4? It calf-Tia?? f? ?53 3% UNITED STATES DEPA RTMENT OF EDUCATION REGION v1 (tiara If Eli-?t: - f3 OFFICE FOR CIVIL RIGHTS ARKANSAS will .1. LOUISIANA 39% 1999 BRYAN ST. SUITE 162D DALLAS. TX 75201-6810 February 18, 2016 Dr. Edward B. Burger, President Southwestern University 100] E. University Avenue Georgetown, TX 78626 OCR Docket 06152316 Dear Dr. Burger: The U.S. Department of Education (Department), Office for Civil Rights (OCR), Dallas of?ce, has completed its evaluation of the above-referenced complaint against Southwestern University (SU), Georgetown, Texas, which was received in our office on April 30, 2015. The complainant alleged that on 13311015) I the recipient failed to provide an impartial grievance hearing in response to her client?s (the Student?s) complaint of sexual assault. OCR is responsible for determining whether organizations or entities that receive or benefit from Federal financial assistance, either from the Department or an agency that has delegated investigative authority to the Department (recipients), are in compliance with Title IX of the Education Amendments of 1972 (Title IX), 20 U.S.C. 1681 et seq., and its implementing regulations at 34 CPR. Part 106, which prohibit discrimination on the basis of sex. SU is a recipient of Federal financial assistance from the Department. Therefore, OCR has jurisdiction to process this complaint for resolution under Title 1X. Because OCR has determined that it has jurisdiction and that the complaint was filed timely, it is opening the allegation. Please note that opening an investigation pertaining to this allegation in no way implies that OCR has made a determination with regard to its merit. During the investigation, OCR is a neutral fact-finder, collecting and analyzing relevant evidence from the complainant, the recipient, and other sources, as appropriate. OCR will ensure that its investigation is legally sufficient and is dispositive of the allegation, in accordance with the provisions of Article 111 of Case Processing Manual. OCR will investigate the legal issues of whether: 1) SU provided prompt and equitable response to complaints, reports, audior other incidents of sexual harassment or sexual violence, of which it had notice (knew or should have known about) (including the Student?s complaint),a 5 required by the Title IX implementing regulation at 34 C.F.R. ??106.8, 106.9 and 106.31; and 2) any failure by $1.1 to provide a prompt and equitable response allowed the Student or other students (to continue) to be subjected to a sexually Thu offduratimtfs mission is to protrude .stmh'nt and roughide c'c?lntpi with Win us by fostering mfumtionai excellent? and ensuring equal across. .?Ll .30 Page 2 Dr. Edward B. Burger, President {061523 hostile environment that denied or limited students? ability to participate in or bene?t from programs. in violation of the Title IX implementing regulation at 34 C.F.R. ??106.8 and 106.31. For your information, a copy of the relevant regulation (Title 34 of the Code of Federal Regulations Part 106) is available upon request. Section 100.6(c) of Title 34 of the Code of Federal Regulations stipulates that each recipient of Federal ?nancial assistance shall permit access to pertinent sources of information to responsible Department of?cials or designees. Enclosed is an initial data request, which is required in assisting our efforts to ascertain compliance with the regulations enforced by OCR. Please provide the requested information to OCR within 15 calendar days of the date of this letter. This request may be supplemented through interviews with SU personnel or any witnesses who may have knowledge of the issue, and if necessary. additional data requests from SU as the complaint investigation progresses. After reviewing this information or any additional information, OCR will determine whether an on?site investigation is warranted. If so. you will be contacted to arrange a mutually convenient date. Complaints may be resolved before the conclusion of an investigation if the institution that is the subject of the complaint (recipient) expresses an interest in resolving the complaint. This process is voluntary and must be requested by the recipient. The Of?ce Director or designee must determine that it is appropriate to resolve the complaint during the course of an investigation. If the voluntary resolution process has been determined appropriate. OCR will immediately notify the complainant of the recipient?s interest in resolving the complaint and will keep the complainant informed throughout all stages of this resolution process. The resolution agreement is negotiated between OCR and the recipient. The provisions of the resolution agreement will be aligned with the complaint allegations or the information obtained during the investigation. and will be consistent with applicable regulations, and a copy of the signed resolution agreement will be included with the resolution letter. OCR will then monitor the implementation of the resolution agreement. Please be advised that the SU may not harass, coerce, intimidate. or discriminate against any individual because he or she has ?led a complaint or participated in the complaint resolution process. If this happens, the complainant may ?le another complaint allegation such treatment. Under the Freedom of Information Act, it may be necessary to release this document and related correSpondence and records upon request. In the event that OCR receives such a request. it will seek to protect, to the extent provided by law, personally identi?able information, which, if released, could reasonably be expected to constitute an unwarranted invasion of personal privacy. Please notify OCR of the name, address, and telephone number of the person who will serve as the University?s contact person during the resolution of this complaint. We Page 3 - Dr. Edward 3. Burger, President [061523 would like to talk with this person as soon as possible regarding the information requested in this letter. In addition, OCR may need to request additional information and interview pertinent personnel. if an on-sitc visit is determined to be necessary, you will be contacted to schedule a mutuall}r convenient time for the visit. Ifyou have any questions regarding this letter. please contact Kimone Paley, Investigator (214) 661-9644 or me. Terri Gonzales (214) 661-9687. Sincerely, errt Gonzales Supervisory Attorney/Team Leader Of?ce for Civil Rights Dallas Of?ce Page 4 Dr. Edward B. Burger, President (06152316) DATA REQUEST Southwestern University OCR Docket 06152316 facilitate the resolution of this complaint, OCR requests that you send the following information to OCR within 15 calendar days of the date of this letter. You may mail information to the address in the enclosed letter, fax information to (214) 661-9587. or email information to Investigator, Kimono Paley at I Also, please provide the following information and documents for the academic years 2012-13, 2013- 2014, 2014-2015. and to date. Please note that in this request. the term "correspondence" includes, but is not iimited to. e-tnoii, meeting notes. interviews. notes ofteiephone conversations. and oil related memorandrt. In each instance where a policy is requested but a written policy on the matter at issue does not exist. provide instead on explanation ofthe University 's usual practice. 1. A copy ofthc following University policies, procedures, and documents that have been in effect at any time from fall 2012 to the present. To the extent that these documents are available on the University?s website, an link is suf?cient. a. Title IX policies and procedures regarding discrimination based on sex and. ifdifferent. policies regarding sexual harassment and sexual violence. b. Grievance procedures for complaints and other avenues for reporting alleged sex discrimination. and if different, sexual harassment and sexual violence. If the University has different procedures depending on whether complaints are against students. faculty or staff. provide all procedures. c. The Student, Staff and Faculty Codes of Conduct and any other document(s) that contain the University?s policies and procedures regarding student, staff and faculty behavior and discipline, including procedures for determining whether the University will impose sanctions for sexual harassment and sexual violence. d. Student. staff and faculty handbooks. e. ?lhe University?s nondiscrimination statement. 2. Explain how the University?s policies regarding sexual harassment and sexual violence are (or have been) distributed and publicized to University students. faculty and staff. and any other means the University uses (or has used} to notify students. faculty and staff about how to ?le a complaint of sexual harassment and sexual violence or other discrimination based on sex. Please include documentation or web links that support this response, including but not limited to brochures. distributed flyers. newspaper or web articles. and orientation materials. 3. For each grievance procedure or complaint process procedure offered to students and used by the University to address sexual harassment and sexual violence or other sex discrimination complaints, if not indicated in the policy or procedure, Page 5 Dr. Edward B. Burger, President (06152316) identi?tr the name and title of each individual, including University police. administrators, staff and students that are responsible for accepting, investigating, deciding or otherwise resolving complaints. Identify any other of?ces or departments with any responsibility for responding to reports of sexual harassment and violence, and any other offices or departments to which students typically report such conduct. 4. Identify the University?s Title IX coordinator (or coordinators) for the years stated above. including the person?s name and job title, and the dates each person held this position. 5. Provide a spreadsheet of all student complaints or reports of sexual harassment and sexual violence or retaliation or intimidation in relation to a complaint or report of sexual harassment or sexual violence, that have been brought to the University?s attention (formally or informally) for the time period indicated above. Include copies of anonymous complaints/reports. For each complaint identi?ed, please provide the information below with the dates for each step of the process: a. The name. or unique identi?er, and sex of the student who made the report or complaint. b. The name or unique identi?er. sex and position student, faculty, staff} of the individual against whom the complaint was ?led. c. The date each complaint or report was made, the date the investigation (if any} was started, the date the investigation was completed, the date any hearing was convened, date the ?nal decision was issued, and a description and date of any other step in the process. d. The type of report or complaint ?led, formal or informal. e. The allegation(s) made in the report or complaint including whether it alleged sexual harassment, sexual assault or sexual violence, and whether the incident(s) described in the complaint occurred on or off campus. If off campus, indicate the location, whether the location was hosted or sponsored by the University and whether the location was owned or leased by the University. f. The title of the University of?ce or name of University staff member where the report or complaint was filed (campus police, student services. academic dean, counselor, etc}. g. Indicate whether the complaint was investigated. If yes, provide the name and title of the University of?cial or staff member who investigated the complaint. If no, indicate why not. Page 6 10. ll. 12. Dr. Edward B. Burger, President (06152316) h. If the complaint was investigated, provide a copy of all investigative reports. ?ndings or other documents that describe the outcome and resolution, including a description of all the remedies and sanctions resulting from the decision. Describe how complaints of alleged sexual harassment and violence are communicated to the Title IX of?ce- Which classi?cations of does the University consider mandatory reporters? How do mandatory reporters document and relay complaints of sexual harassment/violence to the Title IX of?ce? Explain how the University handles requests for con?dentiality regarding complaints of sexual assault or harassment. A copy of any memorandum of understanding between the University, the University police department andfor the Georgetown police department related to protocols that are followed regarding the handling of sexual violence complaints. Unless stated in the MOU. explain how the University handles criminal complaints and the effect of criminal complaints on the Title IX investigative process Identify by name and title any University designated contact points for criminal investigations of campus sexual violence. Describe the process for communications with the local prosecutor about the status of criminal investigations and decisions to proceed or decline prosecution. Provide a detailed description of training provided to University faculty and staff since fall 2012 covering the topics of sexual harassment and sexual violence or other discrimination based on sex- Include the date(s) provided and the names, titles. and quali?cations of the person(s) who provided the training(s); and lists of attendees and their positions. Provide copies of any material provided during the training including power point slides. Provide a detailed description of training and information sessions for students (including freshmen orientation) since fall 2012 covering the tepics of sexual harassment and sexual violence or other discrimination based on sex. Include the dates the training was provided and the names, titles. and quali?cations of the person(s) who provided the training(s). Provide copies of any material provided during the training. Provide a detailed description of training provided to individuals responsible for investigating complaints of sexual harassment and sexual violence and to members of any committees or boards that hear or decide complaints on sexual harassment and sexual violence, including bodies that decide sanctions. Include the datets) provided and the names, titles, and quali?cations of the person(s) who Page 7 - 13. 14. 15. 16. 17. 18. 19. 20. Dr. Edward B. Burger. President {061523 I6) provided the training(s); and lists of attendees and their positions. Provide copies of any material provided during the training including power point slides. A copy of any: internal or external assessments of the adequacy or effectiveness of the University?s policies and procedures concerning sexual harassment and sexual violence; and internal or external recommendations made to the University since fall 2012 regarding changes to its policy and procedures for responding to or investigating complaints of sexual harassment and sexual violence- If any such assessments were conducted in accordance with Item 13, please provide a narrative response as to whether the University made any changes to its policies and procedures in response to such reports andfor recommendations. If the University has conducted any climate surveys or self-assessments, or otherwise collected data on or monitored sexual violence, provide a copy of the tool used. the results, any analysis of the results, and a description of any action the University took in response. Describe any proactive efforts by the University to prevent sexual assault or sexual harassment, as well as any resources the University provides to students, staff and faculty, including complainants and accused students or persons. Explain how the University communicates with staff about its outreach efforts to educate students and staff about sexual assault or sexual harassment, such as through publications or websites. Copies of all correspondence between the University and the complainant and respondent, informing them of the status of an informal or formal process, the results of any investigation. the outcome of any disciplinary proceeding, and if an appeal has been ?led, the noti?cation to either party of the opportunity to provide input on an appeal. Indicate whether a hearing was conducted in connection with the complaint to the University that is the subject of this OCR complaint. If a hearing was conducted, indicate which process was used and the names and titles of all persons who participated in the hearing and decision making; provide a copy of the hearing decision, report or other documents describing the hearing decision, including all documents describing the remedies and sanctions that resulted from the decision. Indicate whether an appeal was ?led regarding the complaint to the University that is the subject of this OCR complaint. and, if so, by whom. If yes, provide a copy of the appeal procedure, identify the staff person responsible for deciding the appeal. and provide a copy of the appeal decision or outcome. Any other information the University believes would be helpful in resolving this matter.