UNITED STATES DEPARTMENT OF EDUCATION
OFFICE FOR CIVIL RIGHTS, REGION I
5 POST OFFICE SQUARE, 8 1h FLOOR
BOSTON, MASSACHUSETTS 02109-3921

APR17 2017

(b)(6) ; (b)(7(C)

Re:

Complaint No. Ol- 16-2 149
H.arvard University - Faculty of Arts & Sciences

Dea,f b)(6); (b)(7(C)
The lJ .S. Department of Education, Office for Civil Rights (OCR) has evaluated the abovereferenced complaint that you filed against Harvard University's (University' s) Graduate School
of Arts and Sciences in which you allege discrimination on the basis of sex. S ecificalJ ,, ou
that the University failed to promptly and equitably respond to your repor CbX6); (b)( 7(c )
of sexual assau lt by another student (Allegation 1). OCR has determine
at t 1s
allegation is appropriate for investigation. OCR has determined that it will also investigate
whether the University failed to respond promptly and equitably to reports and/or incidents of
sexual violence of which it had notice and whether as a result students were subjected to a
sexually hostile environment (Allegation 2).
OCR is responsible for enforcing Title IX of the Education Amendments of 1972 (Title IX), as
amended. 20 U.S.C. § 1681 el seq., and its implementing regulation at 34 C.F.R. Part 106, which
prohibit discrimination on the basis of sex in educational programs or activities receiving federal
financial assistance. The University is subject to Title IX because it is a recipient of federal
financial assistance from the U.S. Department of Education.
Because OCR has determined that it has jurisdiction and that the compla int was filed in a timely
manner. it is opening the allegations fo r investigation. Specifically, OCR will examine the
following issues:
•

Whether the University failed to respond promptly and equitably to complaints and
reports of sexual harassment, including sexual violence, by the Comp lainant and
others, and if so, whether the University perpetuated a sexually hostile environment,
in violation of34 C.F.R. §§ 106.8(b). 106.3 l (a) and (b);

•

Whether the University failed to adopt and publish grievance procedures providing
for prompt and equitable resolution of student and employee/personnel Title fX
complaints of sexual harassment, including sexual violence, in violation of 34 C.F.R.
§ I06.8(b):

 Page 2 of 2 -!

{b){5 ); {b){? {C)

!OCR Complaint No. 01-16-2149

•

Whether the University failed to designate a Title IX coordinator to coordinate its
efforts to comply with and cany out its responsibilities under Title IX, in violation of
34 C.F.R. § 106.8(a); and

•

Whether the University failed to implement, publish, and distribute a notice of nondiscrimination, in violation of 34 C.F.R. § 106.9.

OCR notes that it is currently investigating OCR Complaint Nos. 01-14-2158 and 01-15-2178,
involving Harvard College students, to determine the University's co1npliance with Title IX. In
accordance with OCR 's case processing procedures. OCR has determined that it is appropriate to
consolidate the investigation of this complaint (0 l-16-2149) with its ongoing investigation of
OCR Complaint Nos. 01-14-2158 and O1-15-2178, in which OCR is currently addressing similar
allegations under Title IX.
We have notified the University that we have opened Allegations 1 and 2 for investigation.
Please be advised that regulations enforced by OCR prohibit retaliation. Pursuant to the
regulations, no recipient or other person shall intimidate. threaten, coerce or discriminate against
any individual for the purpose of interfering with any right or privilege secured by regulations
enforced by OCR or because one has made a complaint, testified, assisted or participated in any
manner in an investigation, proceeding or hearing held in connection with a complaint. If this
happens, you may file another complaint alleging such treatment.
Under the Freedom of Infom1ationAct, 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 identifiable information that if released
could constitute an unwarranted invasion of personal privacy.
Should you have any questions, please contact Senior Attorney Emma Kim at (617) 289-0159 or
by e-mail at Emma.Kin1'd~.ed.gov. Please refer to Complaint Number 01-16-2149 in any
communications with OCR.
Sincerely,

Christine V. Colmey
Team Leader

 UNITED STATES DEPARTMENT OF EDUCATION
OFFICE FOR CIVIL RIGHTS, REGION I
5 POST OFFICE SQUARE, au,FLOOR
BOSTON, MASSACHUSETTS 02109-3921

Drew Gilpin Faust
President
Office of the President
Harvard University
Massachusetts 1--lall
Cambridge. MA 02138
Re:

APR
17 2017

Complaint No . 01-16-2149
Harvard University - Faculty of Arts & Sciences

Dear President Fausl:
The U.S. Depai1ment of Education. Ot1ice for Civil Rights (OCR) has received the abovereferenced complaint that was filed against Harvard University's (University's) Graduate School of
Arts and Sciences. The Complainant alleged that the University discriminated a ainst her on the
7CC)
basis of sex by failing to promptly and equitably respond to her report (b)( 6); CbX
sexual assault by another student (Allegation I). OCR has determine t 1at t 1s a egat10n............
is
appropriate for investigation. OCR will aJso investigate whether the University failed to respond
promptly and equitably to reports and/or incidents of sexual violence of which it had notice and
whether as a result students were subjected to a sexually hostile environment (Allegation 2).

'---------

OCR is responsible for enforcing Title IX of the Education Amendment s of 1972 (Title IX), as
amended, 20 U.S.C. § 1681 et seq., and its implementing regulation at 34 C.F.R. Part 106, which
prohibit discrimination on the basis of sex in educational programs or activities receiving federal
financial assistance . The University is subject to Title lX because it is a recipient of federal
financial assistance from the U.S. Department of Education.
Because OCR has determined that it has jurisdiction and that the complaint was filed in a timely
manner. it is opening the allegations for investigation. Specifically , OCR will examine the
following issues:
•

Whether the University failed to respond promptly and equitably to complaints and
reports of sexuc1lharassment. including sexual violence. by the Comp lainant and others,
and if so. \,vhether the University perpetuated a sexually hostile environment , in violation
of34 C.F.R. §§ I 06.8(b), 106.3 l (a) and (b);

•

Whether the University failed to adopt and publish grievance procedures providing for
prompt and equitable resolution of student and en1ployee/personnel Title IX complaints
of sexual harassment, including sexual violence, in violation of34 C.F.R. § 106.8(b);

 Page 2 of IO-President

Drew Gilpin Faust, OCR Complaint No. 01-16-2149

•

Whether the University failed to designate a Title IX coordinator to coordinate its efforts
to comply with and carry out its responsibilities under Title IX, in violation of 34 C.F.R.
§ 106.8(a)~ and

•

Whether the University failed to implement, publish, and distribute a notice of nondiscrimination, in violation of 34 C.F.R. § 106.9.

OCR notes that it is currently investigating Complaint Nos. 01-14-2158 and O1-15-2178, involving
Harvard College students. to determine the University's compliance with Title IX. In accordance
with OCR's case processing procedures, OCR has determined that it is appropriate to consolidate
the investigation of this complaint (01-16-2 I 49) with its ongoing investigation of OCR Complaint
Nos. 01-14-2158 and 01-15-2178, in which OCR is currently addressing similar allegations under
Title IX. As noted in the attached data request, to the extent that the University previously
submitted data in Complaint Nos. 01-14-2158 and 01-15-2178 and the data has not changed, the
University is not required to reproduce the same data.
Please note that opening the allegations for investigation in no way implies that OCR has made a
determination with regard to their merits. 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
allegations, in accordance with the provisions of OCR 's Case Processing Manual, which can be
found online at: https://www2.ed.gov/about/oHices/list/ocr/docs/ocrcpm.pdf
We have enclosed a preliminary data request. Please provide the requested data to this office within
fifteen (15) calendar days of the date of this letter. Because some of this information may have
been previously submitted in conjunction with the prior OCR complaints (Complaint Nos. 01-142158 and 01-15-2178), the University may reforence data that was previously submitted if
responsive to a speci fie request.
OCR's authority to gather information and conduct an investigation is found at the regulation
implementing Title VJ of the Civil Rights Act of 1964, at 34 C.F.R. Sections I00.6(b) and (c) and
100.7(c), which is incorporated by reference into Title IX at 34 C.F.R. Section 106.71. The
regulation implementing the Family Educational Rights and Privacy Act at 34 C.F.R. Section
99.3 l (a)(3 )(iii} specifically authorizes educational institutions to disclose personally identifiable
information concerning students to OCR. Further, pursuant to 34 C.F.R. Section I00.6(c), an
institution may not assert considerations of privacy or confidentiality to bar OCR from performing
its investigative function. Accordingly. the University must provide OCR access to the requested
records in original, non-redacted form.
Regulations enforced by OCR prohibit retaliation. Pursuant to the regulations, no recipient or other
person sha!J intimidate, threaten, coerce or discriminate against any individual for the purpose of
interfering with any right or privilege secured by regulations enforced by OCR or because one has
made a complaint, testified, assisted or participated in any manner in an investigation, proceeding or
hearing held in connection with a complaint. Jf this happens, another complaint may be filed
alleging such treatment.
Under the Freedom of Infonnation 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

 Page 3 of 10 - President Drew Gilpin Faust, OCR Complaint No. 01-16-2149
seek to protect, to the extent provided by law, personally identifiable information that if released.
could constitute an unwan-anted invasion of personal privacy.
Should you have any questions regarding this letter~ please contact Senior Attorney Emma Kim at

(617) 289-0159 or cmma.kim:d·.cd.gov. Please. reference Case No. 01-16-2149 in your
communications with OCR.
Sincerely,·

Christine V. Colmey
Team Leader
Enclosure

 Page 4 of 10 - President Drew Gilpin Faust, OCR Complaint No. 0 I- 16-2149
Data Request
OCR Complaint No. 01-16-2149

Recipient:

Hlvard
UniYJ:lliilv
Fa~nllvof ArtsIand Sciences
(b)(6); (b)(7(C)

Instructions

1

•

Within 15 da s of the date of the attached cover letter lease rovide th following
items for (bl( 5); (b)(?(C)
or state in
writing whether any requested material does not exist. Subsequent to the University's
response(s) to this data request but prior to the conclusion of OCR's dete1mination
process, OCR will accept supplemental materials from the University that it believes will
materially impact or alter OCR's investigation.

•

To the extent that the University previously submitted any of the following data in
OCR's ongoing investigation of Complaint Nos. 01-14-2158 and 01-15-2178 and that
data has not changed, the University may reference the specific data from Complaint
Nos.01-14-2158 and 01-15-2178 and need not produce the same data again.

•

OCR ·s authority to gather information and conduct an investigation is found at the
regulation implementing Title VJ of the Civil Rights Act of 1964, at 34 C.F.R. Sections
100.6(b) and (c) and I00.7(c), which is incorporated by reference into Title IX at 34
C.F.R. Section I06.7l. The regulation implementing the Family Educational Rights and
Privacy Act, at 34 C.F.R. Section 99.3 l(a)(3)(iii), specifically authorizes educational
institutions to disclose personally identifiable information concerning students to OCR.
Further, pursuant to 34 C.F.R. Section 100.6(c), an institution may not asse1t
considerations of privacy or confidentiality to bar OCR from performing its investigative
function. Accordingly, the University must provide OCR access to the University's
records in original, non-redacted form.

•

Please provide the submissions in electronic format by email, CD, or flash drive.
Additionally, if any of the information is available on-line, you may provide a URL in
lieu of hard copy materials.

•

You may send.the information to the attention of Senior Attorney Emma Kim at:
E-mail:

Emma.Ki 1111d/cd.gov

Office:

Emma Kim
U.S. Department of Education
Office for Civil Rights
5 Post Office Square

For! (b)(6); (b)(7(C)
!please provide information
an alternative timeframe is specifically requested.

in effect as of

the dale of the University's response, unless