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OFFICE FOR Cl\'lL RIGl·l'f~
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SAN n : .\ !\:(.' l~n \ \ :.\ 'l~'lO:.:

DEC7. 8 201~

(In reply , please refer to case no. 09-17-2091.)
6),(b
Dear!(b)(
)(7)CC)

!:

6

o~ (bX ).CbX7XC) !2016, the U.S. Department of Education, Office for Civil Rights (OCR),
received your complaint against Harvey Mudd College (the College). Your complaint
alleg es discrimination on the basis of sex when you were denied an equitable process
to resolve a sexual assault complaint that was filed against you.
OCR enforc es Title IX of the Education Amendments of 1972 and its imptementing
regulation at 34 C.F.R. Part 106 which prohibit discrimination on the basis of sex in
programs and activities operated by recipients of Federal financial assistance. The
College receives funds from the Department and is subject to the above laws and their
regulations as enforced by OCR.
We have determined that your complaint is appropriate for investigat ion under the laws
enforced by OCR and OCR is now opening your complaint for investigation. In addition,
please note that OCR's investigation will also include the following areas of Title IX
compliance:

1. Whether the College: a) disseminated notice of nondiscrimination on the basis of
sex as required by 34 C.F.R. § 106.9; b) appointed a Title IX coordinator as
required by 34 C.F.R. § 106 .8(a); and c) adopted policies and procedures that
provide for prompt and equitable response(s) to sexual harassment , including
sexual violen ce complaints and reports as required by 34 C .F.R. § 106 .8(b).
2 . Whether the College failed to provide an equitable process to the OCR
complainant and other students and whether the failure of the College to provide
an equitable response to complaints of sexual violence subjected students to a
sexually hostile environment that denies or limits the student's ability to
parti cipate in or benefit from the school 's program under 34 C.F.R. §106.8 and
§106 .31.

OCR is now beginning the complaint resolution process .
Bec ause OCR has determined that it has jurisdiction and that the complaint was filed
timely or qualified tor a waiver of the timeliness requirement, it is open ing these
alle gations for investigation . Please note that opening these allegations tor investigation

' ' · : ·.r •:·,·,··::- •. '".,.It:, ,lt ion ·., mi," on 1-; t<> pn.>mote stud ,:n t ,1,·h i~Vl'llWnt

,111d pr~paration f or gh, hal ,. , ,n, p, ·ti t:1 ..·1•, ,, .

b, ln~ kring ,•dur .ition al ,•x,d lt!nce ,ind 1·nsurm,; L'qual ,iL,.,._..,s_

 Page 2 -(09 -17-2091)
in no way implies that OCR has made a det ermination with regard to their merits.
During the investigation, OCR is a neutral fact-finder , collecting and analyzing relevant
evidence from the complainant, the recipient, and other sources, as appropriate. OCR
will ensur e that its investigation is legally sufficient and is dispositive of the allegations,
in accordanc e with the provisions of Artic le Ill of the Case Processing Manual.
OCR is committed to resolving complaints as promptly as possible.
OCR may close this complaint prior to making formal findings of compliance or noncompliance , provided that the circumstances or information gathered establishes an
administrative or other basis for resolution in accordance with the Case Processing
Manual.
Fede ral regulations prohibit the College from retaliating against you or from intimidating,
threa tening , coercing, or harassing you or anyone else because you filed a complaint
with OCR or because you or anyone else take part in the complaint resolution process.
Contact OCR if you believe such actions occur.
Unde r the Freedom of Information Act, it may be necessary to release this document
and related records upon request. In the event that OCR receives such a request , it will
seek to protect, to the extent provided by law, personal information that, if released ,
could reasonably be expected to constitut e an unwarranted invasion of privacy.
If you have any questions about this letter, please call our offic e at 415-486 -5555.

 ... . .

:

.

..

..

:..'.'\:iTEDSL'\ TES DEPARTMl:NT OF EDCCATION
t)FH CE fOH C!Vll . RIGlrI ~

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5tl Ll:S.:l: 'l' D ."•.\ rl(•l\i S f' L.\ Z.'-.
MAil. BOX 1.200; ROOM 15-15

SAN FRANCISCO . C \ '14Jll2

Dr. Maria Klawe
President
Harvey Mudd College
301 Platt Blvd
Claremont, California 91711
(In reply, please refer to case no. 09-17-2091.)

Response required by: January 31, 2017
Dear President Klawe :
7

6
on( CbX
).Cb
X Xc)

} the U.S . Department of Education, Office for Civil Rights (OCR) ,

recetyed a cojplaint
against Harvey Mudd College (the College). The Complainant ,
alleges discrimination on the basis of sex when he was denied an
equitable process to resolve a sexual assault complaint that was filed against him.

!(bX6).CbX7X
C)

OCR enforces Title IX of the Education Amendments of 1972 and its implementing
regulation at 34 C.F.R. Part 106 which prohibit discrimination on the basis of sex in
programs and activities operated by recipients of Federal financial assistance. The
College receives funds from the Department and is subject to the above laws and their
regulations as enforced by OCR
We have determined that the allegations stated above are appropriate for investigation
under the laws enforced by OCR. OCR will proceed with resolution of the compla int. In
addition, please note that OCR's investigation will also include the following areas of Title
IX compliance:
1. Whether the College: a) disseminated notice of nondiscrimination on the basis of
sex as required by 34 C.F.R. § 106.9; b) appointed a Title IX coordinator as
required by 34 C.F.R. § 106.8(a); and c) adopted policies and procedures that
provide for prompt and equitable response(s) to sexual harassment, including
sexual violence complaints and reports as required by 34 C.F.R. § 106.8(b) .

2. Whether the College failed to provide an equitable process to the OCR
complainant and other students and whether the failure of the College to provide
an equitable response to complaints of sexual violence subjected students to a
sexually hostile environment that denies or limits the student's ability to
participate in or benefit from the school's program under 34 C.F.R. §106.8 and
§106.31 .

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 Page 2 - (09-17-2091)
Be cause OCR has determined that it has jurisdiction and that the complaint was filed
timely or qualified for a waiver of the timeliness requirement , it is opening thes e
allegations for investigation. Please note that opening the allegations for investigation
in no way implies that OCR has made a determination with regard to their merits .
During the investigation , OCR is a neutral fact-finder , collecting and analyzing relevant
eviden ce from the complainant, the recipient, and other sources, as appropriate. OCR
will ensure that its investigation is legally sufficient and is dispositive of th e allegations ,
in accordance with the provisions of Article Ill of the Case Proce ssing Manual.
Enclos ed is a copy of the OCR Case Processing Procedures and an initial data request.
Plea se provide the information described in the data request by the date indicated at the
top of this letter. Please also provide the name and telephone number of the person
you design ate to respond. OCR's right of access to this information is found at 34 Code
of Federal Regulati ons, section 100.6(c). Considerations of confidentiality are not a bar
to OCR obtaining requested information under section 100.6(c). Please be aware that it
might be necessary for us to make additional requests for information in the future .
OCR is committed to resolving complaints as promptly as possible. OCR will contact
you or your designated representative soon to discuss the allegation(s) , the initial data
request and the complaint reso lution process.
Further, OCR may close this complaint prior to making formal findings of compliance or
non-compliance, provided that the circumstances or information gathered establishes
an administrative or other basis for resolution in accordance with the Case Processing
Manual.
OCR routinely advises recipients of Federal funds and public education entitie s that
Federal regulations prohibit intimidation , harassment or retaliation against those filing
complaints with OCR and those participating in the complaint resolution process.
Complainants and participants who feel that such actions have occurred may file a
se parate complaint with OCR.
Under the Freedom of Information Act, it may be necessary to release this document
and related records upon request. In the event that OCR receives such a request, it will
seek to protect, to the extent provided by law, personal information that, if released ,
could reas onably be expected to constitute an unwarranted invasion of privacy.
Your coope rat ion is appreciated . If you have any questions, please contact our office at

41 5-486-5 55 5.
incerely,
(b)(6),(b)(7)

Charles R. Love
Program Manager
Enclosu res

 U.S. Department of Education
Office for Civil Rights
Initial Data Request
Harvey Mudd College
Docket Number 09-17 ~2091
Please provide the following information and documents for the academic years
2013-14, 2014-15 and 2015-16, and the current academic year through the date of
compilation. Include all information and documents related to allegations by students
at all academic levels (i.e., undergraduate, graduate , etc.) regarding alleged sexual
harassment by other students, faculty, instructors , and staff.
Please note that as used in this document, "sexual harassment" includes allegations of
the following conduct: sexual assault; rape ; sexual battery ; sexual abuse ; 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.
Document means : a piece of written , printed, photographic , electronic, videotaped,
audio taped or other matter.
Items 1-16 should be submitted no later than January 31, 2017.
Item 17 (a)- (p) should be submitted no later than March 1, 2017
1.

Identify the following individuals by name , job title , department, and the dates that
the individual has held the position:

a. Title IX coordinator(s);
b. Staff at any offices serving the role of ombuds services ;
c. Campus safety (or police department) officers ;
d. Community service officers ;
e . Staff responsible for the investigation and response to complaints /reports of
sexual harassment;
f. Members of the student conduct committee ;
g. Hearing coo rdinator; and
h. Hearing admin istrator.

Notice of Nondiscrimination and Sexual Harassment Procedures
2.

A description of all College channels, procedures , or processes available to
students to report sexual harassment, including making anonymous or confidential
reports . Include a description , as well as documentation , of how students are
informed of these channels/processes.

 OCR Data Request - 09-17-2091

3.

The College 's notice(s) of nondiscrimination and all document(s) in and locations
through which such notice(s) is/are published or disseminated and the individuals,
groups and associations to whom the notice(s) is/are published or disseminated.

4.

A description . as well as documentation , of the role, function , and interaction of all
College offices and staff (e.g., Title IX, Office of Ombuds Services, Campus Safety,
Counseling and Psychological Services, Student Health , etc.) that play a role in
receiving, identifying, and/or responding to reports of sexual harassment.

5.

A description of the role by campus safety (or a comparable department) in the
reporting and investigation of complaints/reports of sexual harassment, including
receiving reports, responding , investigating , tracking, and prosecution, and any
documents describing the role.

6.

If applicable, provide a copy of the College's memorandum of understanding
(MOU) with the local police department. Otherwise, please describe or provide
documents describing how the College interacts with the city or county police in
cases of alleged sexual harassment , including reporting, responding, investigating ,
tracking, and prosecution.

7.

Copies of or web links to:
a. College policies and procedures regarding sexual harassment;

b. College grievance or complaint procedures that students, can use to file a
complaint of sexual harassment against a student, third party or employee . For
each grievance or complaint procedure. if not indicated in the policy or
procedure , identify the name and title of individuals who are responsible for
accepting, investigat ing, deciding or otherwise resolving complaints; and
c. The College 's student code of conduct and discipline policies regarding sexual
harassment.
8.

An explanation of how the College's policies and procedures, including grievance
or complaint procedures, for sexual harassment are distributed and publicized to
College students , administrators , faculty and staff. Please include supporting
documentation, including but not limited to brochures, distributed flyers, newspaper
or web articles , and orientation materials.

9.

To the extent any of the policies or procedures overl~p or provide more than one
option for addressing sexual harassment complaints, an explanation of how and
when the College uses a particular policy or procedure and how it addresses any
inconsistencies in requirements or processes for addressing sexual harassment
complaints.

2

 OCR Data Request- 09-17-2091

Training

10. A cfetailed description of training provided to College administrators , faculty, staff,
and resident advisors on sexual harassment. Include the date(s) provided; the
name(s) , title(s) , and qualifications of the person(s) who provided the training(s); a
listing of training topics or training agenda; and a description of the category of
employees in attendance.
11. A detailed description of training and information sessions for students on sexual
harassment. Please spec ify if the training was targeted to a particular student
population (e.g., international students , freshmen ., transfer students) , how the
training was provided (on-line, in-person), and if the training is mandatory or if
registration holds are imposed. Indicate any on-line vendors used (e.g . Alcohol
EDU). If in-person training was provided to students , please list the date(s) of this
training , and the name(s), title(s) , and qualification{s) of the person(s) who
provided the training .
.

.

12. A detailed description of training provided to individuals responsible for identifying ,
receiving, and/or responding to complaints of sexual harassment , and to members
of any committees or boards that hear or decide complaints of sexual harassment.
Include the date(s) provided: the name(s) , title(s} , and qualifications of the
person(s) who provided the training(s); a listing of training topics or training
agenda ; and a descr iption of the category of employees in attendance .
·.~

Individual Complainant Information
13. A complete copy of dqc11roersrelated to reports of sexual harassment/assault
7
6
made against! CbX
),CbX
XC)
(the Student), including: all documents provided by
the Student; meeting notes; .interview notes ; memos to the file ; correspondence ,
including email ; other information generated or gathered by the College during the
course of the College's investigation ; and all other documentation of the College's
response, including any interim measures, remedial actions on behalf of the
Student or the Reporting Student(s) , and/or disciplinary or other remedial actions
for the alleged subject of the complaint.

Data and Information Systems
14 . Provide a descr iption of all systems/procedures used to track complaints/reports of
sexual harassment. Please indicate the College office(s)/staff who are responsible
for compiling such information and how such statistics and reports are shared with
College staff and the College community.
15. Copies of the College 's Clery Reports.

16. A detailed description, as well as documentation, of any climate surveys the
College has conducted regarding the issue of sexual harassment. Please include
3

 OCR Data Request- 09-17-2091

in your response a description of any steps the College has taken in response to
the results of the surveys.
Informal and Formal Sexual Harassment Complaints

17. A spreadsheet, Excel or other type , that includes all informal or formal student
complaints or reports of sexual harassment, whether written or verbal. 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 .) of the student who made the complaint/report;
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. The date of the incident(s);
d. The date someone reported to a responsible employee;
e. The date a written complaint was filed, if applicable;

f. The title of the College office and name of staff member to whom the
complaint/report was made (e.g., campus safety/
services/counselor, title ix office/intake person, etc.);

officer,

student

' g. A brief description of the allegation(s) made in the complaint/report,
including whether the allegation includes sexual assault/violence;
h. Whether the complaint/ report was resolved through a formal or informal
process, and what College / procedure was used to investigate / resolve
the complaint;

i. Whether interim remedial measures were taken with respect to the
complainant. If yes, specify the measures taken;
j.

Whether the complai nt/report was referred to local law enforcement.

k. Whether or not the complaint/report was investigated;
I. Whether or not the complaint/report was resolved informally;

m. The date the investigation was completed and written notice provided to
the parties;

4

 OCR Data Request- 09"17~2091

n. The date on which an appeal was filed through the College's process, if
applicable;

o. Whether the College found the respondent violated its policy and how,
including a description of the sanction and/or remedy issued.
p. Whether the incident(s) described in the complaint/report occurred on or
off campus and the location of the incident(s).

5