OSA Code Procedures Section 19: Dismissal of a Formal Complaint

The Director may dismiss a Formal Complaint and close a case at any stage of proceedings where the Director determines:
  • the subject matter of the complaint or the individual against whom the complaint has been filed are not subject to the University’s jurisdiction under these procedures; or,
  • the facts set forth in the Formal Complaint do not constitute prohibited conduct under the Code; or,
  • the Complainant fails or refuses to cooperate with the investigation such that the investigator is materially hindered in their ability to investigate, including where the Complainant cannot be located, the Complainant fails or refuses to be available for interviews or meetings, or the Complainant fails to provide necessary information; or,
  • the investigator concludes, after appropriate investigation, that a Hearing Panel would not have a reasonable factual basis on which to find that the Respondent committed the prohibited conduct alleged.

If the Director determines that a Formal Complaint should be dismissed, the Director will provide the Complainant with a written decision explaining the reasons for the dismissal and notify the Complainant of the dismissal. The Complainant may ask the Hearing Panel to review the Director’s decision to dismiss. Such review must be requested within ten (10) business days in the form of a letter explaining why the dismissal is erroneous, and shall include any written evidence in support of the Complainant’s position. The materials are to be submitted to the Director, who will forward them to the Hearing Panel and the Panel Chair.

The Director will also notify the Respondent that a request for review has been filed and provide a copy of the Complainant’s letter and any supporting materials to the Respondent. The Respondent may respond in writing to the Complainant’s request for review of the dismissal in a letter to the Hearing panel no later than ten (10) business days from the date of such notification.

The Panel Chair, in consultation with the Hearing Panel, will establish a reasonable process and timeline for handling the matter. The Hearing Panel may review the matter absent a hearing and based solely upon the written materials prepared, including the Director’s reasons underlying the decision to dismiss. The Panel Chair may request a hearing on the respective oral positions of the parties only where the Panel Chair feels it is necessary in advance of a Board decision. The Hearing Panel shall not disturb the Director’s decision by substituting its own judgment for the judgment of the Director unless the Hearing Panel determines that the dismissal was clearly in error. If the Hearing Panel determines that the dismissal was clearly erroneous, the Formal Complaint will be reinstated and resolved according to these procedures without further appeal of the decision to reinstate. If the Hearing Panel determines that the dismissal was not clearly erroneous, it will affirm the dismissal, which action is final and not subject to further review.

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