October 8, 2015
(b)(6),(b)(7)(C)

Re: OCR Case# 04-15-2441
Dear (b)(6),(b)(7)(C) :
On September 3, 2015 the U.S. Department of Education , Office for Civil Rights (OCR)
received the complaint that you filed alleging that the University of Miami (University) engaged
in discrimination on the basis of sex by failing to promptly and adequately respond to your report
of sexual harassment, including groping and lewd remarks by Professor!(b)(6),(b)(7)(C)
(Professor) while on a study abroad trip in China, in June 2015. You allege the incident created
an ongoing hostile environmen t for you. You also allege various incidents of retaliation from
University faculty, staff, and students since reporting the incident, including no longer
communicating with you or inviting you to graduate schoo l events , not allowing you in the
graduate students' cafeteria, and promoting a University official who was present on the trip in
order to silence him because he witnessed inappropriate conduct by the Professor.

I

OCR is responsible for enforcing Title IX of the Education Amendments of 1972 (Tit le IX), 20
U.S.C. §§ 1681 et seq., 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 (FFA) from the Department. The Un iversity receives FFA from the
Department and is therefore subj ect to Title IX and the regulation . Additional information about
the laws OCR enforces is available on our website at www.ed.gov /ocr.
Based on the allegations, OCR will investigate the following legal issues:
1. Whether the University failed to provide prompt and equitable responses to sexua l
harassment or violence complaints , reports and/or incidents of which it had notice, in
noncompliance with the Title TXimplementing regulation at 34 C.F.R . §§ 106.8, I 06.31.
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 the Complainant or
any other 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.
3. Whether the University retaliated against the Complainan t after she reported the sexual
misconduct incident to Un ivers ity personnel, in noncompliance with the Title IX
implementing regulation at 34 C.F.R. § 106.71.

 OCR Complaint# 04-15-2441
Page2
Because OCR has determined that it has jurisd iction and that the complaint was filed timely, it is
opening this allegation for investigation. Please note that opening the allegation for investigation
in no way implies that OCR has made a determination with regard to its merit. During the
investiga tion, OCR is a neutral fact-finder, collecting and analyzing relevant evidence from the
complainant, the recipient, and other sources, as appropriate. OCR will ensure that its
investigation is legally sufficient and is dispositive of the allegations, in accordance w ith the
provisions of Article III of OCR's Case Processing Manual.
We work to resolve allegations of discrimination promptly and appropriately. The individuals at
OCR who have been assigned to lead this investigation are Ms. Angela Collins and Ms. Jessica
Baker, OCR Attorneys, with Ms. Baker being the primary contact throughout the resolution
process. Please refer to your docket number noted above in any contacts with this office.
If you have any questions or concerns , please do not hesitate to contact Ms. Collins at (404) 9749346, Ms. Baker at (404) 974-9422, or me at (404) 974-9356.
Sincerely,

Wendy Gatlin
Compliance Team Leader

 UNITED STATFS DEPARTMENT OF EDUCATION REGION tv
omen FOR CIVIL RIGHTS 



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October 8, 2015

 

Dr. Julio Iik

ol't'tce oftlte l't'e dent
University ol'Miatni

710 Ashe Building

2 Memorial Drive

Coral Gables. Florida 33146

 

 

   

Re: Complaint 5! 0445-2441

Dear Dr. Frenk:

(b)(6)r(b)t7liC) the U.S. Department ot'Etlucatien Deianntenti Otltce for Civil Rights

(OCR). received the above--referenced complaint med by 'otnplainanu
allc 'ng that the University er ')cng (lin en lhe tins-er 
by Int te and adequately res and to he. re ort ot'sexnni harassment. inehtaing
groping and lend rentarks by ProlbssorHimecssor). wlt' on a abroad trip
In China. in The Complainant alleges the ereated an ongoing hosttie
ibrlIcI'. varim. in den "(retaliation Irom
University laculty if. and students sine reporting the including no longer

. mg with her or inviting her it) school events. telling her she was not

:Illn\\ed in the graduate students' cafeteria. and promoting :1 University omeiat who was present
en the trip in order to silence him because he nitnessed inappropriate conduct by tlte Professor.

 

       

 

 

 

       

 

OCR is responsible for enforcing Title IX ol'ilic Education Amendments of 972 (Title IX). 20
use his [681 et rm, and its implementing regulation 34 a. Part 106. which prohibit

di mutation on the basis ul's in any edne tion nwgi In (II activity operated by a of
Federal financial ass A) from the Department. Ie Univet. t) receives FFA l'rom (lie
Department and is the - hjeet to Title lX and the regulation, Additional information about
the Izms OCR culling. is . on our website at 

 

   

       

 

 

Because OCR has determined that it has and that the complaint was tiled tintely. it is
openinn this complaint for tion. Please note that opening the complaint for

tion in tto way implies that OCR lt with tegard lu ils merit.
During the investigation. OCR is it finder enIIeetin and analyzing relevant evidence
Iran. the eempiainant. the reeipient. and ether senree appropriate OCR ensure that its
investigation is legally sufficient and is disposilive ol'lIIe allegation. in accordance with the

pun isions ol'AI'Iiclc [ll olillte I'l'llt'm'A/llg .ilunuulr

       

   

 

The Department nr tr It. stntIt-nr nelneventent antipn-pararron 
by [aslcn'ng ewe/Iona and emitting ulutI/aca'ss

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Compliant #04-15-2441
Page 2

Accordingly, OCR will investigate the following legal issues:
I. Whether the University failed to provide prompt and equitab le 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. §§ I 06.8 , I 06.31.
2. Whether the University 's failure to provide a prompt and equ itab le response to complaints ,
reports or incidents of sexual harassment or violence allowed the Comp lainant or other
students to be subjected to a sexually hostile environment , in noncompliance with the Tit le
IX implementing regulation at 34 C.F .R. §§ l 06.8 , l 06.31.
3. Whether the University retaliated against the Complainant for reporting a sexua l misconduct
incident , in noncompliance with the Title IX implementing regulation at 34 C.F.R. § 106.71.
Please read the enclosed information about OCR ' s complaint processing , which includes
information about the regulatory prohibitions against reta liation, intimidation and harassment of
persons who file complaints w ith OCR or participate in an OCR investigation; and application of
the Freedom of Information Act and the Privacy Act to OCR investigations.
OCR will conduct a prompt investigation of this complaint. The regulation implementing Title
VI, at 34 C.F.R. § l00.6(b) and (c), requir es that a recipient ofFFA make available to OCR
information that may be pertinent to reach a compliance determination. This requirement is
incorporated by reference in the Title IX regulation at 34 C.F .R. Section 106.71. Pursuant to 34
C.F.R. § I00.6(c) and 34 C.F.R. § 99.31(a)(3)(iii), of the regulation implementing the family
Educat ional Rights and Privacy Act, 20 U .S.C. § 1232g , OCR may rev iew personally iden tifiable
records without regard to considerations of privacy or confidentiality.
Accordingly, OCR is requesting that you forward the following information , including unredacted copies of the specified documents , to us by October 26, 2015. Unless otherwise stated,
please provide this information and documents from January l , 2013 forward through the date of
this data compi lation. Include a ll information and documents related to a llegations by students at
all academic levels (e.g. , undergraduate , graduate , etc.) regarding alleged sexual
harassment/violence I by other students , faculty , instructors , and staff.
I.

1

A complete copy of any documents related to reports of the June 2015 sexual
harassment/violence of the Complainant, including all documents provided by Comp lainant;
University police reports/documents ; meeting notes; a list of witnesses interviewed , the
elates of each interview and interview notes /documentation , including the Compla inant's
interv iew; memos to the file; internal and externa l email staff correspondences; all videos
and photographs , if any; other information generated or gathered by the Uni ve rsity during
the course of the University ' s investigation; and the University 's response , including any

Please note that as used in this document, "sexual harassment or sexual harassment/violence" includes allegations
of the following conduct: sexual assault; rape; sexual battery; sexual coercion; rape or other sexual acts occurring
without consent; domestic violence; dating violence; stalking; unwelcome sexual advances; requests for sexual
favors; and other sexual misconduct; and other verbal, nonverbal or physical conduct of a sexual nature.

 Compliant #04-15-244 1
Page 3
interim measures , remedial actions on behalf of the alleged victim, and/or disciplinary or
other remed ial actions for the alleged subjects of the complaint. Please provide a copy of
any findings or analysis of the facts whether internal or exte rnal as well as any
determination provided to any students or faculty. If transcripts or audio or video
recordings exist of interviews, or other investigatory or adjudicative events, pro vide a copy
of such recordings and transcripts.
2. For all claims/grievances (verbal or written), formal o r info rmal , filed internally or with a
federal or state agency or court , alleging any type of sexual discrimination or harassm en t by
the Professor, please provide all documentation in the University or legal counsel 's
possession , including but not limited to a copy of the complaint , response, invest igativ e
documents, interviews, inv est igative notes and findings , as well as any actions taken based
on those findin gs.
3. The name an d dir ect contact inform at ion for all students, staff , and faculty (including all
corresponding staff and faculty titles) who participated in the University'sl(b)(6) ,(b)(7)( I
!(b)(6),(b)(7)(C)
educational trip to China in Jun e 2015 , as well as the trip's
syllabus and schedule of events and activities.

I

4. Documentation describing the role, function , and interaction of all University offices and
staff (e.g., Title IX Coordinator/s , Office of Workplace Equity and Performance , UM
Police Department , Student Affairs, Office of Vice Provost for Faculty Affairs, Dean of
Students Office , Sexual Assault Response Team , UM Departm ent of Public Safety ,
Campus Security etc.) who play a role in receiving , identifying , investigating , and/or
respo ndin g to repo rts of sex ual harassm ent/vio lenc e, as well as those responsibl e for
determining consequences for any finding of a sexual harassment/violence violation.
5. For each of the applicable offices in item #4, please identify the responsible individual (s)
by name , job titl e, direct contact information and the dates that the individual has held the
position.
6. Copies or web links to:
a. University policies and procedures rega rdin g sex ual harassment ;
b. University grievance or complaint procedures that students can use to file a complaint
of sexual harassm ent/v iolenc e;
c. The student code of conduct and disciplinary measur es applicable to sexual
harassm ent/violenc e; and
cl. University's policies and procedures on imposing sanctions upon and/or taking
corrective action against students and employee s for committing acts of sexual
harassment /v iolenc e.

7.

An explanation of how the University 's policies and procedures, including grievance or
complaint procedures , for sexual hara ssment were distributed and publicized to University
students, administrators, faculty and staff. Please includ e supporting documentation ,
including but not limited to brochures, distributed flyers , newspaper or web articles, and
orientation mat eria ls.

 Compliant #04-15-2441
Page 4
8. 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.
9. An Excel spreadsheet that includes all informal or formal student complaints or reports of
sexual harassment , whether written , verbal or an anonymous tip. Please provide an
electronic copy of the spreadsheet. For each complaint / report identified , please provide the
information below:
a. The name or unique identifier , sex, and academic status (e.g. , undergraduate, graduate
student , etc.) of the student who was allegedly harass ed.
b. The name or unique identifier , sex , and academic status or position (e.g. , student,
faculty , staff) of the individual against whom the complaint/report was filed.
c. Whether the complaint/report

was written or verbal.

d. The title of the University office and name of Universi ty staff member where the
complaint/report was made (campus safety , student servic es, academic dean , counselor ,
etc.).
e. A brief description of the allegation(s) made in the complaint/report
it alleged sexual assault/violence.
f. The date the complaint/report
1.

11.

including whether

was made ; if the compla int/report was investigated:

the dat e the investigation was started , the date the investigation was completed, the
date any hearing was conv ened , date the final decision was issued , and a description
and date of any other step in the process.
the name and title of the University official or staff member who investigated the
complaint/report.

g. If the complaint was not investigated , indicate why not.
h. If the complaint was resolved informally , the date the reso lution was completed , the
nature of the resolution , and the name and position(s) of the University official or staff
member who conducted the resolution.
1.

Whether the incident(s) described in the complaint / report occurred on or off campus. If
on campus, sp ecify the location (e.g ., dormitory , office , etc.). If off campus , indicate
the location , whether the location was owned or leased by the University , and whether
the incident(s) occurred at an event sponsored by or affiliated with the Univ ersity (e .g.,
apartments , off-campus event sponsored by a University-sanctioned club , etc.) .

.J. Indicate whether the complaint/report was referred to local law enforcement.

If yes,
indicate the law enforcement agency and any follow -up by the University with the law

 Compliant#04-15-2441
Page 5
enforcement agency, including the name and title of the University official or staff
member who conducted follow-up actions, the purpose of the actions, and the dates of
any such actions. If the complaint/report was not referred to local law enforceme nt,
indicate why not.
k. Indicate ,:vhether interim remedial measures were taken with respect to the complainant
and/or the alleged subject. If yes, specify the measures taken and their duration . In
addition, indicate the date(s) that the complainant , alleged subject , and any other
individuals with a need to know of the measures in place (e.g., campus police, specific
staff, residential office, etc.) were notified of the measures and how they were notified
(e.g., by telephon e, by email, by letter, etc.). Also, provide a copy of all relevant
documentation of such notification(s).
I.

If the complaint/report was investigated, provide a complete copy of the investigative
file, including but not limited to all investigative reports, internal/external
communication and emai ls, list of witnesses, interview notes, findings or other
documents that describe the outcome and resolution , including a description of all the
restorative measures for the complainant/alleged victim, remedies, and sanctions
resulting from the decision. In addition, indicate the date(s) that the complainant ,
alleged subject , and any other individuals with a need to know were notified of the
outcome and resolution, and how they were notified (e.g., by telephone, by email, by
letter, etc.), whether the University found that the complainant and/or other students
were sexually harass ed or assaulted , what policies if any \Vereviolated , along with a
description of the University ' s findings and analysis for rendering its determination , and
the disciplinary measures or other sanction (if any) that ,,.,,ere imposed as well as the
reasons why disciplinary actions/sanctions were or were not taken. Also , provide OCR
with a copy of any documentation of the outcome (if any), and who received
documentation of the outcome.

m. If the complaint/report was resolved informally, provide a copy of all notes,
memoranda , correspondence or other documents reflecting the University's
communications with the parties, the steps in the resolution and its outcome, as well as
a description of all the restorative measures for the complainant/alleged victim,
remedies, and sanctions resulting from the resolution. In addition , indicate the date(s)
that the compla inant, alleged subject, and any other individuals with a need to know
were notified of the outcome and resolution, and how they were notified (e.g., by
telephone, by emai l, by letter, etc.). Also provide a copy of all relevant documentation
of such notification(s).
n. Indicate whether a hearing was conducted in connect ion with the complaint/report. If a
hearing was conducted , indicate which process was used, the date(s) of the hearing, the
names and titles of all persons who participated in the hearing process and decision
making, and whether an audio recording and/or transcript of the hearing was made;
provide a copy of the hearing decision, report or other documents describ ing the hearing
decision , including all documents describing the restorative measures for the
complainant/alleged victim, remed ies, and sanctions resulting from the decision. In

 Compliant #04- I 5-244 I
Page 6

addition, indicate the date(s) that the complainant, alleged subject , and any other
individuals wit h a need to know of the hearing decision (e.g. , campus police , specific
staff, residential office , etc.) were notified of the ou tcome and reso lution , and how they
were notified (e .g., by telephone , by email, by letter, etc.). Also, provide a copy of all
relevant documentation of suc h notification (s).
o. Indicate whether an appea l was filed and by whom. If yes, provide a copy of the appeal
procedure , identify the staff person responsible for deciding the appeal, a copy of the
appeal decision or outcome , and the dates of when the appea l was filed and decided. In
add ition , indicate the date(s) that the complainant , alleged subject , and any other
individuals with a need to know of the hearing decision were notified of the outcome
and resolution , and how they were notified (e.g., by telephone , by ema il, by letter , etc.).
Also, provide a copy of a ll relevant documentation of such notification(s).
p. If any invest igat ions or appeal decis ions exceeded the University ' s timelines by more
than IO days , provide a brief description of the reason(s) for the delay. Include
docum entation of any notifications to the comp lainant and a lleged subject requesting or
notifying them of an extension.
9. A list of all training sessions given to Univers ity staff that play a role in receiving ,
identifying , investigating , and/or responding to reports of sexua l harassment/vio lence .. For
each session, provide the date/s of the training, the name and qua lific ations of the
individua l(s) who provided the training sessions , the spec ific topics of the training sessions ,
a copy of the PowerPoint or training materials provided and a list of individu a ls who
attended the trainin g sessions .
10. A list of training sessions given to students on sexual harassment/violence and any training
on the Unive rsity's sexual harassment/violence policies and procedures. For eac h session,
provide the date/s the training sessions were held , the name and qualifications of the
individuals who provided the training sess ions, the spec ific topics of the training sessions , a
copy of the Power Point or training materials provided , and a list of students who attended
the training sessions (if available).
11. A description of all other meas ures taken by the University to add ress and prohibit sexua l
harassment and sexua l violence, including all outreach and educat iona l effo rts. Please
include information on any task force created by the Universi ty to address these issues or to
review the University's policies and procedures concerning sexual harassment. Include the
nam es, titles and direct contact informat ion 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, the
efforts mad e to date by the task force and prov ide cop ies of any recommendations or
reports , internal o r external , produced by the committee/taskforce.
12. All measur es taken by the Un ivers ity to address the health and safety of vict im s of sexual
harassment and sexual violence.

 Complia nt #04-15-244 1

Page 7
13. The University ' s procedures for referring crimina l matters involving sexua l violenc e to law
enforcement authorities.
a. Please identify by name , title and direct contact information , the Univers ity emp loyee
responsible for coordinating respons es to incidents of sexua l vio lence w ith University
and loca l police , including a description of the process for communications w ith the loca l
prosecutor and/or loca l police about the status of any crimina l investigation and decisions
to proceed with or decline prosecution.
b. A description of the University police ' s role and jurisdiction for reporting and
investigation of complaints/repo rts of sexual harassment , including receiving reports,
responding , investigating , tracking , and prosecution.
c. Please describe , and prov ide copies of all procedures for how the University police
interact with the city or county police in cases of alleged sexual assault/violence during
the pendency of a local police investigation or criminal proceedings , including reporting ,
responding , invest igat ing, tracking , and prosecution.
d. Copies of any memoranda of understanding with campus and loca l law enforcement or
relat ed protocols , \Vritten or un wr itten, regarding the handling of sexual
harassment/violence matters.
14. An explanation of the University ' s sys tem for tracking and maintaining informat ion on
incidents of sexual harassment/viol ence . Please inclu de the name , title and direct contact
information of the person who maintains complaints , investigative materials , and findings
regarding thes e incidents.
15. All student and employee surveys , cond ucted since January 20 13, regarding incidents of
sexual harassm ent/violence and/or whether a hostile environment on the basis of sex exists
on campus. Please provide the results of those surveys and documentation of any efforts
taken to address findings or conc erns from the survey results.
16. Th e names of all st udent groups at the University . Please include the mission of each
organ ization , the name , title and direct contact information of the faculty -staff advisor and
President of each of the stud ent groups.
17. An explanation of how requests for confide ntiality are handled for sexual
harassment/violence , includ ing all documents rela ted to confidentiality in the Univ ersity ' s
Title IX investigation process.
18. The University's Clery Act reports for all sexual offenses for the years 20 12-2013 , 20132014 and 2014-2015.
19. Any and additional information the Univers ity wou ld like OCR to consider relevant to this
invest igation.

 Compliant #04-15-244 I
Page 8

Pursuant to Section 302 of OCR 's Case Processing Manual, a complaint may be resolved at any
time when, before the conclusion of an investigation, the University expresses an interest in
resolv ing the complaint. Please contact the assigned investigator if the University wishes to
discuss a Section 302 vo luntary resolution.
In addition to the information requested above , OCR may need to request addit ional 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 schedu le a mutually convenient time for those
visits.
Please notify OCR of the name , address , and daytime telephone numb er of the person who will
serve as the Univers ity's co ntact person during this investigation. We wou ld like to talk with
this person as soon as possible regarding the information requ es ted in this letter.
The individuals at OCR who have been ass igned to lead this inves tigat ion are Ms. Jessica Baker
and Ms. Angela Co llins, OCR Attorneys.
If you have any questions or concerns , pleas e do not hesitate to contact Ms. Baker, at (404) 9749422 , Ms. Collins at (404) 974-9346, or me at (404) 974-9356.
Sincerely ,

2f;:~~

Comp lianc e Team Lead er