July 23, 2014
(b)(6),(b)(7)(C)

Re:

Case No. 02-14-2349
State University of New York at Stony Brook

l:

Dear H~/6) ,(b)(7)

!,

On !(b)(6},(b)(7)(C the U.S. Department of Education, New York Office for Civil Rights (OCR)
received the above-referenced complaint you filed against the State University of New York at
Stony Brook (the University). You alleged that the Universit failed to respond appropriate ly to
the complaint of sexual assault you made in or around (b)(6},(b) , and complaints of harassment
you made in or around November and j(b)(6),(b)(7)(C) (Allegation 1). Based on infonnation in
your complaint and in correspondence you provided to OCR on (b)(6},(b)(7)(C) OCR has
determined that it will open your allegation for investigation.

l

Please be advised, however, that to the extent that our allegation concerns the University's Title
IX policies, procedures and practices, on (b)(6},(b)(7)(C) , OCR entered into an agreement with
SUNY in OCR's compliance review of SUNY's handling of allegations and reports of sexual
assault and harassment at its 29 state-operated campuses, including the University. Any
concerns you currently may have about the University's Title IX policies, procedures , and
practices are covered by this agreement. SUNY agreed that it and each of its 29 state-operated
campuses will, among other things, ensure that grievance procedures comply with Title IX
requirements; ensure students and staff are aware of Title IX's prohibition against sex
discrimination , how to recognize it when it occurs, and how to report incidents; ensure that
individuals are on-call to notify complainants of options and to coordinate with law enforcement
agencies; provide Title IX training to appropriate staff and students; seek input from the campus
community, including from past complainants , and conduct periodic assessments of the campus
climate in order to evaluate and improve the effectiveness of the campus's implementation of its
sexua l harassment policies and procedures and to inform its future proactive steps to provide a
safe environment for students free of sexual harassment and sexual violence; offer information
sessions and distribute information to students so that they are aware of the campus' prohibition
against sex discrimination and how to report it if it occurs; and provide certification that each
SUNY campus has continued to revise relevant publicat ions disseminated to students and
employees to notify all students and employees of the name and/or title, office address,

 Page 2 of 3 - Case No. 02-14-2349
electronic mail (email) address and telephone number of the person(s) designated to coordinate
its efforts to comply with Title IX. Further, SUNY agreed that it and each of its 29 stateoperated campuses will review annually all formal and informal complaints of discrimination on
the basis of sex (including sexual harassment, sexual assault, and sexual violence) received in
order to identify any patterns or systemic problems; and, will take appropriate action to address
any patterns or problems identified. OCR's case processing procedures provide that OCR may
close a complaint if the same issues involving the same recipient have been addressed in a recent
OCR compliance review. Accordingly, OCR will not address these issues in your complaint.
OCR will open for investigation your individual allegation, as stated above.
OCR is responsible for enforcing Title IX of the Education Amen dments of 1972 (Title IX), as
amended, 20 U.S.C. § 1681 et seq., and its implementing regulation at 34 C.F.R. Part 106, which
prohibit discrimination on the basis of sex in programs and activities receiving financial
assistance from the U.S. Department of Education (the Department). The University is a
recipient of financial assistance from the Department. Therefore , OCR has jurisdictional
authority to investigate this complaint under Title IX.
Because OCR has determined that it has juri sdiction and that the complaint was filed in a timely
manner , 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 merits.
During the investigation, OCR is a neutral fact-finder, collecting and analyzing relevant evidence
from the complainant, the recipient, and other sources, as appropriate. OCR will ensure that its
investigation is legally sufficient and is dispositive of the allegation, in accordance with the
provisions of Article III of OCR's Case Pro cessing Manual.
OCR' s goal is the prompt and appropriate resolution of the allegations contained in a complaint.
OCR offers, when appropriate, an Early Complaint Resolution (ECR) process, similar to
mediation , to facilitate the voluntary resolution of complaints by providing an early opportunity
for the parties involved to resolve the allegation(s). Some information about the ECR process is
contained in the publication entitled, "OCR Complaint Processing Procedures ," which was
enclosed with OCR's previous letter to you acknowledging your complaint. This information is
also on OCR's website at http://www2.ed.gov/about/offices/list/ocr/docs/ocrcpm.html#II.
Also, when appropriate, a complaint may be resolved before the conclusion of an investigation
after the recipient expresses an interest to OCR to resolve the complaint. In such cases, OCR
obtains a resolution agreement signed by the recipient. This agreement must be aligned with the
complaint allegations or the information obtained during the investigation, and it must be
consistent with applicable regulations. Addit ional information about this voluntary resolution
process may be found in the publication , "OCR Complaint Processing Procedures," which was
enclosed with OCR' s previous letter to you, acknowledging your complaint. This information is
also on OCR's website at http://www2 .ed.gov/about/offices/list/ocr/docs/ocrc_pm.html#Ill .
Please be advised that the University may not harass, coerce, intimidate, or discriminate against
any individual because he or she has filed a complaint or participated in the complaint resolution
process . If this happens, the complainant may file another complaint alleging such treatment.

 Page 3 of 3 - Case No. 02-14-2349
Under the Freedom oflnformation Act, it may be necessary to release this document and related
correspondence and records upon request. In the event that OCR receives such a request, it will
seek to protect, to the extent provided by law, personally identifiable information, which, if
released , could reasonably be expected to constitute an unwarrant ed invasion of personal
privacy .
OCR will communicate with you periodicall y regarding the status of your complaint. If you are
interested in resolving your complaint through OCR's ECR process or have any questions, please
contact Genara C. Necos, Compliance Team Attorney , at (646) 428-3828 or
genara.necos @ed.gov ; Jane Tobey Momo, Compliance Team Attorney, at (646) 428-3763 or
jane .tobey .momo @ed.gov; or me, at (646) 428-3801 or nadja .r.allen .gill@ed .gov.
Sincerely,

Nadja Allen Gill
Compliance Team Leader

 UNITED

STATES DEPARTMENT or EDUCATION
Ol'FICI. FOR CIVIi. RIGH r\
32 01 D SLIP , 26TH fLOOR
:--EW YORK. ,E\\ YORK 10005

Tl:\IOTH\
C'. J. BL..\",CIJARO
DIRECTOR
'1EW YORK
ICE

July 23, 2014

on

Dr. Samuel L. Stanley Jr.,
President
State University of New York-Stony Brook
Office of the President
310 Administration Building
Stony Brook, New York I 1794-0701
Re:

Case No. 02-14-2026
State Universitv of New York- Stony Brook

Dear Dr. Stanley:

-

, the U.S. Department of Education, New York Office for Civil Rights (OCR)
..............
___.
received t e a ave-referenced complaint filed against the State University of New York-Stony
Brook (the University). The complainant alleged that the University
·
t respond
appropriatt:ly lo the complaint of sexual assault she made in or
(b)(6),(b)( , and the
complaints of harassment she made in or around !(b)(6),(b)( and (b)( 6),(b)(?)(C)
OCR has
determined that it will open the complainant's individual allegation for investigation.

I

Please be advised, however , that to the extent that the complainant's allegation concerns the
University's Title IX policies, procedures and practices, on October 31, 2013, OCR entered into
an agreement with SUNY in OCR 's compliance review of SUNY' s handling of allegat ions and
reports of sexual assault and harassment at its 29 state-operated campuses, including the
University. Any concerns the complainant currently may have about the Univers ity's Title IX
policies, procedures, and practices are covered by this agreement. SUNY agreed that it and each
of its 29 state-operated campuses will, among other things , ensure that grievance procedures
comply with Title IX requirements; ensure students and staff are aware of Title IX's prohibition
against sex discrimination, how to recognize it when it occurs, and how to report incidents;
ensure that individuals are on-call to notify complainants of options and to coordinate with law
enforcement agencies; provide Title IX training to appropriate staff and students; seek input from
the campus community, includ ing from past complainants, and conduct periodic assessments of
the campus climate in order to evaluate and improve the effectiveness of the campus's
implementation of its sexual harassment policies and procedures and to inform its future
proactive steps to provide a safe environment for students free of sexual harassment and sexual
violence; offer information sess ions and distribute information to students so that they are aware
of the campus ' prohib ition aga inst sex discrimination and how to report it if it occurs; and
provide certification that each SUNY campus has continued to revise relevan l publications

The Departmer1tof Education'smission is to promote student achiev('mentand preparationfor global competitn:enessby fostering
educario,za/excellenceand ensuringequal access

 Page 2 of 5 - Case No. 02-14- 2349
disseminated to stude nts and employees to notify all students and employees of the name and/or
title, office address, electronic mail (email) address and telephone numbe r of the person(s)
designated to coordinate its efforts to comply with Title IX. Further , SUNY agreed that it and
each of its 29 state-operated campuses will review annually all formal and informal complaints
of discrimination on the basis of sex (including sexual harassment, sexual assault, and sexual
violence) received in order to identify any patterns or systemic problems; and, will take
appropr iate action to address any patterns or problems identified.
OCR ' s case processing procedures provide that OCR may close a complaint if the same issues
involving the same recipient have been addressed in a recent OCR compliance review.
Accordingly, OCR will not address these issues in its investigation of the instant complaint.
OCR will open for investigation the compla inant· s individual allegation, as stated above.
OCR is responsible for enforcing Title IX of the Education Amendments of 1972 (Title IX), as
amended , 20 U.S.C. § 1681 et~- , and its implementing regulation at 34 C.F.R. Part 106, which
prohibit discrimination on the basis of sex in programs and activ ities receiving financial
assistance from the U.S. Department of Education (the Department). The University is a
recipient of financial assistance from the Department. Therefore, OCR has jurisdictional
authority to investigate this complaint under Title IX.
Because OCR has determined that it has jur isdiction and that the complaint was filed in a timely
manner , it is opening this allegation for investigation. Please note that opening the aJJegation for
investigation in no way implies that OCR has made a determination with regard to its merits.
During the investigation , OCR is a neutral fact-finder, collecting and analyzing relevant evidence
from the complainant, the recipient , and other sources, as appropriate. OCR will ensure that its
investigation is legally sufficient and is dispositive of the allegation, in accordance with the
provi sions of Article III of OCR's Case ProcessingManual.
Enclosed is a document entitled, "OCR Complaint Processing Procedures." This document will
provide you with an overview of OCR's complaint evaluation, investigat ion, and resolution
process. OCR will collect only material needed to investigate this complaint and will take all
proper precautions to protect the identity of any individuals named in documents.
The regulation implementing Title YIof the Civil Rights Act of 1964, at 34 C.F.R. § 100.6(b)
and (c), require s that a recipient of federal financial assistance make available to OCR
information that may be necessary for it to determine whether a recipient is in compliance with
the regulations it enforces. This requirement is incorporated by reference in the regulation
implementing Title IX, at 34 C.F.R. § I 06. 7 l. This information is also being requested pursuant
to 34 C.F.R. § 99.3 l(a)(3)(iii). Please submit the information listed on the enclosed dat a request
to OCR within twenty (20) days of the date of this letter or OCR may conduct an onsite file
review in order to obtain this information in a timely manner.
OCR 's goal is the prompt and appropriate resolution of the allegations contained in a complaint.
OCR offers, when appropriate, an Early Complaint Resolution (ECR) process , similar to
mediation, to facilitate the voluntary resolution of complaints by providing an early opportunity

 Page 3 of 5 - Case No. 02-14- 2349
for the parties involved to resolve the allegation(s). Some information about the ECR process is
contained in the enclosure to this letter entitled, "OCR Complaint Processing Procedures," and
on OCR' s website at http://www2.ed.gov/about/offices /list/ocr/docs/ocrcpm.html#II.
Also, when appropriate , a complaint may be resolved before the conclusion of an investigation
after the recipient expresses an interest to OCR to resolve the complaint. In such cases, OCR
obtains a resolution agreement signed by the recipient. This agreement must be aligned with the
complaint allegations or the infonnatio n obtained during the investigation, and it must be
consistent with applicable regulations. Additional information about this voluntary resolution
process may be found in the enclosure entitled, "OCR Complaint Processing Procedures, " and on
OCR' s website at http://www2.ed.gov /about/offices/list/ocr/docs/ocrcpm.html#III.
Please be advised that the University may not harass, coerce, intimidate, or discriminate against
any individual because he or she has filed a complaint or participated in the complaint resolution
process. If this happens, the complainant may file another complaint alleging such treatment.
Under the Freedom of Information Act, it may be necessary to release this document and related
correspondence and records upon request. In the event that OCR receives such a request, it will
seek to protect, to the extent provided by law, personally identifiable information , which, if
released, could reasonably be expected to constitute an unwarranted invasion of personal
privacy.
OCR staff will contact you within twenty (20) days of the date of this letter to discuss the
complaint resolution process. In the interim, if you have any questions , please contact Genara C.
Necos, Compliance Team Attorney , at (646) 428-3828 or genara.necos @ed.go v; Jane Tobey
Mamo, Compliance Team Attorney , at (646) 428-3763 or ja.nc.tobcy.momo@ed.gov or me; at
(646) 428-3801 or nadja.r.allen.gill @ed.gov.
Sincerely,

 Page 4 of5 -Case No. 02-14- 2349

Dan Request

ll Stony Brook
Case No. 02.14.2349

Compl-inan

 

DATA DUE: August 12. 2014

More provide ilerm' for aeodemie year 2013-21114, wile" orherwire indicated, or
slate in wriil'ng whether any "queued mamiul tlaes mu exist

I.

2.

Copies oithc University's Student Handbooks; and Catalogs.
Cnpies ortne University's Code orStudent Conduct and/or Sludenl Disciplinary Code.

State whether the University conducts iocus groups/meetings and/or holds inronnotional
sessions with the student community women's groups, athletes, residential
assistants. ftaternity and sorority leaders, etc,) and/or University students'
rights under Tille IX. how to report violations of IX, and/or the College's
obligation to and equitably respond to Title complaints. lf 50, provide the
dates of such events, a description or the attendees and any materials presented and/or
disu--ibuled.

The name. oifice address, and telephone number ofthe University's Title IX Caordirtator.
Indicate the method(s) by which this information is disseminated to students and
employees, Provide eopies oralt publications/websites that contain this information,

A detailed description of any training regarding sex discrimination, including sexual
harassment and sexual assault, provided to the University's Title IX Coordinator or other
University srnit. For eneh such training, include:

 
  

 

the datets) the training was provld
the names and qualifications otthe lndi duals who provided the uni rig;

a list orrhe names and titles orthe individuals who attended the uainin and
copies ornny materials distributed nr the training.

99.:er

Copies o1 all documentation related to the complainant's reports of sexual
harassment/assault made during academic ycar 201320", as well as in or around May,
November, and December 2013, inc|uding but not limited to copies or any written
complaint(s) or record(s) of oral complainr(s) made by the complainant, investigative
reports. witness statements. electronic mail messages (emails), telephone lugs. and
correspondence.

Page 5 of 5 - Case No . 02-14- 2349

7. A detaile d description of the steps and actions the University took in response to the
complainant ' s complaints of sexual harassment/assault , including:
a. a description of the procedures employed by the University to investigate the
complaints ;
b. a description of interim remedial measures (academic or other) provided by the
University to the complainant during the pendency of the investigation;
c. the timeline for completion of each stage of the investigation process ;
d. the types of records maintained;
e. the final outcome of all investigation (s);
f. the name(s ) and title(s) of University staff involved in the investigation process ; and
g. the evidentiary standard applied by the University to determine the outcome of the
complainant ' s complaints; and
h. copies of the University's
Title IX grievance procedures
and sex
discrimination/harassment (including sexual assault) policies and procedures relied
upon to respond to any complaints filed by the complainant.
8. Copies of all documentation , including but not limited to, letters, emails , reports , notes,
logs, meeting minutes, hearing transcripts, discipline records, telephone records , campus
public safety records, and other external law enforcement agency records related to:
a. the University ' s processing of the complainant's complaints;
b. the University ' s handling/investigation of the complainant ' s complaints, including
any notices to the parties;
c. the disciplinary hearing, includ ing any notices to the parties;
d. appeals filed, if any ;
e. communications between the University and the complainant (or anyone on his
behalf) regarding the accused student; and
f. communications regarding the accused ' s standing at the University pending
completion of the investigation.
9. . A list of all complaints of sexual assault filed by students at the University's campus
during academic years 2011-2012 , 2012-2013 and 2013-2014.
10. For each complaint identified in Item 9, provide the following:
a. a detailed description of the complaint processing procedures employed;
b. the length of the process;
c. the name(s) and title(s) of the person(s) responsible for investigating the
complaint;
d. all actions taken by the Univer sity in response to the concerns raised;
e. the University ' s final determination regarding the complaint , and any notice of the
findings provided to the complainant; and
f. the sex of the complaining student.
11. The name, title, address , telephone number, fax number and email address of a contact
person for this complaint.