BOARD OF REGENTS DOCKET ITEM SUMMARY Board of Regents AGENDA ITEM: December 15, 2017 Administrative Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence Review Review + Action X Action Discussion This is a report required by Board policy. PRESENTERS: Tina Marisam, EOAA Director and Title IX Coordinator Brian Slovut, Deputy General Counsel PURPOSE & KEY POINTS The purpose of this item is Board action to ratify Administrative Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence. At its June 2017 meeting, the Board reviewed draft versions of Board and Administrative policies related to sexual misconduct. At its October 2017 meeting, the Board adopted Board of Regents Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence with an implementation date of January 1, 2018. Also at the October meeting, the Board directed that Administrative Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence should undergo the 30-day public notice and comment process in accordance with administrative policy, and then return for action with a January 1, 2018 implementation date. BACKGROUND INFORMATION The proposed administrative policy was developed following a resolution agreement with the U.S. Department of Education Office for Civil Rights. In that agreement, the University agreed to develop a single policy to address sexual misconduct, and to provide detailed information about resources and processes in that policy. This policy language has been undergone extensive system-wide consultation, and was approved by the University Senate in May 2016. The following University stakeholders, among others, have been consulted in the development of this policy: Page 255 of 393 President’s Cabinet Senate Consultative Committee P&A Consultative Committee Equity, Access and Diversity Committee Office of Fraternity and Sorority Life Minnesota Student Association President’s Senior Leaders Group University Senate University Police Department Clery Coordinator The Aurora Center Office of the General Counsel System Title IX & Human Resources staff Student Conflict Resolution Center EOAA Liaisons Housing and Residential Life Student Conduct and Academic Integrity Office for Student Affairs Council of Graduate Students Global Programs and Strategy Department of Athletics PRESIDENT’S RECOMMENDATION The President recommends ratification of Administrative Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence. Page 256 of 393 ADMINISTRATIVE POLICY Sexual Harassment, Sexual Assault, Stalking and Relationship Violence Date Revised TBD Date Effective TBD Senior Leader: VP for Equity and Diversity Responsible University Officer: VP for Equity and Diversity Policy Owner: Director of Equal Opportunity Affirmative Action Policy Contact: Tina Marisam POLICY STATEMENT The University of Minnesota (the “University”) is committed to taking prompt and effective steps intended to end sexual harassment, sexual assault, stalking, relationship violence, and related retaliation, prevent their recurrence and, as appropriate, remedy their effects. This policy outlines the University’s definitions and procedures related to these types of misconduct. This policy applies to University members, who include:  University students, whether enrolled full time or part time, for credit or non-credit courses;  University employees as defined in this policy; and  third parties who are engaged in any University activity or program, or who are otherwise interacting with the University, including, but not limited to, volunteers, contractors, vendors, visitors, and guests. This policy applies to acts of sexual harassment, sexual assault, stalking, relationship violence, and related retaliation committed by or against students, employees, and third parties when:  the conduct occurs on University property;  the conduct occurs in the context of a University employment or education program or activity, including, but not limited to, University-sponsored academic, athletic, extracurricular, study abroad, research, on-line or internship programs or activities;  the conduct occurs off University property and outside the context of a University employment or education program or activity, but has a continuing adverse effect on or creates a hostile environment for students, employees, or third parties while on University property or in any University employment or education program or activity; or  the conduct indicates that the respondent may present a danger or threat to the health or safety of University members. To the extent any provision of this policy conflicts with the Board of Regents Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence, the Board policy controls. To the extent any provision of this policy conflicts with any other University policy, this policy controls. Nothing in this policy should be interpreted to abridge academic freedom or principles of free speech. I. PROHIBITION Page 257 of 393 All University members are prohibited from engaging in, or assisting or abetting another’s engagement in, sexual assault, sexual harassment, relationship violence, stalking, and related retaliation (collectively “prohibited conduct”). II. REPORTING AND OTHER OBLIGATIONS RELATED TO PROHIBITED CONDUCT In order to foster an environment free of prohibited conduct, all University members are encouraged to take reasonable prudent actions to prevent, stop, and report all acts of prohibited conduct. In addition, University members have the following reporting and other obligations related to possible prohibited conduct. A. REPORTING OF PROHIBITED CONDUCT DIRECTED AT STUDENTS University employees must promptly contact the campus Title IX office when in the course of performing their employment duties they learn about any form of prohibited conduct directed at students that may have:  occurred on University property;  occurred during a University employment or education program or activity;  been directed at a current student at the time they were a student; or  been committed by a current University member at the time they were a University member. B. REPORTING OF PROHIBITED CONDUCT DIRECTED AT EMPLOYEES OR THIRD PARTIES University employees must promptly contact the campus Title IX office when in the course of performing their employment duties they learn about any sexual assault, stalking, or relationship violence directed at University employees or third parties that may have:  occurred on University property;  occurred during a University employment or education program or activity;  been directed at a current University employee at the time they were a University employee;  been directed at a third party at the time they were engaged in any University activity or program, or were are otherwise interacting with the University, including, but not limited to, as volunteers, contractors, vendors, visitors, or guests.  been committed by a current University member at the time they were a University member. Supervisors and human resources representatives must report sexual harassment directed at University employees or third parties to the campus Title IX office. Other University employees are encouraged to report sexual harassment directed at University employees or third parties to the campus Title IX office, or their supervisor or human resources representative. However, this reporting is not required. C. INFORMATION THAT MUST BE REPORTED TO THE CAMPUS TITLE IX OFFICE University employees who learn about prohibited conduct are not required to solicit additional information about the prohibited conduct or the individuals involved. However, to the extent 2 Page 258 of 393 known to them, University employees who learn about prohibited conduct as set forth in A and B above must report the following information to the campus Title IX office:  the names of the complainant(s), respondent(s), and possible witnesses;  the date, time, and location of the alleged prohibited conduct; and  other relevant details about the alleged prohibited conduct that the University would need to determine what occurred and address the situation. D. CAMPUS TITLE IX OFFICE ACTION UPON RECEIVING A REPORT After receiving a formal or informal report of prohibited conduct, the campus Title IX office or its designee will contact the complainant to provide resources for personal support and information about the investigation process. Throughout this policy, the phrase “campus Title IX office or its designee” refers to campus Title IX office staff members and others that the campus Title IX coordinator has authorized to respond to certain prohibited conduct reports. Authorized designees include supervisors, human resources representatives, and other employees trained to respond to prohibited conduct reports. In cases involving a student respondent, the campus Title IX office or its designee will only begin investigating the report after receiving verbal or written confirmation that the complainant wishes to initiate an investigation, except in limited cases where campus safety is threatened as discussed further in Section V.F. In cases involving an employee or third party respondent, the Title IX office or its designee will assess whether the report should be addressed through an informal resolution process or a formal investigation process, as discussed further in Section IV. E. EMPLOYEES WHO ARE EXEMPT FROM THESE REPORTING REQUIREMENTS The following University employees are exempt from the requirement to report prohibited conduct to the campus Title IX office:  counselors, psychologists, and others with a professional license requiring confidentiality, and their supervisees, when they learn about prohibited conduct in the course of their professional responsibilities;  health center employees when they learn about prohibited conduct in the course of treating patients or facilitating the provision of medical services, and other employees who are prohibited by HIPAA from fulfilling this reporting requirement;  members of University of Minnesota police departments when they are restricted by law from disclosing this information; and  victim-survivor advocacy office employees and volunteers when they learn about prohibited conduct in the course of their advocacy office work. F. ADDITIONAL OBLIGATIONS FOR SUPERVISORS AND HUMAN RESOURCES REPRESENTATIVES Supervisors and human resources representatives who learn about possible prohibited conduct have additional obligations. Supervisors and human resources representatives may learn about possible prohibited conduct in a variety of ways, including when:    they observe or overhear prohibited conduct; they receive a report of prohibited conduct, even when the reporter does not identify the concerns as “prohibited conduct;” and they receive any other information that prohibited conduct may have occurred, regardless of where the information comes from and even if the supervisor is unsure that any prohibited conduct actually occurred. 3 Page 259 of 393 First, supervisors and human resources representatives who learn about possible prohibited conduct, including sexual harassment directed at employees, must promptly contact the campus Title IX office to report information about the possible prohibited conduct, and must subsequently contact the campus Title IX office to report any responsive action that has been taken. Second, supervisors and human resources representatives who learn about possible prohibited conduct must take prompt and effective responsive action. In some cases, a supervisor’s or human resources representative’s obligation to take prompt and responsive action will be satisfied by notifying the campus Title IX office. In other cases, it will be appropriate for supervisors and human resources representatives to take additional responsive action after consulting with the campus Title IX office. The particular responsive actions that a supervisor or human resources representative should take will depend on the circumstances. Below is a list of some examples of responsive actions that might be appropriate for a supervisor or human resources representative to take in certain cases.  providing resources for personal support to the complainant;  making non-retaliatory employment changes that remove any continued impact on the complainant;  conducting preliminary inquiries to determine whether others have reported possible prohibited conduct by the same respondent;  discussing the prohibited conduct concerns with the respondent and setting expectations for future conduct;  providing coaching and training on acceptable workplace conduct;  conducting an investigation into the prohibited conduct by employees after consultation with the campus Title IX office and/or human resources representative; and  following up with the complainant and monitoring to prevent the occurrence of future prohibited conduct. In all cases, supervisors and human resources representatives should document all responsive actions taken and report them to the campus Title IX office. For additional information about University employees’ obligation to report prohibited conduct, please see FAQ: Employees’ Obligation to Report Sexual Harassment, Sexual Assault, Stalking and Relationship Violence to the Campus Title IX Office. Note: Student employees must comply with the reporting requirements for employees described above. III. ADDRESSING A REPORT: ACCOMMODATIONS AND PROTECTIVE MEASURES The University will provide accommodations designed to promote all parties’ safety, well-being, and continued access to employment and educational programs and activities, to the extent these accommodations are reasonably available and requested. These accommodations may be temporary or permanent, and may be implemented to remedy the harm caused to an individual by sexual misconduct. These accommodations may be implemented because an individual has requested them, the campus Title IX office or its designee has recommended them, or a local unit or department has identified a need for them. Accommodations and protective measures are available regardless of whether a complainant makes a prohibited conduct report to the campus Title IX office or pursues an investigation under this policy. Possible accommodations include the following:  residence modifications;  academic modifications;  support and counseling;  work schedule or location modifications;  assistance in making a report to law enforcement or obtaining a protective order; and 4 Page 260 of 393  transportation modifications. As appropriate, the University will take protective measures that are designed to protect the parties and other University members from future harm. These protective measures may be implemented because a party has requested them, the campus Title IX office or its designee has recommended them, or a local unit or department has identified a need for them. Possible protective measures include:  no-contact directives that prohibit complainants and respondents from contacting one another;  increased monitoring or supervision at locations or activities where the prohibited conduct is alleged to have occurred;  when exceptional circumstances warrant, interim disciplinary suspension of a student (Board of Regents Policy: Student Conduct Code, Section VI. Interim Suspension); and  when exceptional circumstances warrant, suspension or pre-disciplinary leave (with or without pay) of an employee from employment. Parties may seek these accommodations and protective measures by contacting the campus Title IX office or its designee. Parties may also seek accommodations directly from the departments or individuals with the ability to provide the requested accommodations, such as the campus housing and residential life office or the appropriate faculty member, supervisor or human resources representative. The departments or individuals with the ability to provide the requested accommodations will determine which accommodations and protective measures to take depending on the circumstances of each case. In doing so, they will consider the specific need expressed by the party, the severity or pervasiveness of the reported conduct, any continuing impact on the party, and whether the complainant and the respondent share the same residence hall, classes, transportation, or job location. The University will maintain the confidentiality of any accommodations or protective measures to the extent possible. For more information about accommodations and protective measures, see FAQ: Investigations and Accommodations. The campus Title IX office staff are also available to meet with University members to address questions or concerns about the provision of accommodations or protective measures. IV. ADDRESSING A REPORT: INFORMAL PROBLEM SOLVING PROCESS After receiving a formal or informal report of prohibited conduct, the campus Title IX office or its designee will assess the report to determine how to respond to the report, including whether to respond to the report through an informal problem solving process or a formal investigation process. In making this determination, the campus Title IX office or its designee may consider, among other factors: (1) the nature and severity of the reported conduct; (2) whether the conduct has been previously addressed with the respondent; (3) academic freedom and free speech protections; (3) the potential for recurrence of the conduct; (4) the actual and potential impact of the conduct; (5) the potential impact of using investigative or problem-solving approaches to address the report; (6) the preferences of the complainant; and (7) whether the respondent is an employee, student or third party. Informal problem solving processes are more likely to be applied in cases involving sexual harassment or retaliation by employee or third party respondents than in cases involving other prohibited conduct or student respondents. Among other things, informal problem solving may include: (1) conducting an initial inquiry to gather additional information about the report; (2) providing education or coaching to the respondent or complainant; (3) providing resources or recommendations to the respondent, a supervisor, or human resources representative; (4) providing relevant information to the individuals involved; (5) making changes to an employee’s workflow or work location; or (6) establishing a plan for monitoring for future misconduct. In an informal problem solving process, the campus Title IX office or its designee does not determine whether the respondent has violated University policy. However, the campus Title IX office or its designee may provide resources to help resolve the conflict and make recommendations for responsive action, including actions aimed at preventing conflict or misconduct from occurring. V. ADDRESSING A REPORT: FORMAL INVESTIGATION PROCESS 5 Page 261 of 393 Investigations into prohibited conduct reports will be conducted by the Campus Title IX office or its designee. Except, investigations into stalking of a non-sexual nature will be conducted by the campus office or official that investigates non-sexual Student Conduct Code complaints, a human resources representative or a supervisor. If a prohibited conduct investigation reveals possible misconduct other than sexual harassment, sexual assault, stalking, relationship violence, or related retaliation, the campus Title IX office or its designee will forward this information to the campus office responsible for investigating that possible misconduct. However, amnesty is provided for certain drug and alcohol related offenses that come to light during a prohibited conduct investigation, as discussed in Section VI below. The University’s procedures for investigating and resolving incidents of prohibited conduct are based upon principles of fairness and respect for complainants and respondents. For more information about investigations, see FAQ: Investigations and Accommodations. A. STANDARD OF PROOF The University applies the preponderance of the evidence standard when determining whether this policy has been violated. “Preponderance of the evidence” means that it is more likely than not that a policy violation has occurred. B. EXPECTATIONS, OPPORTUNITIES, AND OBLIGATIONS OF AND FOR COMPLAINANTS AND RESPONDENTS Complainants and respondents can expect the following in connection with reports submitted under this policy: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. Prompt and fair resolution of prohibited conduct reports. Privacy in accordance with this policy and law. Information about applicable support and advocacy resources. Protection from retaliation as defined in this policy. Timely notice of any meeting or proceeding at which the person’s presence is contemplated by this policy. Written notice to the respondent of the allegations constituting a potential violation of this policy, including sufficient details and with sufficient time to prepare a response before any initial interview. Timely and equal access to information that will be used after the prohibited conduct investigation and during disciplinary meetings and hearings, where available. Receipt of periodic updates, and updates upon request, on the status of the investigation and adjudication procedures. An explanation if the timeline for completion of the investigation and adjudication procedures must be extended. Contact from the University after the investigation is concluded to determine whether additional supportive measures are needed. Proceedings that are conducted by individuals who: (1) do not have a conflict of interest or bias for or against the complainant or respondent; (2) receive annual training on prohibited conduct and procedures for investigating prohibited conduct complaints that protect the safety of the parties and promote accountability; and (3) treat all participants with dignity. To not be required to resolve prohibited conduct concerns directly with the other party, such as through mediation. In addition, the campus Title IX office or its designee will ensure that the complainant receives a written explanation of applicable resources, and is offered the opportunity to discuss those resources. If the University undertakes an investigation or any other action under this policy that impacts a respondent, the campus Title IX office or its designee will ensure that the respondent is notified, receives a written explanation of applicable resources, and is offered the opportunity to meet to discuss those resources. 6 Page 262 of 393 Complainants and respondents have the following opportunities in connection with reports submitted under this policy: 1. To express concerns about the proceedings or processes under this policy. 2. To offer information, submit evidence, and identify witnesses during an investigation. Complainants and respondents have the following obligations in connection with reports submitted under this policy: 1. To not retaliate against any person as defined in this policy. 2. To provide truthful information in connection with any report, investigation, proceeding or resolution under this policy. C. DUTY TO PARTICIPATE Complainants are not required to participate in prohibited conduct investigations. However, the University may be limited in its ability to respond to a prohibited conduct report without the complainant’s participation. When requested, respondents are required to meet with the campus Title IX office or its designee without undue delay to, at a minimum, hear the detailed allegations asserted against them. Respondents are not required to respond to these allegations, and the fact of their failure to provide any response will not be used to support a finding of responsibility. However, where a complainant or respondent refuses to provide relevant information in an investigation, the campus Title IX office or its designee will make a finding based only on the information available. Employees who are exempted from reporting sexual misconduct under Section II are not required to participate in prohibited conduct investigations as witnesses. All other University members are required to participate in prohibited conduct investigations to ensure that the most complete information is available for the University to determine whether prohibited conduct occurred. The Title IX Coordinator or a designee may excuse University members from this requirement in certain circumstances, such as where the University member is unlikely to provide significant relevant information or where participation would be particularly burdensome for that University member. This duty to participate does not apply to student participation in prohibited conduct hearings. Individuals who knowingly or intentionally file a false report or provide false or misleading information in connection with an investigation may be subject to disciplinary action up to and including termination of employment or expulsion. Disciplinary action is not warranted where an individual makes a prohibited conduct report or participates in a prohibited conduct investigation in good faith, even if the report or information is ultimately not substantiated. An individual makes a report or participates in a prohibited conduct investigation in good faith when that individual reasonably believes that the information they have provided is accurate. Reports that an individual has knowingly or intentionally filed a false report or provided false or misleading information will be addressed by the following offices: (1) for reports of students engaging in this misconduct, the campus office responsible for investigating and adjudicating potential Student Conduct Code violations other than sexual harassment, sexual assault, stalking and relationship violence; (2) for reports of employees engaging in this misconduct, the employee’s supervisor or human resources representative; and (3) for reports of third parties engaging in this misconduct, the University official responsible for retaining or overseeing the third party. D. INITIAL ASSESSMENT When a campus Title IX office or its designee receives a report of prohibited conduct, it will promptly work with other appropriate University offices as necessary to complete an initial 7 Page 263 of 393 assessment of the report and any immediate health or safety concerns raised by the report. The initial assessment process will include the following tasks: 1. Determine whether the report identifies conduct that, if it occurred as described, would violate this policy; 2. Determine whether the report provides names or other information that identifies the complainant, the respondent, or any other person with knowledge of the reported incident; 3. When applicable, inform the complainant of the right to seek medical treatment and provide the complainant with written notification about the importance of preserving evidence that may assist in proving that the alleged offense occurred in a legal or campus disciplinary proceeding or may be helpful in obtaining a protective order; 4. As appropriate, provide written information to the complainant about their right to contact law enforcement, to decline to contact law enforcement, to be assisted by campus authorities in contacting law enforcement, and to seek a protective order. 5. Provide information about available resources to the parties, including, as appropriate, providing complainant students who are transferring to another post-secondary institution with information about resources for victims of prohibited conduct at the institution to which they are transferring; 6. Provide information to the parties about how to request accommodations or protective measures, such as changes to their academic, living, transportation, and working situations; 7. Inform the parties about the University’s prohibition against retaliation, and that the University will take prompt action in response to any act of retaliation; and 8. When applicable, communicate with appropriate University officials to determine whether the report triggers Clery Act obligations, including entry of the report in the daily crime log or issuance of a timely warning. E. ADVISOR PARTICIPATION 1. Cases involving student respondents Complainants and respondents may be accompanied to meetings and hearings in the investigation and adjudication process by two advisors of their choice. An advisor may be an attorney, union representative, advocate, support person, or other individual. In limited circumstances, other individuals may be permitted to attend these meetings for good reason, such as to accommodate a disability, at the discretion of the University official conducting the meeting. 2. Cases involving employee or third party respondents Complainants and respondents in sexual assault, stalking, and relationship violence cases may be accompanied to meetings in the investigation and adjudication process by an advisor of their choice. An advisor may be an attorney, union representative, advocate, support person, or other individual. Complainants and respondents in sexual harassment and retaliation cases may be accompanied to meetings in the investigation and adjudication process by one of the following advisors: an attorney, victim’s support advocate, or union representative. Other individuals may be permitted to attend these meetings for good reason, such as to accommodate a disability, at the discretion of the University official conducting the meeting. 3. Additional information about advisor participation To protect the integrity of the investigation and adjudication process, individuals who are witnesses with information about facts material to the underlying case may not serve as advisors. For more information about the responsibilities of advisors who attend 8 Page 264 of 393 meetings and hearings as allowed by this policy, please see Appendix A: Roles and Responsibilities of Advisors. F. INVESTIGATION PROCESS The nature and scope of an investigation will be determined based on the report and any additional information gathered during the investigation, and will typically include the following elements: 1. One or more interviews of the complainant, where the complainant will have the opportunity to describe the conduct giving rise to the report, provide evidence, and identify witnesses; 2. Written notice to the respondent of the allegations constituting potential prohibited conduct, including sufficient details and with sufficient time to prepare a response before any initial interview; 3. One or more interviews of the respondent, where the respondent will have the opportunity to respond to the allegations, provide evidence, and identify witnesses; 4. Witness interviews and gathering of other evidence; and 5. Review and analysis of the evidence. The University strives to complete prohibited conduct investigations within 75 days. However, depending on the complexity of the investigation, the number of witnesses, the availability of evidence and other factors, some investigations may take more than 75 days. When a complainant requests that their identity be kept confidential or that the University refrain from conducting an investigation, the campus Title IX office or its designee will make an individualized determination of whether to conduct an investigation including consideration of the complainant’s wishes, the University’s responsibility for providing a safe and non-discriminatory campus environment, and whether the University possesses other means to obtain relevant evidence. In making this determination, the campus Title IX office or its designee will consider the following factors, among others: whether the respondent is alleged to have used a weapon while committing prohibited conduct; whether the respondent is alleged to have used force while committing prohibited conduct; and whether the respondent has been alleged or found to have committed prohibited conduct against other complainants. G. POST-INVESTIGATORY PROCESSES 1. Cases where the respondent is a student a. The campus Title IX office or its designee completes an initial findings report. Upon completion of a prohibited conduct investigation, the campus Title IX office or its designee will make an initial finding as to whether this policy was violated. The campus Title IX office or its designee will prepare an initial findings report that summarizes the reported conduct, the information gathered during the investigation, and the initial finding. b. Parties receive the initial findings report and any proposed informal resolution. The complainant and respondent will be given access to the initial findings report and, when applicable, to a written proposed informal resolution to the prohibited conduct report. If both parties agree to the informal resolution, the University’s process ends. c. Either party can request a hearing before a panel. 9 Page 265 of 393 Both parties will receive written information about how to request a hearing. A party who disagrees with the initial finding or proposed informal resolution may request a formal hearing before a panel, as described further at the campus-specific links below. During the hearing process, the complainant will not be required to appear in the same room with the respondent. Advisors will be allowed to be present throughout the hearing. The parties will be given an equal opportunity to present evidence. d. Parties receive the hearing panel’s decision. Both parties will receive written notice of the hearing panel’s decision on responsibility and, if the respondent is found responsible, the sanctions that will be imposed. e. Either party can request an appeal. Both parties will receive written notice of their right to appeal the hearing panel’s decision to an impartial appellate officer. f. Parties receive the appellate officer’s decision. In the case of an appeal, both parties will receive the appellate officer’s written decision. The appellate officer will strive to render a decision within 30 calendar days of the notice of appeal and will provide the decision to both parties. Additional information about campus-specific hearing and appeals procedures may be found at: Crookston Campus – Campus Committee on Student Behavior Hearing Procedures Duluth Campus – Office of Student Conduct and Conflict Resolution Written Procedures Morris Campus – Student Behavior Committee Hearing Procedures: Morris Twin Cities Campus – SSMS Procedures; Student Conduct Code Procedure: Twin Cities Rochester Campus – Committee on Student Conduct Hearing Procedures; Chancellor’s Appeal Committee Procedures 2. Cases where the respondent is an employee or third party At the close of a prohibited conduct investigation, the parties will be afforded a five-day period in which they can review and respond in writing to a report containing preliminary factual findings. Subsequently, the campus Title IX office or its designee will provide the parties with a final written report that includes factual findings and a decision on responsibility. The campus Title IX office or its designee will send this written report and recommendations for responsive action, if any, to the responsible University Authority. The University Authority for an employee respondent is the respondent’s supervisor and/or human resources representative. The University Authority for a third party is the University official responsible for retaining or overseeing the third party, as designated by the responsible Senior Vice President. 10 Page 266 of 393 The University Authority will decide whether responsive actions are to be implemented and, if so, what the responsive actions will be. The University Authority will notify the respondent of any responsive actions to be taken that directly impact the respondent, document those responsive actions in the respondent’s University file, and notify the campus Title IX office of those responsive actions. The University Authority will monitor compliance with any responsive actions, and address any compliance failures by the respondent. Either party may seek review of the written findings of the campus Title IX office or its designee by providing concerns in writing to the office that made the findings. In addition, employees may consult with their campus Title IX office and other applicable policies or offices to determine whether other review or grievance procedures are available to them related to the written findings including, for example:  Bargaining unit employees should contact their union representative and/or refer to the applicable collective bargaining agreement.  Faculty members should refer to Chapter 14 of Board of Regents Policy: Faculty Tenure. Faculty members may contact the Office of the Executive Vice President and Provost for more information about processes under this policy: Office of the Executive Vice President and Provost 234 Morrill Hall 100 Church Street SE Minneapolis, MN 55455 provost@umn.edu 612-625-0051 http://provost.umn.edu  Faculty members who are not represented by a union should refer to the University’s conflict resolution process for employees. These faculty members may contact the Office for Conflict Resolution for more information: Office for Conflict Resolution 662 Heller Hall (West Bank) 271 19th Avenue South Minneapolis, MN 55455 612-624-1030 http://ocr.umn.edu/ ocr@umn.edu  Civil Service and Professional and Administrative employees should refer to the University’s conflict resolution process for employees and/or contact the Office for Conflict Resolution. 3. Cases where a respondent is alleged to have engaged in prohibited conduct in the course of performing duties as a student-employee In these cases, the University will apply the post-investigatory process that applies to student respondents as described above in IV.G.1. In addition, the University Authority for the student-employee respondent may take responsive action, including the possible imposition of sanctions, based on the outcome of the process described in IV.G.1. As a result, the respondent may be subject to sanctions as an employee by their employer and as a student as a result of the student conduct process. VI. SANCTIONS 11 Page 267 of 393 Sanctions are actions intended to eliminate prohibited conduct, prevent its recurrence, and promote accountability while supporting the University’s educational mission and legal obligations. University sanctions may include educational, restorative, rehabilitative, and disciplinary components. University sanctions for students may include any one or a combination of the following:           an oral or written warning; informal and formal coaching; probation; required compliance with work assignments, community service assignments, or other discretionary assignments; restitution; restriction of privileges; University housing suspension or expulsion; suspension or expulsion from the University; withholding of a diploma or degree; and revocation of admission or a degree. University sanctions for employees may include any one or a combination of the following:         informal and formal coaching; probation; progressive disciplinary action; transfer of position; removal of administrative appointment; demotion; salary reduction; and termination of employment, consistent with the applicable University disciplinary policies and procedures. The following factors will be considered in determining the appropriate sanctions to address a finding of responsibility for prohibited conduct:         the severity, persistence, or pervasiveness of the prohibited conduct; the nature of the prohibited conduct; whether the prohibited conduct included acts of violence; any incidents of prior misconduct by the respondent, including the respondent’s disciplinary history, at the University or elsewhere; the impact of the prohibited conduct on other members of the University community; an assessment of the respondent’s potential for development, including whether the respondent has accepted responsibility for the prohibited conduct; the maintenance of a safe, nondiscriminatory, and respectful work and learning environment; and any other mitigating, aggravating, or compelling factors. VI. AMNESTY To facilitate reports and thorough investigations of prohibited conduct, individuals who report information about possible prohibited conduct violations to the University, and individuals who participate in an investigation under this policy, will not be disciplined by the University for violations of its drug and alcohol policies that occurred in connection with the reported prohibited conduct and were discovered as a result of a prohibited conduct report or investigation. This amnesty provision applies to complainants, respondents, and other individuals who participate in an investigation under this policy. However, this amnesty provision does not apply to a person who has given another person alcohol or drugs without their knowledge and with the intent of causing them to become incapacitated and therefore vulnerable to experiencing prohibited conduct. 12 Page 268 of 393 Moreover, the University may offer leniency with respect to other violations that emerge as a result of a prohibited conduct report or investigation, depending on the circumstances involved. VII. PRIVACY AND CONFIDENTIALITY The University is committed to protecting the privacy of all individuals involved in the investigation and resolution of a report under this policy to the greatest extent possible. The University will maintain the privacy of student records in accordance with applicable state and federal law, including the Family Educational Rights and Privacy Act (FERPA). The University will maintain the privacy of employee records in accordance with applicable state and federal law, including the Minnesota Government Data Practices Act (MGDPA). In accordance with these legal requirements, the University will make reasonable efforts to protect the privacy of individuals while also fulfilling the need to gather information to assess the report, to take steps to eliminate prohibited conduct, prevent its recurrence, and remedy its effects, and to satisfy the due process rights of the parties. The University has a compelling interest in protecting the integrity of its investigations, protecting the privacy of parties and witnesses, and protecting parties and witnesses from harassment, intimidation, or retaliation as a result of their participation in an investigation. To further these goals, witnesses and parties are asked to keep confidential the information that they learn about an investigation (including the allegations, the identities of the parties, witnesses and the questions asked in interviews). In particular, witnesses and parties are advised not to discuss the investigation or allegations with anyone who they believe could be a witness. In some circumstances, the University may find it necessary to require that parties and witnesses keep confidential all information related to the investigation to prevent harm to individuals or the work or academic environment. For example, University members may be required to maintain confidentiality to protect University members from harassment, intimidation, and retaliation; to keep evidence from being destroyed; to ensure that testimony is not fabricated or contaminated by others; to prevent a cover-up; or to prevent serious disruption of the work environment. VIII. REPORTING RETALIATION CONCERNS No member of the University community may retaliate against an individual because of the individual’s good faith participation in:    reporting or otherwise expressing opposition to suspected or alleged prohibited conduct; participating in any process designed to review or investigate suspected or alleged prohibited conduct or non-compliance with applicable policies, rules, and laws; or accessing the Office for Conflict Resolution. A causal relationship between the good faith participation in one of these activities and an adverse action is needed to demonstrate that retaliation has occurred. Individuals who believe that retaliation is occurring or has occurred, as a result of their good faith participation in one of the above referenced activities, should follow the reporting options available to them in the Administrative Policy: Reporting Suspected Misconduct. Reports of retaliation will be investigated and addressed in the same manner in which other concerns of misconduct are handled. IX. RECORDKEEPING The University’s Title IX Coordinator and designees will maintain appropriate records of all reports of prohibited conduct in accordance with the University’s Administrative Policy: Managing University Records and Information, including:  the initial report, along with any supplements or amendments; 13 Page 269 of 393       relevant communications between the campus Title IX office or its designee, the complainant, the respondent, and others regarding the report or the investigation of the report; information that is obtained, gathered, or received during the investigation of the report, including documentation or other information submitted by the complainant or respondent; investigator notes; witness statements; written findings; and other documentation relied upon by the investigator or otherwise relevant to the investigation of the report. The University will compile and maintain publicly available records, including Clery Act reporting and disclosures, without the inclusion of personally identifying information about the complainant. The University will provide complainants and respondents with access to their records related to a prohibited conduct investigation in accordance with the law. X. POLICY REVIEW The Office of Equal Opportunity and Affirmative Action (EOAA) will annually review this policy. XI. TRAINING To facilitate the goals of this policy, the University will conduct ongoing prevention, awareness, and training programs for employees and students. The University will also provide training for all employees responsible for implementing this policy on the process of handling reports of prohibited conduct, the University grievance procedures and confidentiality requirements. REASON FOR POLICY The University adopts this policy with a commitment to: (1) taking prompt and equitable action to eliminate, prevent, and address the effects of prohibited conduct; (2) fostering an environment of trust where prohibited conduct is not tolerated; (3) cultivating a climate where all persons are well-informed and supported with respect to reporting prohibited conduct; (4) providing a fair and impartial process for all parties; and (5) articulating the standards and procedures by which violations of this policy will be evaluated and disciplinary action may be imposed. PROCEDURES The relevant procedures are described or cited within this policy. FORMS/INSTRUCTIONS There are no forms associated with this policy. APPENDICES  Appendix: Roles and Responsibilities of Advisors FREQUENTLY ASKED QUESTIONS   FAQ: Employees’ Obligation to Report Sexual Assault, Sexual Harassment, Stalking and Relationship Violence to EOAA FAQ: Investigations and Accommodations 14 Page 270 of 393  FAQ: Retaliation in Sexual Harassment, Sexual Assault, Stalking and Relationship Violence Cases ADDITIONAL CONTACTS Subject Contact Phone Primary Contact Tina Marisam 612-626-9357 Policy or process questions Campus Title IX Offices (see below) Fax/Email marisam@umn.edu CAMPUS TITLE IX OFFICES Prohibited conduct reports can be made to the University’s campus Title IX offices listed here. As described in this policy, upon learning of certain types of prohibited conduct, employees, supervisors and human resources representatives must contact their campus Title IX office to satisfy their prohibited conduct reporting obligations. Subject Contact Phone Email Crookston Campus Title IX Coordinator Lisa Samuelson Interim Associate Vice Chancellor for Student Affairs 145J Sargeant Student Center 2900 University Avenue Crookston, MN 218-281-8505 samue026@crk.umn.edu Lisa Erwin Vice Chancellor for Student Life and Dean of Students 245 Kirby Plaza 1208 Kirby Drive Duluth, MN 55812 218-726-8502 vcsl@d.umn.edu Sarah Mattson Director of Human Resources 201 Behmler Hall 600 East 4th Street Morris, MN 56267 320-589-6021 mattsosj@morris.umn.edu 507-268-8010 wils1236@r.umn.edu 507-258-8106 jthorn@r.umn.edu Duluth Campus Title IX Coordinator Morris Campus Title IX Coordinator Rochester Campus Title IX Coordinator for employees Title IX Coordinator for students Andrea Wilson Director of Human Resources University Square 111 South Broadway, Suite 300 Rochester, MN 55904 Julie Thornton 300 University Square, Office 329 111 South Broadway Rochester, MN 55904 15 Page 271 of 393 Twin Cities Campus Title IX Coordinator Tina Marisam Director of the Office of Equal Opportunity and Affirmative Action McNamara Alumni Center, Room 274 200 Oak Street SE Minneapolis, MN 55455 612-626-9357 marisam@umn.edu UREPORT/ETHICSPOINT Reports of prohibited conduct, including anonymous reports, may be submitted 24 hours a day through the University’s UReport/EthicsPoint reporting system. Reports of prohibited conduct made through UReport/EthicsPoint will be forwarded to the appropriate campus Title IX office, which will address the concerns through investigation or informal problem solving processes. However, reporting about prohibited conduct through UReport/EthicsPoint does not satisfy the obligation of University employees as set forth above in Section II to report incidents of prohibited conduct to the campus Title IX office. Similarly, anonymous reporting in any other form also does not satisfy this reporting obligation. Subject Contact Phone All Campuses https://secure.ethicspoint.com/domain/media/en/gui/9167 1-866-294-8680 LAW ENFORCEMENT Employees, students and third parties are encouraged to report crimes to the law enforcement agency for the jurisdiction in which the conduct at issue occurred. Complainants have the option to report a crime to the appropriate law enforcement agency, to report prohibited conduct to the appropriate campus Title IX office, or to report to both investigative bodies simultaneously. Even if a criminal investigation is ongoing, the University will conduct its own Title IX investigation and will not wait for the conclusion of a criminal investigation or proceeding to begin its Title IX investigation. However, the University may temporarily delay the fact-finding portion of a Title IX investigation while law enforcement is gathering evidence to avoid interfering with the criminal investigation. Victims of sexual misconduct are granted specific rights under Minnesota law. When a crime is reported to law enforcement, a victim has the right to:        request that their identity be kept private in reports available to the public; be notified of crime victim rights and information on the nearest crime victim assistance resource; apply for financial assistance for non-property losses related to a crime; participate in prosecution of their case, including the right to be informed of a prosecutor’s decision to decline prosecution or dismiss their case; protection from harm and from employer retaliation for taking time off to attend protection or harassment restraining order proceedings; receive information about seeking a protective or harassment order at no cost; and assistance from the Crime Victims Reparations Board and the Commissioner of Public Safety. Victims of sexual assault have the right to undergo a confidential sexual assault examination at no cost and make a confidential request for HIV testing of a convicted felon. Victims of sexual assault are not required to undergo a polygraph examination in order for an investigation or prosecution to proceed. Victims of domestic abuse also have the right to terminate a lease without penalty. In cases of domestic abuse and violent crime where an arrest has been made, victims also have the right to be provided notice 16 Page 272 of 393 of the release of the offender, including information on the release conditions and supervising agency. Complete information about crime victims’ rights can be found at: https://dps.mn.gov/divisions/ojp/helpfor-crime-victims/Pages/crime-victims-rights.aspx. Subject Contact Phone Fax/Email Crookston Campus The City of Crookston Police Department 321 West Robert Street Crookston, MN 56716 218-281-3111 Fax: 218-2811410 Duluth Campus University of MinnesotaDuluth Police Department 287 Darland Admin Bldg 1049 University Drive Duluth, MN 55812 Duluth Police Department 2030 North Arlington Avenue Duluth, MN 55811 218-726-7000 umdpd@d.umn.edu 218-730-5400 police@duluthmn.gov 320-589-6000 ummpd@morris.umn.edu 320-208-6500 mpd@co.stevens.mn.us Morris Campus University of Minnesota Morris Campus Police Behmler Hall 6 600 East Fourth Street Morris, MN 56267 Morris Police Department 400 Colorado Avenue Morris, MN 56267 Rochester Campus Rochester Law Enforcement Center 101 Fourth Street Southeast Rochester, MN 55902 507-328-6810 Twin Cities Campus University of Minnesota Police Department 511 Washington Ave. SE Minneapolis, MN 55455 St. Paul Police Department 367 Grove Street St. Paul, MN 55101 Minneapolis Police Department 350 South 5th Street, Room 130 Minneapolis, MN 55415-1389 612-624-2677 police@umn.edu 651-291-1111 policeinfo@ci.stpaul.mn.us 612-673-2941 (Sex crimes unit) 17 Page 273 of 393 Falcon Heights Police Department 3301 Silver Lake Road Saint Anthony, MN 55418 612-782-3350 RESOURCES FOR COMPLAINANTS The following resources offer free and confidential services for complainants, including advocacy, counseling, emotional support, and/or guidance through law enforcement and University reporting processes. These resources are available to complainants regardless of whether they choose to report the prohibited conduct they experienced to law enforcement or the campus Title IX office. Subject Contact Phone Fax/Email Crookston Campus Polk County Coordinated Victim Services 218-281-1554 1-800-524-1993 UMC Counseling Center 218-281-8571 218-281-8348 Student Health 218-281-8512 Women’s Resource and Action Center (WRAC) 218-726-6292 Duluth Campus Program for Aid to Victims of Sexual Assault (PAVSA) Counseling: Health Services 218-726-1931 218-726-7913 Morris Campus Someplace Safe (providing crime victim advocacy) Student Counseling 1-800-974-3359 320-589-6060 Rochester Campus Crisis Hotline 507-269-4511 Student Counseling 507-258-8017 Student Health Services 507-292-7250 rkotovic@r.umn.edu Twin Cities Campus 24 Hour Helpline: 612-626-9111 The Aurora Center aurora@umn.edu Office Line: 612626-2929 Office line: 612625-8400 Boynton Mental Health 24 hour Crisis Connection counselors: 612- 18 Page 274 of 393 301-4673 Student Counseling Services 612-624-3323 counseling@umn.edu The University’s Employee Assistance Program (EAP) is available to benefits-eligible employees on all system campuses. EAP provides confidential, professional consultation and referral services to address any personal or work concern that may be affecting one’s wellbeing. EAP can be reached at 612-6252820, 1-888-243-5744 or eap@umn.edu. RESOURCES FOR RESPONDENTS The offices in the table below can identify advocates to assist respondent students through the University’s investigative and post-investigative processes. Subject Contact Phone Fax/Email Crookston Campus Student Affairs 218-281-8505 samue026@crk.umn.edu Student Life 218-726-8501 vcsl@d.umn.edu Student Affairs 320-589-6013 ummvcsa@morris.umn.edu Student Conflict Resolution Center 612-624-7272 sos@umn.edu Student Development 507-258-8106 jthorn@r.umn.edu Duluth Campus Morris Campus Twin Cities Campus Rochester Campus The table below provides confidential resources for respondent students. Campus Contact Phone Crookston UMC Counseling Center 218-281-8571 218-281-8348 Counseling: Health Services 218-726-7913 Student Counseling 320-589-6060 Student Counseling 507-258-8017 Student Health Services 507-292-7250 Duluth Morris Rochester Twin Cities Office line: 612-625-8400 Boynton Mental Health 19 Page 275 of 393 24 hour counselors: 612-301-4673 Student Counseling Services 612-624-3323 The University’s Employee Assistance Program (EAP) is available to benefits-eligible employees on all system campuses. EAP provides confidential, professional consultation and referral services to address any personal or work concern that may be affecting one’s wellbeing. EAP can be reached at 612-6252820, 1-888-243-5744 or eap@umn.edu. U.S. DEPARTMENT OF EDUCATION, OFFICE FOR CIVIL RIGHTS Individuals with questions regarding this policy or the application of this policy may also contact the U.S. Department of Education, Office for Civil Rights, which is the federal agency that enforces Title IX of the Education Amendments of 1972. Subject Contact Phone Fax/Email Federal government contact U.S. Department of Education 500 W. Madison Street, Suite 1427 312-730-1700 312-730-1704 Chicago, IL 60661 DEFINITIONS ASSISTS OR ABETS An individual assists or abets prohibited conduct when the individual: (1) helps any other person to engage in prohibited conduct; and (2) intends the prohibited conduct to occur or knows that their actions are significantly likely to help the other person to engage in prohibited conduct. COMPLAINANT An individual is a “complainant” when the University learns that the individual may have experienced prohibited conduct. Complainants are assisted under this policy even if they have not reported prohibited conduct to the University or pursued a prohibited conduct investigation under this policy. RESPONDENT An individual is a “respondent” when the University learns that the individual is alleged to have engaged in conduct that could constitute prohibited conduct under this policy. PROHIBITED CONDUCT Prohibited conduct includes sexual assault, sexual harassment, stalking, relationship violence, and related retaliation. 20 Page 276 of 393 A. Sexual assault is: (1) actual or attempted sexual contact without affirmative consent; or (2) a threat to engage in contact that would be, if the threat were carried out, sexual contact without affirmative consent. 1. Sexual contact is intentional sexual touching with an object or body part. Depending on the context, it may include, but is not limited to: (a) intentionally touching the breasts, buttocks, groin, or genitals of another individual; (b) intentionally touching another individual with any of these body parts; and (c) making an individual touch another individual or themselves with, or on, any of these body parts. Sexual contact can occur whether or not an individual’s body parts are covered by clothing. 2. Affirmative consent is freely and affirmatively communicated words or actions given by an informed individual that a sober reasonable person under the circumstances would believe communicate a willingness to participate in the sexual contact. This definition of consent does not vary based upon an individual’s sex, sexual orientation, gender identity, or gender expression. The following factors will be considered when determining whether affirmative consent was given.       Each individual who wishes to engage in sexual contact is responsible for obtaining consent from the other individual or individuals who intend to be involved in the sexual contact. A lack of protest, the absence of resistance, and silence do not by themselves indicate consent. The existence of a present or past sexual, dating, or other romantic relationship between the individuals involved does not by itself imply consent to sexual contact. Consent must be present throughout the sexual contact and may be given and withdrawn at any time. When consent is withdrawn, all sexual contact must stop. Where there is confusion about the state of consent, sexual contact must stop until the individuals have verified the affirmative consent of all individuals involved. Consent to one form of sexual contact does not by itself constitute consent to another form of sexual contact. Consent is not obtained where:   An individual is compelled to engage in unwanted sexual contact through the use of coercion. Coercion may consist of physical force, intimidation, threats, or severe or persistent pressure that would reasonably cause an individual to fear significant consequences if they refuse to engage in sexual contact. An individual involved in sexual contact is incapacitated due to the influence of drugs or alcohol, and a reasonable person would know of this incapacitation. Incapacitation due to the influence of drugs or alcohol is a state beyond mere intoxication or impaired judgment. Some indicators of incapacitation due to the influence of drugs or alcohol may include: o A lack of control over one’s physical movement (for example, an inability to walk or stand without stumbling or assistance). o An inability to effectively communicate (for example, where one’s speech is heavily slurred, incomprehensible, or nonsensical). o A lack of awareness of one’s circumstances or surroundings (for example, a lack of awareness of where one is, how one got there, who one is with, and how or why one became engaged in sexual contact). If there is any doubt as to whether another individual is incapacitated, one should assume that the individual does not have the capacity to give consent. 21 Page 277 of 393    An individual involved in sexual contact is unable to communicate or understand the nature or extent of the sexual situation because of a physical or mental condition. An individual involved in sexual contact is asleep, unconscious or involuntarily physically restrained. An individual involved in sexual contact is not of legal age to give consent pursuant to Minnesota state law. B. Sexual harassment is unwelcome conduct of a sexual nature under either of the following conditions:   When it is stated or implied that an individual needs to submit to, or participate in, conduct of a sexual nature in order to maintain their employment or educational standing or advance in their employment or education (quid pro quo sexual harassment). When the conduct: (1) is severe, persistent, or pervasive; and (2) unreasonably interferes with an individual's employment or educational performance or creates a work or educational environment that the individual finds, and a reasonable person would find, to be intimidating, hostile, or offensive (hostile environment sexual harassment). In determining whether conduct is unwelcome, consideration is given both to the complainant’s subjective experience and to whether a reasonable person would have perceived the complainant as welcoming the conduct. A complainant’s acquiescence to the conduct, or failure to complain about the conduct, is not by itself determinative of whether the conduct was welcome. Under this policy, an individual who is reasonably perceived to hold power over another individual (such as a supervisor over a supervisee or faculty member over a student) is expected to understand that the subordinate individual may submit to or participate in sexual conduct because the subordinate individual fears potential negative repercussions if they refuse, and not because they welcome the conduct. Sexual harassment may include conduct that is verbal, nonverbal, graphic, and/or physical. Individuals of all genders can be victims of sexual harassment, and the complainant and respondent can be of the same or different genders. The following conduct may, if sufficiently egregious, constitute sexual harassment:      Unwelcome sexual advances, including touching or sexual comments. Implicit or explicit requests for sexual favors in exchange for employment or academic benefits. Distributing ratings of individuals’ attractiveness or sexual activity or performance. A pattern of sexually suggestive comments, jokes, or gestures. Sexual exploitation: Taking sexual advantage of a person, which may include, but is not limited to, unwelcome: (1) exposure of one’s genitals to another person; (2) distribution of sexual information, images, or recordings of or about another person; (3) observation or recording of sexual activity or nudity where there is a reasonable expectation of privacy; and (4) knowingly transmitting sexual infections or diseases without the other person’s knowledge. A hostile environment may be created by persistent or pervasive unwelcome conduct of a sexual nature or by a severe single or isolated incident. C. Stalking is a course of conduct directed at a specific individual that is unwelcome and that would cause a reasonable person to: (1) feel fear for their safety or the safety of others; or (2) experience substantial emotional distress. A course of conduct is multiple acts including, but not limited to, acts in which an individual directly, indirectly, or through third parties, by any action, method, device, or means, follows, monitors, observes, surveils, threatens, or communicates to or about another individual, or interferes with another individual’s property. In determining whether an individual has engaged in 22 Page 278 of 393 a course of conduct, consideration is given to the number of acts, their level of severity, and the time period in which they occur. Stalking includes “cyber-stalking,” in which an individual uses electronic media, such as the internet, social networks, blogs, cell phones, texts, or other methods or forms of contact to engage in stalking. In determining whether conduct is unwelcome, consideration is given both to the complainant’s subjective experience and to whether a reasonable person would have perceived the complainant as welcoming the conduct. A complainant’s acquiescence to the conduct, or failure to complain about the conduct, is not by itself determinative of whether the conduct was welcome. Under this policy, an individual who is reasonably perceived to hold power over another individual (such as a supervisor over a supervisee or faculty member over a student) is expected to understand that the subordinate individual may submit to or participate in sexual conduct because the subordinate individual fears potential negative repercussions if they refuse, and not because they welcome the conduct. D. Relationship violence is actual, attempted or threatened violence by an individual who is, or has been, in a spousal, sexual, or romantic relationship with the individual receiving the actual, attempted, or threatened violence. The existence of such a relationship will be determined based on consideration of the length of the relationship, the type of relationship, and the frequency of interaction between the individuals involved in the relationship. E. Retaliation means taking an adverse action against an individual because of the individual’s good faith participation in: i. ii. iii. iv. reporting suspected or alleged prohibited conduct; expressing opposition to suspected or alleged prohibited conduct; participating in an investigation related to a prohibited conduct allegation; or accessing the Office for Conflict Resolution (OCR) to resolve a conflict related to prohibited conduct. To demonstrate that retaliation has occurred, an individual must show that a causal relationship exists between the individual’s actions in (i) through (iv) above and the adverse action. Adverse actions are actions that might deter a reasonable person from engaging in reporting suspected or alleged prohibited conduct, expressing opposition to suspected or alleged prohibited conduct, participating in an investigation related to a prohibited conduct allegation, or accessing the Office for Conflict Resolution. Examples of adverse action include, but are not limited to: impeding the individual’s academic advancement; departing from any customary academic or employment practice regarding the individual; firing, refusing to hire, or refusing to promote the individual; transferring or assigning the individual to a lesser position in terms of wages, hours, job classification, job security, employment or academic status; and threatening or marginalizing an individual. In some situations, retaliatory conduct may also include inappropriate disclosure of the identity of the individual who has made a complaint protected by this policy. Good faith participation means (1) reporting or expressing opposition to prohibited conduct based on a reasonable belief that prohibited conduct has occurred, or (2) honestly participating in an investigation of prohibited conduct or accessing conflict resolution services. For more information on retaliation, see FAQ: Retaliation in Sexual Harassment, Sexual Assault, Stalking and Relationship Violence Cases UNIVERSITY EMPLOYEES 23 Page 279 of 393 University employees include the following individuals: a. all individuals defined as employees by the Board of Regents Policy: Employee Group Definitions, including: i. faculty ii. academic professionals iii. academic administrators iv. professionals in training (including postdoctoral associates) v. civil service staff vi. union-represented staff vii. graduate assistants viii. student employees b. fellows; c. temporary employees; and d. third parties serving in instructional roles at the University. UNIVERSITY PROPERTY University property includes any building or property that is owned or controlled by the University and is used by the University in direct support of, or in a manner related to, the University’s educational purposes. RESPONSIBILITIES Counseling Services Offices Provide counseling services and referrals. Campus Title IX Offices and their Designees Provide consultations regarding prohibited conduct policies and procedures. Receive reports of prohibited conduct. Investigate, or oversee investigations of, prohibited conduct reports. Health Care Services Provide health care and counseling, and referrals. Housing/Residential Life Offices Provide assistance to residents, including changing living situations if requested and reasonably available. Human Resources Receive and respond to reports of prohibited conduct committed by employees. Police Departments  Investigate reports for possible criminal prosecution.  Refer complainants to appropriate campus resources for personal support and investigation.  Provide for campus safety and security.  Provide timely warnings as appropriate. Student Conduct Offices  Respond to and resolve reports of prohibited conduct consistent with the Student Conduct Code. This includes advising and sanctioning student respondents when warranted. Some offices also investigate reports. 24 Page 280 of 393  Provide resource and guidance for University presenters in prohibited conduct hearings and hearing panel board members and chairs. Victim/Survivor Services  Maintain all contacts and reports as strictly confidential.  Provide crisis intervention and advocacy.  Assist complainant in contacting police and/or reporting to other University offices, if the complainant consents (some can assist in obtaining restraining orders).  Assist complainant in obtaining medical assistance and counseling, changing academic programs, or housing, etc.  Campus-based programs will also provide awareness, prevention, and risk-reduction training, and educational programming for students and employees. RELATED INFORMATION            Board of Regents Policy: Student Conduct Code Board of Regents Policy: Code of Conduct Board of Regents Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence Board of Regents Policy: Employee Group Definitions Administrative Policy: Retaliation Administrative Policy: Graduate Assistant Employment Regulations Concerning Faculty Tenure Civil Service Rules Academic Professional and Administrative employee policies and procedures All Collective Bargaining Contracts Sexual Assault Victim's Rights Statement HISTORY 25 Page 281 of 393 Presentation to the Board of Regents: Administrative Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence Tina Marisam, EOAA Director and Title IX Coordinator Brian Slovut, Deputy General Counsel December 15, 2017 Page 282 of 393 Overview of Presentation 1. Item for action 1. Key policy changes since the October Board meeting 2. Employee reporting of sexual misconduct Page 283 of 393 Item for Action Ratification of Administrative Policy: Sexual Harassment, Sexual Assault, Stalking and Relationship Violence, with a January 1, 2018 effective date Page 284 of 393 Key Policy Changes • Clarified and detailed the campus Title IX office’s role regarding student conduct that is outside the scope of Subdivision 8 of the Student Conduct Code • Specified the offices and officials that are responsible for particular duties and decisions in the sexual misconduct response process • Added a requirement that supervisors and human resources representatives report possible sexual harassment by employees and third parties to the campus Title IX office • Clarified policy language Page 285 of 393 Employee Reporting of Sexual Misconduct Under the Current Policy • Employees with supervisory or advising responsibilities must report sexual assault, stalking and relationship violence to the campus Title IX office. • No employees are required to report sexual harassment to the campus Title IX office. Under the Proposed Policy • University employees must report sexual assault, stalking and relationship violence to the campus Title IX office. • University employees must report sexual harassment directed at students to the campus Title IX office. • Supervisors and human resources representatives must report sexual harassment directed at employees to the campus Title IX office. Other University employees are encouraged to report sexual harassment directed at employees to the campus Title IX office, human resources, or a supervisor. Page 286 of 393 What Happens When the Campus Title IX Office Receives a Report? • The campus Title IX office reaches out to the impacted person to provide information about resources for personal support and options for investigation. • The campus Title IX office maintains confidentiality of student sexual misconduct reports. • The Title IX office rarely investigates a student sexual misconduct report without the consent of the impacted student. Page 287 of 393 Goals Related to the Reporting Requirement • Empower impacted students to decide which University resources to access by providing these students with consistent and timely information about available resources • Educate employees about how to respond when a student shares that they have experienced sexual misconduct • Help to create a campus culture that prevents sexual misconduct Page 288 of 393 Equal Opportunity and Affirmative Action 274 McNamara Alumni 200 Oak Street SE Minneapolis, MN 55455 (612) 624-9547 eoaa@umn.edu https://diversity.umn.edu/eoaa/ Page 289 of 393