lists cases in which a link is suspected. Once a user clicks the lock icon next to the case, the case will be moved to the “Confirmed” section.

 

 Overdue Task icon:

The Overdue Task icon appears if a task assigned to the user is overdue. Click on the icon to see a list of the overdue task(s). Click the Search icon to the right of the overdue task to visit the case that the task is associated with.

 

To view all tasks, go to the “Layout” drop-down menu and select “Show All Tasks.”

 

Orphaned Email icon:

Emails that are sent to osmrc-database-upload@uiowa.edu without a case number written into the body (in the form OBID: ###), will be stored in the Orphaned Email section. These need to be associated with a case.

 

To link orphaned emails to cases:

  1. Click the Orphaned Email icon.
  2. Read the email to determine the case it should be associated with (e.g. by finding the name of the recipient).
  3. In the “Layout” drop-down menu, select “Case Detail View.” Use the search function to find the case in question and note the case number.
  4. Click the Orphaned Email icon again to return to the email.
  5. At the top of the window, you will see the “Select a case” dropdown menu. Click on the menu and begin typing the correct case number.
  6. Once the case number has been selected, click the right-facing arrow in the upper-left corner of the window to see the next orphaned email.
  7. Repeat the process until all orphaned emails have been assigned.

 

 Download from Cloud icon:

Click on this icon to sync the database with emails that were sent to osmrc-database-upload@uiowa.edu

 

 

 

III. Dashboard:

 

The Dashboard was created to provide an overview of open cases. To get to the Dashboard, click on the “Layout” dropdown menu in the upper left of the screen and select “Dashboard.”

 

All Open Cases tab:

This list shows the case number, referred date, case name, and status of every case that is not resolved. Click the Search icon to go to any case on the list.

 

Assignee tab:

This list shows the case number, referred date, case name, and assigned response team member of every case. Use the drop-down list to select a response team Click the Search icon to go to any case on the list.

 

Status tab:

This list shows the case number, referred date, case name, and status of every case. Use the drop-down list to select a status type. Click the Search icon to go to any case on the list.

 

Statistics:

The statistics on the Dashboard display the number of new cases this year to date, last year, this month to date, and last month. The pie chart displays cases based on their status.

 

IV. Searching

Instructions for creating filters

Not all information is available

  • Athletics information in Party only available from June 1, 2016. All records created earlier than that do not have the correct athletics information in Party
  • REACH information in Party only available from June 3, 2016. All records created earlier than that do not have the correct REACH information in Party

 

 

PART III: APPENDIX

I. Incident types: definitions

 

Sexual harassment

  • Sexual misconduct involving students: Sexual harassment is a form of discrimination that includes verbal, written, or physical behavior of a sexual nature, directed at an individual, or against a particular group, because of that person's or group's gender, or based on gender stereotypes or manifestation, when that behavior is unwelcome and meets either of the following criteria:
    • (1) Submission or consent to the behavior is believed to carry consequences for another person's education, employment, on-campus living environment, or participation in a University program or activity. Examples of this type of sexual harassment include:
      • (a) pressuring a student to engage in sexual behavior for some educational or employment benefit; or
      • (b) making a real or perceived threat that rejecting sexual behavior will carry a negative consequence for the student in education, on-campus residence, or University program or activity.

    • (2) The behavior has the effect of limiting or denying another person's work or educational performance or creating an intimidating, hostile, or demeaning environment for employment, education, on-campus living, or participation in a University program or activity. Examples of this type of sexual harassment can include:
      • (a) persistent unwelcomed efforts to develop a romantic or sexual relationship;
      • (b) unwelcome commentary about an individual's body or sexual activities; 

      • (c) repeated unwanted sexual attention;
      • 
(d) repeated and unwelcome sexually-oriented teasing, joking, or flirting; 

      • (e) verbal abuse of a sexual nature.

    • Comments or communications could be verbal, written, or electronic. Behavior does not need to be directed at or to a specific student, but rather may be generalized unwelcomed and unnecessary comments based on sex or gender stereotypes.
    • Determination of whether alleged conduct constitutes sexual harassment requires consideration of all the circumstances, including the context in which the alleged incidents occurred.
  • Sexual harassment policy: For purposes of this policy, "sexual harassment" means persistent, repetitive, or egregious conduct directed at a specific individual or group of individuals that a reasonable person would interpret, in the full context in which the conduct occurs, as harassment of a sexual nature, when:
    • (a) Submission to such conduct is made or threatened to be made explicitly or implicitly a term or condition of employment, education, on-campus living environment, or participation in a University activity; or
    • (b) Submission to or rejection of such conduct is used or threatened to be used as a basis for a decision affecting employment, education, on-campus living environment, or participation in a University activity; or 

    • (c) Such conduct has the purpose or effect of unreasonably interfering with work or educational performance, or of creating an intimidating or hostile environment for employment, education, on-campus living, or participation in a University activity. 

  • (2) Evidence of sexual harassment. Behavior that may constitute, or be evidence of, prohibited sexual harassment includes, but is not limited to, the following:
    • (a) Physical assault;
    • (b) Direct or implied threats that submission to sexual advances will be a condition of, or that failure to submit to such advances will adversely affect, employment, work status, promotion, grades, letters of recommendation, or participation in a University activity;
    • 
(c) Direct propositions of a sexual nature or persistent unwelcomed efforts to pursue a romantic or sexual relationship, including subtle pressure for sexual activity, an element of which may be repeated staring; 

    • (d) A pattern of unwelcomed sexually explicit gestures, statements, questions, jokes, or anecdotes, whether made physically, orally, in writing, or through electronic media;
    • 
(e) A pattern of unwelcomed conduct involving: 

      • (i) Unnecessary touching;
      • (ii) Remarks of a sexual nature about a person's clothing or body; 

      • (iii) Remarks relating to sexual activity or speculations concerning previous sexual experience;
    • (f) A display of graphic sexual material (not legitimately related to the subject matter of a course, if one is involved, or to job requirements) in a context where others are not free to avoid the display because of an employment or educational requirement or without surrendering a privilege or opportunity that others may reasonably expect to enjoy in that location.

Sexual assault

  • Sexual assault is a form of sexual misconduct and represents a continuum of conduct from forcible intercourse to nonphysical forms of pressure that compel individuals to engage in sexual activity against their will. 
Examples of sexual assault under this policy include, but are not limited to, the following behaviors, however slight, when consent is not present:

    • (1) sexual intercourse (anal, oral, or vaginal). Intercourse, however slight, meaning vaginal penetration by a penis, object, tongue, or finger; anal penetration by a penis, object, tongue, or finger; or oral copulation (mouth to genital contact or genital to mouth contact);
    • (2) attempted sexual intercourse (anal, oral, or vaginal);

    • (3) intentional contact with the breasts, buttocks, groin, or genitals, or touching another with any of these body parts, or making another touch you or themselves with or on any of these body parts;

    • (4) any other intentional unwanted bodily contact of a sexual nature; 

    • (5) use of coercion, manipulation, or force to make someone else engage in sexual touching, including breasts, chest, and buttocks; 


(6) engaging in sexual activity with a person who is incapacitated and unable to provide consent due to the influence of drugs, alcohol, or other mental or physical condition (e.g., asleep or unconscious)

Sexual intimidation

  • Sexual intimidation involves:
    •  threatening another person that you will commit a sex act against them;
    • engaging in indecent exposure;

Sexual exploitation

  • Sexual exploitation involves taking nonconsensual, unjust, or abusive sexual advantage of another person. Examples can include, but are not limited to the following behaviors:
    • electronically recording, photographing, or transmitting intimate or sexual utterances, sounds, or images without the knowledge and consent of all parties involved;
    • voyeurism (spying on others who are in intimate or sexual situations);
    • distributing intimate or sexual information about another person without that person's consent;
    • prostituting or trafficking another person.

 

Stalking

  • Stalking is a course of conduct directed at a specific person that would cause a reasonable person to feel fear.
 Examples of prohibited stalking can include but are not limited to:

    • (a) Nonconsensual repeated communication including in-person communication, telephone calls, voice messages, text messages, email messages, social networking site postings, instant messages, postings of pictures or information on web sites, written letters, gifts, ordering goods or services, or any other communications that are undesired;
    • (b) Following, pursuing, waiting, or showing up uninvited at a workplace, place of residence, classroom, or other locations frequented by a recipient of unwelcome conduct; 

    • (c) Monitoring online activities, surveillance and other types of observation, whether by physical proximity or electronic means, attempts to gather information about the recipient of unwelcome conduct;

    • (d) Vandalism, including attacks on data and equipment; 

    • (e) Direct physical and/or verbal threats against a recipient of unwelcome conduct or loved ones of a recipient of unwelcome conduct, including animal abuse; 

    • (f) Gathering of information about a recipient of unwelcome conduct from family, friends, coworkers, and/or classmates; 

    • (g) Manipulative and controlling behaviors such as threats to harm oneself, or threats to harm someone close to the recipient of unwelcome conduct;
    • 
(h) Defamation or slander against the recipient of unwelcome conduct; posting false information about the recipient of unwelcome conduct; posing as the complainant in order to post to web sites, news groups, blogs, or other sites that allow public contributions; and/or encouraging others to harass the recipient of unwelcome conduct;

    • (i) Posing as someone other than oneself to initiate transactions, financial credit, loans, or other contractual agreements;
    • 
(j) Arranging to meet the recipient of unwelcome conduct under false pretenses.


 

Domestic violence

Domestic/dating violence is coercive, abusive, and/or threatening behavior aimed at gaining power and control over a current or former intimate or romantic partner.  These behaviors may include physical, sexual, emotional, economic, or psychological actions or threats of actions that intimidate, manipulate, humiliate, isolate, frighten, terrorize, coerce, threaten, or injure the victim/survivor. The existence of such a relationship will be determined based on a consideration of the following factors: 1) the length of the relationship, 2) the type of relationship 3) the frequency of interaction between the persons involved in the relationship.

 

Domestic violence, as opposed to dating violence, is selected if the partners are in an intimate/romantic relationship and are married, divorced, or separated; live together or have lived together; or have a child together.

Dating violence

Domestic/dating violence is coercive, abusive, and/or threatening behavior aimed at gaining power and control over a current or former intimate or romantic partner.  These behaviors may include physical, sexual, emotional, economic, or psychological actions or threats of actions that intimidate, manipulate, humiliate, isolate, frighten, terrorize, coerce, threaten, or injure the victim/survivor. The existence of such a relationship will be determined based on a consideration of the following factors: 1) the length of the relationship, 2) the type of relationship 3) the frequency of interaction between the persons involved in the relationship.

 

Dating violence, as opposed to domestic violence, is selected if the partners are in an intimate/romantic relationship but are not (and have never been) married, do not and have never lived together, and do not have a child together.

 

Retaliation

"Retaliation" means any materially adverse action or credible threat of a materially adverse action by the University, or member thereof, taken against any faculty member, staff member, or student for having made a good-faith report of University-related misconduct, or taken to deter such a report in the future, or taken against another covered individual because of a close association with someone who has made or may make such a report.

No contact directive concern

This category is used when we receive a report that someone has broken an administrative no-contact directive

Suspicious activity

  • This category is used for cases in which it isn’t clear what happened in the report. For example, if two people are heard arguing but there is no evidence that the incident is one of dating/domestic violence, we would choose this category.
  • This category is also used for cases involving threats or harassment that are not of a sexual nature.

At any point, we might receive more information that would cause us to change an incident type from “suspicious activity” to another category.

Witness to incident/crime

  • This category is used for reports in which the victim/survivor has been impacted as a result of witnessing an incident or crime.

Consensual relationship

  • A policy violation involving a romantic and/or sexual relationship between an instructor and a student in an instructional context. At this time, incidents involving consensual relationships may not be reported consistently to our office unless they also involve another type of sexual misconduct (e.g. sexual harassment following the end of such a relationship).

 

 

 

II. Outcomes: definitions

 

1 on 1 conversation (with details)

Respondent/accused is confronted with reported concern and counseled on future expectations.  May or may not include sharing of the complainant’s name.

1 on 1 conversation (without details)

Respondent/accused is told generally about reported concern and counseled on future expectations.

Apology letter

Written by respondent/accused to the direct victim or organization impacted by respondent’s behavior.  Letter must take responsibility for behavior and demonstrate a commitment not to repeat the behavior in the future

Building prohibition

Respondent/accused restricted from entering a specific building or buildings (i.e residence hall) or movement in a building is limited to a particular floor and/or entrance.

Bystander course

Required to attend or host a bystander-training program provided by an approved (by sanctioning body) instructor

Campus prohibition

Restricted from entering campus property (exceptions may exist to attend medical appointments)

Counseling mandate

Required to attend counseling by a licensed provider, usually with specific outcomes requested to be documented by provider and sent to sanctioning body.

Counseling recommendation

Recommendation by sanctioning body to attend counseling with a licensed provider, usually with specific outcomes suggested (i.e. reflect on inappropriate use of substances to cope)

Demotion

Reduction in employee’s rank or job title within organizational hierarchy; may lead to loss of other privileges associated with a more senior rank, reduction in salary or benefits.

Disciplinary probation

A written admonishment for a violation of specified regulations. With respect to the non-academic disciplinary system, a student on disciplinary probation is not considered to be in good standing for a designated period of time. If the student is found to violate any institutional regulation(s) during the probationary period, more severe disciplinary sanctions may be imposed. Once the designated period of time has elapsed, the student will be considered in good standing; however, a record of the sanction will be kept in the Office of the Dean of Students.

Education mandate

The respondent is required to attend policy education with UI provider.

Event exclusion

The respondent is banned from attending a specific event or events sponsored by a specific student organization or department.

Expulsion

The student is permanently separated from the University.

Group education

A department/organization is required to have more training on issues related to policy expectations or awareness raising or bystander skill-building.

Housing contract cancellation

The respondent is no longer able to live/dine on campus for a specific period of time or permanently.

Housing transfer

The respondent is moved to a University housing unit to mitigate interaction with the complainant or victim/survivor.

Judgment deferred

No finding of responsibility, the investigator postpones judgment and gives the accused a probationary period to prove they won’t have future problems, at the end of the probationary period the complaint is dismissed.

Referred

Case was referred to another office

Respondent left the UI, case not resolved

No finding issued

No action requested & required

The victim/survivor has requested that no action be taken.

No classes/student orgs in common

An individual is not permitted to enroll in the same classes or join the same student organizations as the victim/survivor.

No contact directive

An individual is directed not to initiate contact with another party in person, in writing, through a third party, through phone or social media.  There may be a specific direction as to the number of feet the individual is to stay away from the other party.  Such prohibition may be in effect for a specific or an indefinite period of time.

No jurisdiction

Policy does not apply because of location of the incident, because of the identity of one or both parties, because there is no connection to the workplace or learning environment.

No policy violation

Unfounded complaint

Not enough information

Not enough information is known about the incident to take action

Policy violation

An investigation has determined that a policy was violated

Reflection paper

A respondent is assigned to write about the impact of their behavior on the victim-survivor, the importance of policy or laws to a community, and/or identify attitude and behavior change plan.

Registration hold placed

A notation is placed on the individual’s registration that will not permit him/her to enroll without meeting certain conditions.

Reprimand

Formal letter or verbal reprimand from a decision maker stating concern about behavior and explicitly defining expectations for future behavior and/or a corrective plan.  Letter is kept as part of official record or student or employee.

Responsibilities modified

An individual’s work or teaching responsibilities are modified to prevent recurrence of similar incidents.

Substance Abuse Assessment

Respondent/accused is required to undergo a substance abuse evaluation with a licensed or approved provider and to share the outcome of the assessment with the decision maker.

Suspension

A person may be involuntarily separated from the University for a period of time after which readmission is possible. Conditions for return may be specified. The Dean of Students may be required to approve any request for readmission

Suspension in abeyance

Respondent is found responsible, the sanction does not go into effect as long as the student complies with all requirements during the interim period

Termination

Employee is terminated from employment and may or may not be eligible for re-hire.

Terminated for other policy violation

Employee is terminated from employment for violating a policy other than the Sexual Harassment Policy

Urinalysis test checking

Required urine testing to determine if respondent is remaining drug-free

Voluntary separation

Record reflects employee chose to leave employment of his/her own accord

Work prohibition

Not eligible to work in certain position (TA, patient care, etc.)

Work reassignment

Accused is assigned to a different work project, small group, or re-directed to complete alternate work tasks to mitigate future contact with the complainant or victim-survivor.  Respondent is transferred to another location, alternate job duties, or to a new reporting line.

Written warning

A progressive discipline step; summary of concerning behavior, of required steps to take to improve performance, and clear expectations if improvement is not met.

 

 

 

III. Status types: definitions

 

New report

The report has been entered into Moxie recently but no action has been taken yet. We should not have cases in this status for more than a couple days. If a report is in this status, there should also be a task created to prompt action.

Waiting for information/ response

Has multiple possible meanings, including: a report response letter has been sent to the victim/survivor and we’re waiting to hear back, or we are waiting for information from another office. Whenever this status is selected, there should be a task created to prompt follow-up action.

Investigating

A formal investigation has commenced, and either EOD or DOS is in the process of investigating the case.

Appeal window

A formal investigation has been completed and a finding has been issued. After a finding has been issued, both the victim/survivor and the accused have 10 working days to appeal. When this status is selected, a task should be created to prompt a change of status when the appeal window has closed.

Hearing

A formal investigation has been completed, and the finding of the investigation was that a policy was violated and a suspension or expulsion is warranted; the accused student has disputed the charges, and a hearing has been ordered. (See flowchart: http://dos.uiowa.edu/assets/Judicial-Flowchart-FINAL.pdf)

Safety and support only

We are actively working to support the victim/survivor.

Resolved

The case is closed and we are no longer taking action on it.

Edit…

A new status can be created by clicking here. This should not be done often, and should only happen after discussion and agreement with the rest of the office.

 

 

 

IV. UI Checklist for Weighing Request for Privacy vs. Obligation to Act

 

 

  • Are there previous reports of sexual or other violence by the same accused?

 

  • Is there prior history of arrests or violence by accused?

(Juvenile record, prior school, criminal arrest)

 

  • Has the accused threatened further sexual violence or other violence against the victim or other(s)?

 

  • Did multiple perpetrators commit the sexual violence?

 

  • Was the sexual violence perpetrated with a weapon?

 

  • Is the victim/survivor a minor or dependent adult/under guardianship?

 

  • Does the University possess other means to obtain relevant evidence of the sexual violence  (e.g. security cameras or personnel, physical injury)?

 

  • Does the victim/survivor’s report reveal a pattern of perpetration (e.g. via illicit use of drugs or alcohol) at a given location or by a particular group?

 

  • Did the accused block the victim/survivor’s airway?

 

  • Does the victim/survivor’s report reveal escalating predatory tactics (e.g. repeated attempts to connect with victim, providing illicit use of drugs or alcohol, isolating the victim from others) used by the accused?

 

The presence of one or more of these factors could prompt the University of Iowa to investigate and, if appropriate, pursue disciplinary action.  If none of these are present, the UI will likely respect the victim/survivor’s request for confidentiality.

 

 

V. Template for report response email (updated 8/14/2015)

 

Hi ___,

 

My name is (Monique DiCarlo or Sara Feldmann).  My role on campus includes reaching out to individuals who may be impacted by sexual misconduct.  I received information from ____________ describing _______________________________________________.  I’m sorry you had this experience and want to ensure you are linked with supportive resources and are aware of options for addressing concerns you may have.

 

I typically meet with (students or employees) in situations like this to:

·      Better understand and help to address an individual's needs or concerns through accommodations or other measures (i.e. related to safety or privacy, missed classes or deadlines, academic or housing commitments, etc.)

·      Describe and facilitate complaints and explore options for resolution under university policies and through law enforcement.  It is not necessary to make a complaint to request other assistance.

·      Talk about resources for confidential support, which can also be explored here: http://osmrc.uiowa.edu/victim-resources/confidential-support

·      Explain the rights of a person harmed and the university's obligations (when the university must take action, and what that might look like)

 

I’d like to meet with you at your earliest convenience.  I look forward to hearing from you.  

 

Thank you,

 

 

 

VI. Template for reluctant victim letter (updated 9/1/2015)

 

Hi ______,

 

I hope things are going well for you.  I understand you aren’t interested right now in making a complaint.  Please let me know if I’m mistaken or if you change your mind.  It is my responsibility to ensure you receive the following information.  I hope you will keep my contact information should you change your mind or have additional issues/needs come up as a result of this experience.  

 

Obligation to Investigate

The University may have an obligation to take action when there are reports of sexual misconduct (assault, harassment, stalking, dating violence).  This obligation depends on the information available.  If the Dean of Students Office obtains independent corroborating information of the incident(s) you reported, the Dean might determine it necessary to go forward with an investigation even if you choose not to be involved.  You will be notified if this occurs. 

 

Policies

The University investigative process aims to determine what actions took place and whether those actions constitute violations of University policies.   Should you wish to consider the administrative complaint option further, here are links to policies and the procedure that most frequently apply in situations involving sexual misconduct, dating/domestic violence, and stalking.

·      Sexual Misconduct, Dating/Domestic Violence, or Stalking Policy Involving Students

·      Anti-retaliation Policy

·      Code of Student Life

·      Student Judicial Procedure

 

You Can Change Your Mind

At this time you may choose not to pursue or participate in disciplinary action through the University, but it’s important that you know you can change your mind.  However, the longer the period of time elapsed from the time of the incident, the more difficult it may be to obtain information as individuals graduate or leave school and physical evidence is no longer obtainable.  This does not mean that a successful outcome is impossible.

 

Confidential Resources

It is important that you are aware of your rights and opportunities for support and assistance.  Resources are available on and off campus, as described here.  

 

Accommodations

If you need additional support during this time in the form of counseling, alternative housing, or academic accommodations, please contact our office at (319) 335-6200 or email me at sara-feldmann@uiowa.edu.

 

University Police

You are encouraged to file a report with the University police, who are located at 808 University Capitol Centre (200 S. Capitol St, Iowa City, IA 52242), their phone number is (319) 335-5022.  The police may conduct an investigation based on potential criminal activity related to the situation reported.  You may also choose to initiate an independent legal action for damages against the accused.  You will need to obtain legal counsel for this action.

 

Clery Act Crime Reporting

I may be required to document this report for general Clery Act statistics.  There will be no personally identifying information about you shared for this report.  You will remain anonymous.

 

I’m happy to meet with you again to discuss the University's responsibilities, your options, and the available resources.  Or you may choose to discuss these details in confidence with a certified victim advocate at (319) 335-6000.

 

Sincerely,

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

VII. Case work conventions

 

Creating new cases:

These conventions were developed in order to balance the need for ease in managing cases with the need for clear reporting abilities.

  • Multiple incidents reported involving the same parties:
    • If a new incident is reported involving two parties that already have a case created, and the incident occurred in the same calendar year as the previous case, enter that as a new incident in the same case. Do not create a new case.
      • Reasoning: multiple case files increase the chances of making a mistake, missing information, or filing information in the wrong place
      • After the case is resolved, the incidents may need to be broken into separate case files for reporting purposes. If this is needed, document that it happened in the “Notes” section
      • Example: Case 1427
      • Example: Case 1320
    • If a new incident is reported involving two parties that already have a case created, and the incident occurred in a new calendar year, create a new case for that incident. Ensure that the cases are linked, and write a note if necessary.
      • Reasoning: we report data on the calendar year, so if new incidents are folded into old cases they may not be reported. We decided it was worth the potential case management trouble to keep cases separate for reporting purposes
      • Example: Cases 677, 788, and 1091
      • Example: Cases 887 and 1075

 

Incident type definitions:

For reporting purposes, and for case management purposes, we have created standards for choosing the incident type in a case. The end goal is for our incident types to reflect as closely as possible the work we have done in the case.

  • When a new report comes in, we enter the incident type based on the information available in the incident description.
    • If the reporting party labels the incident using one of our incident categories, but there is no evidence in the incident description of that happening, follow up for more information. For example, if an RA describes an incident in the Maxient summary as a sexual assault, but the Maxient incident description narrative does not contain any information about a sexual assault, contact the RA for more information.
    • An incident may be labeled as multiple incident types in cases involving dating/domestic violence and stalking, because these are patterns of behavior. For example, a sexual assault in the context of an abusive dating relationship might include the incident types “sexual assault” and “dating violence.”
    • Aim to use the most specific incident type definition possible. Sexual harassment is the incident type with the broadest definition, so almost any incident reported to our office might also be considered sexual harassment. It is not necessary to label all incidents as sexual harassment in addition to another incident type, if the other incident type more closely describes the behavior.
  • Update the incident type as new information comes in
    • If new information about an incident comes in during the response process that changes the incident type definition, update the incident type definition and document the change in the Notes section. For example, if the initial report seemed to describe ongoing sexual harassment, but the victim/survivor reported feeling afraid in a conversation with the investigator, the incident type would be updated from “sexual harassment” to “stalking,” and the justification for the change would be written in the notes.
    • If information about additional incidents comes in during the response process, those incidents should be added. For example, if the investigator learns about a sexual assault while investigating a dating violence case, then information about the sexual assault should be added to the incident types.
  • Incident type definitions and investigation findings
    • Investigation findings will contain a section listing the policies that are relevant to the investigator’s analysis. This is a helpful section for ensuring that no incident types were missed or need to be updated. However, keep in mind that the investigator will list every possible relevant policy and incident type for the purposes of analysis; the most specific incident type definition should still be used.
    • If the investigation finding is that no policy was violated, the incident type should remain unchanged and “no policy violation” should be entered as the outcome type. For example, if a sexual assault is investigated and the investigator determines that there is not enough evidence to demonstrate a lack of consent, the incident type would remain “sexual assault.” It would not be changed to “suspicious activity.” The reasoning behind this is that it is a more accurate record of the work done by our offices.

 

Recording Outcomes

Sometimes we have multiple reports come in at different times that involve the same responding party.

Examples:
Anthony Bryant (cases 710 and 718): both are formal, both list policy violation and NCD, other sanctions recorded only in case 718

Alec Cranford (cases 840, 1127, 1214): all are formal, all list policy violation and NCD, other sanctions recorded only in case 840

Tom Simmons (cases 1551 and 1556): both are formal, both list policy violation and NCD, other sanctions recorded only in 1551).

Thoughts: should the other cases be recorded as N/A, and only one be recorded as formal? Should the cases be collapsed into a single case to reflect a single investigation with multiple

 

 

Additional Outreach

  • Cases with investigations:
    • Use tasks to prompt 1-2 follow up emails after the investigation
    • One semester after investigation is complete, check grades and check in. Repeat next semester.
  • “Safety and support only” cases:
  • Use tasks to prompt check-in at beginning and end of each semester

 

 

This project was supported by Grant No. 2011-WA-AX-0003 awarded by the Office on Violence Against Women, U.S. Department of Justice. The opinions, findings, conclusions, and recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the Department of Justice, Office on Violence Against Women.