UNITED STATES DEPARTMENT OF EDUCATION OFFfCE FOR CTVIL RIGHTS 61 FORSYfH ST., SOUTHWEST,SUITE 19T10 ATLANTA, GA 30303-8927 REGION JV ALABAMA FLORIDA GEORGIA TENNES.SEE March 19, 2014 Nicholas S. Zeppos Office of the Chancellor Vanderbi It University 211 Kirkland Hall Nashville, Tennessee 37240 Re: Docket No. 04-14-6002 Vanderbilt University Dear Chancellor Zeppos: On March 12, 2014, the U.S. Department of Education (Department), Office for Civil Rights (OCR), sent you a letter informing you that OCR has selected Vanderbilt University (University) for a compliance review. As stated in that letter, the compliance review will examine the University' s handling of complaints of sexual harassment, including sexual violence, to determine if the University has responded immediately and appropriately, with particular emphasis on complaints of sexual violence. OCR is responsible for enforcing Title lX of the Education Amendments of 1972 (Title IX) , 20 U.S.C. Section 1681 et~., and its implementing regulation, 34 C.F.R. Part I 06, which prohibit discrimination on the basis of sex in any education program or activity operated by a recipient of Federal financial assistance from the Department. The University receives funds from the Department and is therefore subject to Title IX and the regulation. Please note that opening this compliance review in no way implies that OCR has made any conclusions as to whether a violation of Federal law exists. During the review, OCR is a neutral fact-finder, collecting and analyzing relevant evidence from the recipient and other sources, as appropriate. OCR will ensure that its review is legally sufficient and, in accordance with the provisions of Article III of the Case Processing Manual. OCR will investigate the following legal issues: I. Whether the University failed to provide prompt and equitable responses to sexual harassment or violence complaints, reports and/or incidents of which it had notice, in noncompliance with the Title IX implementing regulation at 34 C.F.R. §§ I06.8, I06.31. 2. Whether failures by the University to provide a prompt and equitable response to any complaints, reports or incidents of sexual harassment or violence allowed students to be subjected to a sexually hostile environment, in noncompliance with the Title IX implementing regulation at 34 C.F.R.§§ 106.8, 106.31. OCR intends to conduct a prompt review of these issues. The regulation implementing Title VI at 34 C.F.R. § I00.6(b) and (c ), requires that a recipient of Federal financial assistance make available to OCR information that may be pertinent to reach a compliance determination. This requirement is incorporated . at 34 C.F.R. Part 10~.7I. Pursuant to 3~ C.F.R. § I00.6(c) and 34 by reference in the Title IX.re_gul~ti~ns The Department of Educations 1111ss1on 1s to promote stud ent achieve m ent and preparation for global competitiveness by fostering educational excellence and ensuring equal access. www.ed.gov Vanderbilt University Compliance Review Docket #04-14-6002 Page2 C.F.R. § 99.3 l(a)(3)(iii), of the regulation implementing the Family Educational Rights and Privacy Act, 20 U.S.C. § 1232g, OCR may review personally identifiable records without regard to considerations of privacy or confidentiality. Accordingly , OCR is requesting that you forward the following information , including un-redacted copies of the specified documents, to us within thirty (30) calendar days from the date of this letter: I. The name, title , and daytime telephone number of the University's Title IX Coordinator. 2. All University policies or website links thereto addressing sexual harassment and violence against students and University employees. Please include an explanation of how the policies are publicized or disseminated to students and University employees. Please provide the name, title, and daytime telephone number of the person responsible for implementing these policies. 3. All University grievance and complaint procedures or website links thereto available to students and University employees or third parties who wish to file a complaint of sexual harassment or sexual violence. Please include an explanation of how the grievance/complaint procedures are publicized or disseminated and any written notices about the procedures. Please provide the name, title, and daytime telephone number of the person responsible for implementing these procedures, and if different , the person responsible for investigating and resolving reports of sexual harassment and sexual violence. 4. All University policies and procedures that relate to the obligation of faculty, staff and other employees to report possible sexual harassment or sexual violence of which they are aware. 5. The complete case files, excel spreadsheets, crime logs, written investigations and any other documents concerning or containing sexual harassment, sexual violence , and sexual misconduct incidents, complaints (verbal or written) , grievances, or reports (including those made anonymously) filed with or provided to the University from January 1, 2010 through the date of the University's response to OCR. This request includes but is not limited to complaints or reports made to University employees , the University 's Equal Opportunity Office, the University ' s Office of Student Conduct, campus police , and any other person or entity acting on behalf of the University. This request also includes incidents of which University staff had notice even if they were not formally reported to the University. For each incident , if not reflected by the documentation , please include: a) b) c) d) e) t) The complaint/grievance/report , or if verbal, please provide a description of the alleged facts reported or observed and all documents submitted in support thereof. The date of the incident, the identity of the subject of the harassment, and the identity of the alleged harasser. The names of all individuals involved in the investigation of those reports or incidents. Provide all emails and correspondence relating to the investigations, including but not limited to all letters of resolution. In each case where the University did not conduct an investigation , provide a narrative explaining why the University did not investigate the repo,t. A description of the investigation (e.g., number and type of witnesses, types of evidence, etc.), a summary of all steps taken in response to the report and a description of the underlying incident as determined based on the University's investigation. Witness statements or notes of interviews, and any other evidence obtained during the investigation including document reviews , evidentiary hearings , etc. Vanderbilt University Compliance Review Docket #04-14-6002 Page 3 g) Whether the University found that the complainant and/or other students were sexually harassed or assaulted, along with a description of the University's findings and analysis for rendering its determination. h) The outcome of the complaint, including what specific University policies were violated (if any) and the disciplinary measures or other sanct ion (if any) that were imposed as well as the reasons why disciplinary actions/sanctions were or were not taken. Provide OCR with a copy of any documentation of the outcome (if any), and who received documentation of the outcome. i) Any relief provided (including interim and systemic) including any services or other remedies the University provided or offered to individual(s) subjected to sexual harassment or violence and proactive steps the University took to prevent recurrence of any incident that occurred . j) Whether the complaint was part of any larger pattern of similar complaints. k) Whether the University made any conclusions as to whether the complainant and/or other students were subjected to a sexually hostil e environment, along with a description of the University's findings and analysis for rendering its determination. 10. All education and training materials provided to University employees who investigate allegations of sexual harassment and sexual violence for the years of 2011-2012, 2012-2013, and 2013-2014. Please include a list of training sessions given to these employees. Provide the name and qualifications of the individuals who provided the training sessions, the specific topics of the training sessions, the dates the training sessions were held, and a list of individuals who attended the training sessions. Additionally, please ident ify the most recent date of training and the specific training and materials provided to each individual below: a) b) c) d) e) t) g) h) i) j) k) I) m) n) o) p) q) Athletes and coaches Title IX coordinator(s) The Director of Student Judicial Affairs The Director of Counseling Counselors in the Psychological and Counseling Center (including interns) Office of Equal Opportunity, Affirmative Action and Disability Services staff as well as any Title IX investigators not a part of that office Office of Housing and Residential Education staff including student Res ident Advisors University Public Safety/Police Officers and the Office of Crime Prevent ion Project Safe and Women's Center staff Student Orientation leaders Student Affairs Committee Appellate Officers for Sexual Misconduct staff/members Provost Committee on Sexual Assault members Student Health Services/Student Health Center staff The Green Dots program staff Administrators (Chancellor's staff such as Vice Presidents, Deans , Department Chairs), Faculty Senate Committee, Office of General Counsel and Staff members Office of Student Conduct & Academic Integri ty staff including the Director of Student Conduct 11. All education and training materials provided to students on the University's policies and procedures on sexua l harassment and sexual violence during the years of 20 I 0, 20 I I, 2012, 2013, and 2014. Please include a list of training sessions given to students on sexual harassment and Vanderbilt University Compliance Review Docket #04-14-6002 Page 4 sexual violence. Provide the name and qualifications of the individuals who provided the training sessions, the specific topics of the training sessions, the dates the training sessions were he ld, and a list of students who attended the training sessions. 12. A description of all other measures taken by the University to addr ess and prohibit sexual harassment and sexual violence, including all outreach and educational efforts. Please include information on any task force created by the University to address these issues, and include the names and titles of all individuals involved in the task force, the specific issues the task force was created to address , the date the task force was created, and the efforts made to date by the task force. 13. All measures taken by the University to address the health and safety of victims of sexual harassment and sexual violence. 14. The University's policies and procedures on imposing sanctions upon and/or taking corrective action against students and employees for committing acts of sexual harassment and sexual violence. 15. The University's procedures for referring criminal matters involving sexual violence to law enforcement authorities. Please identify the University employee responsible for coordinating responses to incidents of sexual violence with University and local police , including a description of the process for communications with the local prosecutor and/or local police about the status of any criminal investigation and decisions to proceed with or decline prosecution. Please describe and if written provide copies of, proc edures for responding to possible sexual harassment or violence incidents during the pendency of a police investigation or criminal proceedings. Please state whether there is a University Police Department that plays a role in handling sexual harassment and sexual violence complaints, and describe the Police Department's involvem ent. 16. Copies of any memoranda of unders tanding with campus and local law enforcement or related protocols, written or unwritten , regarding the handling of sexual harassment/violence matters. 17. An explanation of the University 's system for tracking and maintaining information on incidents of sexual harassment or sexual violence. Please include the name and title of the person who maintains complaints, investigative materials , and findings regarding these incidents. 18. All student and employee surveys regarding incidents of sexual harassment and/or whether a hostile environment on the basis of sex exists on campus conducted during 2011-2012, 20122013 and 2013-2014. Please provide the results of those surveys. 19. The names of all student groups at the University. Please include the mission of each organization, the name of the faculty-staff advisor, and the name and contact information for the President of each of the student groups. 20. An explanation of how requests for confidentiality are handled , including all documents related to confidentiality in the University 's Title IX investigation process. 21. The University's Clery Act reports for all sexual offenses for the years 2011-2012, 2012-2013, and 2013-2014. Vanderbilt University Compliance Review Docket #04-14-6002 Page 5 22. Any and additional information the University would like OCR to consider. Thank you for your cooperation in this matter. In addition to the information requested above, OCR may need to request additional information and interview pertinent personnel. During the course of this investigation , we will conduct one or more on-site visits. You will be contacted to schedule a mutually convenient time for those visits. Please notify OCR of the name , address, and daytime telephone number of the person who will serve as the University 's contact person during this investigation . We would like to talk with this person as soon as possible regarding the information requested in this letter. The individuals at OCR who have been assigned to lead this investi gation are Ms. Angela Collins and Ms. Colleen Grogan , Senior Attorneys. If you have any questions or concerns, please do not hesitate to contact Ms. Collins at (404) 974-9346 , Ms. Grogan at (404) 974-9395, or me at (404) 974-9356. Sincerely, Compliance Team Leader UNITED STA TES DEPARTMENT OF EDUCA TION OFFICE FOR CJ\'IL RIGHTS THE ASSISTANT SECRETARY Nicholas S. Zeppos Office of the Chancellor Vanderbilt University 211 Kirkland Hall Nashville, Tennessee 37240 MAR 12 2014 (In reply, please refer to case number 04- I4-6002) Dear Chancellor Zeppos: The Office for Civil Rights (OCR) of the U.S. Department of Education (Department) is responsible for enforcing Federal civil rights lav,,s that prohibit discrimination on the bases of race, color , national origin, sex, disability, and age by educational institutions that receive Federal financial assistance. OCR is responsible for investigating individual complaints of discrimination and is also required to conduct periodic proactive compliance reviews of recipient practices to detem1ine whether they comply with the laws that OCR enforces. Compliance reviews are designed to address systemic issues and ensure that violations are readily identified and promptly eliminat ed. Compliance review sites are selected based on various sources of information, including stat istical data and infonnation from parents, advocacy groups, the media, and community organizations. I write to advise you that OCR has selected Vanderbilt University (University) for a compliance review under Title IX of the Education Amendments of 1972 (Title IX), 20 U.S.C. Section 1681 et~-, and its implementing regulation, 34 C.F.R. Part 106, which prohibit discrimination on the basis of sex in any education program or activity operated by a recipient of Federal financial assistance from the Department. The University receives funds from the Department and is therefore subject to Title IX and the regulation. This compliance review will examine the University's handling of compla ints of sexual harassment, including sexual violence, to determ ine if the University has responded promptly and effectively, wilh particular emphasis on complaints of sexual assault. It should be emphasized that at this time OCR has reached no conclusions as to whether a violation of any Federal law exists. U.S. Secretary of Education Arne Duncan is committed to ensuring that all students are afforded equal educational opportunities. We believe the information and any results from this compliance review will have a direct and positive impact on students enrolled at the University. We look forward to working with you in this review. OCR's Atlanta enforcement office will conduct this compliance review. Dr. Cynthia G. Pierre, OCR 's Director in Atlanta, will contact officia ls al the University within a week of the date of this letter to make arrangements for the next steps in the compIiance review process, including requesting access to data and personnel. 400 MARYLAND AVE. S.W., WASHINGTON , DC 20202-1100 www.ed .gov The Department of Education's mission j.,; to promote student achie,,ement and preparatio11 for gl obal competitiveness by fostering educational excellence and eJ1Suring equal access. Page 2 - Mr. Nicholas S. Zeppos, Chancellor Should you have any questions or concerns, please do not hesitate to contact me at (202) 453-590 0. If your staff has any questions regarding the investigation , please do not hes itate to contact Dr. Pierre at (404) 974-9406. Thank yo u for all you have done - and continue to do - to improve our nation's univer sities . Sincerely , [I?< Cathe rine E. Lhamon Assistant Secre tary for C ivil Rights cc: Dr. Cynt hia G. Pierre , Director Office for Civil Rights - Atlanta