Title IX Sexual Harassment and Non-Discrimination Policy
Section 1: Introduction
1.1 Policy Statement: The University of Mississippi Medical Center (UMMC) is committed to creating and
maintaining a learning and working environment that is free from unlawful discrimination based on sex
in accordance with Title IX of the Higher Education Amendments of 1972 (Title IX), which prohibits
discrimination on the basis of sex in education programs or activities; Title VII of the Civil Rights act of
1964 (Title VII), which prohibits sex discrimination in employment; and the Campus Sexual Violence
Elimination Act, Clery Act, and the Violence Against Women Act (VAWA). Sexual Harassment and
Retaliation under this Policy will not be tolerated by UMMC and is grounds for disciplinary action, up to
and including, permanent dismissal from UMMC and/or termination of employment.
1.2 Purpose: UMMC takes all reported sexual misconduct and harassment seriously. UMMC will promptly
discipline any individuals within its control who are found responsible for violating this Policy.
Additionally, reported sexual misconduct and harassment that does not meet the definitions and
jurisdiction of this Policy will be referred for review to the appropriate school if allegedly committed by
a student or the Human Resources Director of Employee Relations of if allegedly committed by an
employee under the respective Code of Conduct in compliance with VAWA and Clery Act.
1.3 Applicability: This Policy applies to students and employees as follows:
a. To Students: Where the Respondent is a student at UMMC at the time of the alleged conduct, the
alleged conduct includes Sexual Harassment under this Policy, the alleged conduct occurs in
UMMC’s Education Program and Activity, and the alleged conduct occurs against a person in the
b. To Employees: Where the Respondent is an employee at UMMC at the time of the alleged conduct,
where the alleged conduct includes Sexual Harassment under this Policy, the alleged conduct occurs
in UMMC’s Education Program and Activity, and the alleged conduct occurs against a person in the
1.4 Title IX Coordinator and Key Title IX Officials: The Title IX Coordinator is the UMMC administrator
who oversees UMMC’s compliance with Title IX. The Title IX Coordinator is responsible for
administrative response to reports and Formal Complaints of Sexual Harassment. The Title IX
Coordinator is available to discuss the grievance process, coordinate supportive measures, explain
UMMC policies and procedures, and provide education on relevant issues. The Title IX Coordinator may
designate one or more Deputy Title IX Coordinators to facilitate these responsibilities.
Any member of the UMMC community may contact the Title IX Coordinator with questions. Title IX
Coordinator and Deputy Title IX Coordinator contact information is as follows:
Pam Greenwood, Title IX Coordinator
Chris Morgan, Deputy Title IX Coordinator
In addition to the Title IX Coordinator, UMMC appoints investigators, decision makers and informal
resolution facilitators who have roles in the formal grievance process more fully explained in Sections
6, 7, and 8 of this policy.
The Title IX Coordinator, Deputy Title IX Coordinators, investigators, decision-makers, and informal
resolution facilitators will receive annual training in compliance with Title IX. All administrators in these
roles will not rely on sex stereotypes and will provide impartial investigations and adjudications of
Formal Complaints of Sexual Harassment. All materials used to train these administrators will be
publicly made available on UMMC’s website in accordance with Title IX requirements.
The Title IX Coordinator, Deputy Title IX Coordinators, investigators, decision-makers, and informal
resolution facilitators shall not have a conflict of interest or bias for or against Complainants or
Respondents generally or an individual Complainant or Respondent.
1.5 Notification: UMMC will use University electronic mail (email) for purposes of communication and
notification under this Policy.
1.6 Free Speech: Freedom of speech and principles of academic freedom are central to the mission of
institutions of higher education. Constitutionally protected expression cannot be considered Sexual
Harassment under this Policy.
1.7 Dissemination of Policy: This Policy will be made available to all UMMC administrators, faculty, staff,
and students online at www.umc.edu/TitleIX and referenced in the UMMC Bulletin and the UMMC
Faculty and Staff Handbook.
1.8 Effective Date: The effective date of this Policy is August 14, 2020.
1.9 Retaliation and False Statements Prohibited: Neither UMMC nor any other person may intimidate,
threaten, coerce, or discriminate against any individual for the purpose of interfering with any right or
privilege secured by Title IX or this Policy or because the individual has made a report or complaint,
testified, assisted, or participated or refused to participate in any manner in an investigation,
proceeding, or hearing under this Policy.
a. Alleged violations of Retaliation will be referred to the Title IX Coordinator at firstname.lastname@example.org to be
investigated and resolved under the UMMC Faculty and Staff Code of Conduct or applicable student
code of conduct.
b. The exercise of rights protected under the First Amendment does not constitute retaliation
prohibited under this Policy.
c. Charging an individual with a Code of Conduct violation for making a materially false statement in
bad faith in the course of a grievance proceeding under this Policy does not constitute Retaliation
prohibited under Policy. However, a determination regarding responsibility, alone, is not sufficient
to conclude that any party made a materially false statement in bad faith.
1.10 Amnesty: Reporting Sexual Harassment is encouraged at UMMC. Thus, it is imperative that
Complainants and witnesses share information without fear of potential consequences for minor
1.11 Other University Policies: This Policy takes precedence over other University policies and
procedures concerning Sexual Harassment under Title IX in the event of a conflict.
1.12 Alleged violations of the student or employee Code of Conduct that rise from the same events as
alleged Sexual Misconduct under this Policy will be investigated and resolved under the grievance
process in this Policy unless the Sexual Harassment has been dismissed under Section 5.2 of this
Section 2: Definitions
2.1 Definitions of Prohibited Conduct Under this Policy
2.1.1 Sexual Harassment means conduct on the basis of sex that satisfies one or more of the
(1) An employee of the recipient conditioning the provision of an aid, benefit, or service of the
recipient on an individual’s participation in unwelcome sexual conduct (Quid Pro Quo);
(2) Unwelcome conduct determined by a Reasonable Person to be so severe, pervasive, and
objectively offensive that it effectively denies a person equal access to the recipient’s
education program or activity1; or
(3) Sexual Assault, Dating Violence, Domestic Violence or Stalking as defined in this Policy.
2.1.2 Sexual Assault means an offense classified as a forcible or nonforcible sex offense under the
uniform crime reporting system of the Federal Bureau of Investigation, including Rape, Fondling,
Incest, and Statutory Rape as defined in this Policy.
2.1.3 Rape means the penetration, no matter how slight, of the vagina or anus with any body part or
object, or oral penetration by a sex organ of another person, without the Consent of the victim.
2.1.4 Fondling2 means the touching of the private body parts of another person for the purpose of
sexual gratification, without the Consent of the victim, including instances where the victim is
incapable of giving Consent because of his/her age or because of his/her temporary or permanent
2.1.5 Incest3 means sexual intercourse between persons who are related to each other within
the degrees wherein marriage is prohibited by law.
2.1.6 Statutory Rape4 means sexual intercourse with a person who is under the statutory age of
2.1.7 Dating Violence means violence committed by a person—
(A) who is or has been in a social relationship of a romantic or intimate nature with the victim;
(B) where the existence of such a relationship shall be determined based on a consideration of
the following factors:
• The length of the relationship,
• The type of relationship
• The frequency of interaction between the persons involved in the relationship.
Dating violence includes, but is not limited to, sexual or physical abuse or the threat of such
2.1.8 Domestic Violence includes felony or misdemeanor crimes of violence committed by:
• a current or former spouse or intimate partner of the victim,
• a person with whom the victim shares a child in common,
• a person who is cohabitating with or has cohabitated with the victim as a spouse or intimate
• a person similarly situated to a spouse of the victim under the domestic or family violence laws
of Mississippi or
• any other person against an adult or youth victim who is protected from that person’s acts under
the domestic or family violence laws of Mississippi.
2.1.9 Stalking means engaging in a Course of Conduct directed at a specific person that would cause a
Reasonable Person to—
• fear for his or her safety or the safety of others; or
• suffer Substantial Emotional Distress.
2.2 Definitions Related to Sexual Harassment: Consent, Course of Conduct, Incapacitation,
Reasonable Person, Substantial Emotional Distress
2.2.1 Consent is affirmative, conscious, voluntary, and revocable. Consent to sexual activity requires
of each person an affirmative, conscious, and voluntary agreement to engage in sexual activity.
It is the responsibility of each person to ensure they have the affirmative Consent of the other
to engage in the sexual activity. Lack of protest, lack of resistance, or silence do not, alone,
constitute consent. Affirmative consent must be ongoing and can be revoked at any time during
The existence of a dating relationship or past sexual relations between the Complainant and
Respondent will never by itself be assumed to be an indicator of consent (nor will subsequent
sexual relations or dating relationship alone suffice as evidence of Consent to prior conduct).
The Respondent’s belief that the Complainant consented will not provide a valid defense unless
the belief was actual and reasonable. In making this determination, the decision-maker will
consider all of the facts and circumstances the Respondent knew, or reasonably should have
known, at the time. In particular, the Respondent’s belief is not a valid defense where:
(1) The Respondent’s belief arose from the Respondent’s own intoxication or recklessness;
(2) The Respondent did not take reasonable steps, in the circumstances known to the
Respondent at the time, to ascertain whether the Complainant affirmatively Consented; or
(3) The Respondent knew or a reasonable person should have known that the Complainant was
unable to Consent because the Complainant was incapacitated, in that the Complainant
• asleep or unconscious
• unable to understand the fact, nature, or extent of the sexual activity due to the influence
of drugs, alcohol, or medication
• unable to communicate due to a mental or physical condition.
2.2.2 Course of Conduct means two or more acts, including, but not limited to, acts in which the
individual directly, indirectly, or through third parties, by any action, method, device, or means
follows, monitors, observes, surveils, threatens, or communicates to or about, a person, or
interferes with a person’s property.
2.2.3 Incapacitation means that a person lacks the ability to actively agree to sexual activity
because the person is asleep, unconscious, under the influence of alcohol or other drugs such
that the person does not have control over their body, is unaware that sexual activity is
occurring, or their mental, physical or developmental abilities render them incapable of making
rational informed decisions. Incapacitated is a state beyond drunkenness or intoxication. A
person is not necessarily incapacitated merely as a result of drinking, using drugs, or taking
A person violates this policy when they engage in sexual activity with another person who is
Incapacitated and a Reasonable Person in the same situation would have known that the person
is Incapacitated. Incapacitation can be voluntary or involuntary. Signs of Incapacitation may
include, without limitation: sleep; total or intermittent unconsciousness; lack of control over
physical movements (e.g., inability to dress/undress without assistance; inability to walk
without assistance); lack of awareness of circumstances or surroundings; emotional volatility;
combativeness; vomiting; incontinence; unresponsiveness; and inability to communicate
coherently. Incapacitation is an individualized determination based on the totality of the
2.2.4 Reasonable Person means a reasonable person under similar circumstances and with similar
identities to the victim.
2.2.5 Substantial Emotional Distress means significant mental suffering or anguish that may, but
does not necessarily require, medical or other professional treatment or counseling.
2.3 Other Defined Terms
2.3.1 Actual Knowledge means Notice of Sexual Harassment allegations to the Title IX Coordinator
or any Official with Authority, except that actual knowledge is not met when the only individual
with actual knowledge is the Respondent.
2.3.2 Business Day means any weekday not designated by UMMC as a holiday or administrative
closure day. When calculating a time period of Business Days specified in this Policy, the
Business Day of the event that triggers a time period is excluded.
2.3.3 Complainant means an individual who is alleged to be the victim of conduct that
could constitute sexual harassment. Complainants and Respondents are referred to collectively
as “parties” throughout this Policy.
2.3.4 Confidential Employee means an individual who will not report any information about an
incident to the Title IX Coordinator without the Complainant’s permission.
2.3.5 Disciplinary Sanctions are imposed only after a finding of responsibility through the grievance
process or an agreement through the informal resolution process.
2.3.6 Education Program or Activity includes locations, events, or circumstances over which UMMC
exercises substantial control over both the Respondent and the context in which the Sexual
Harassment occurs. This may include conduct that occurs on UMMC property, during any UMMC
activity, or in any building owned or controlled by a student organization that is officially
recognized by UMMC.
2.3.7 Formal Complaint means a document filed by a Complainant or signed by the Title IX
Coordinator alleging Sexual Harassment against a Respondent and requesting that UMMC
investigate the allegation of Sexual Harassment.
2.3.8 Official with Authority means an individual who has the authority to institute corrective
measures and is required to report Sexual Harassment to the Title IX Coordinator to initiate
UMMC’s response to the Sexual Harassment allegations. Officials with Authority are limited to the
following positions at UMMC, Title IX Coordinator and Deputy Title IX Coordinators.
2.3.9 Remedies are designed to restore or preserve equal access to UMMC’s Education Program or
Activity. Remedies may include but are not limited to the same individualized services as
Supportive Measures; however, Remedies need not be non-disciplinary or non-punitive and need
not avoid burdening the respondent.
2.3.10 Respondent means an individual who has been reported to be the perpetrator of conduct that
could constitute sexual harassment. Complainants and Respondents are referred to collectively
as “parties” throughout this Policy.
2.3.11 Responsible Employee is required by UMMC to report Sexual Harassment to the Title IX
Coordinator promptly upon receiving a report of a Sexual Harassment. Responsible employees
include any employee with title of Dean, Director of Student Services, Department Chairs, Health
Systems’ Leaders (managers up to and including Executive Leadership), and Human Resources.
2.3.12 Retaliation means intimidation, threats, coercion, or discrimination, including charges against an
individual for code of conduct violations that do not involve sex discrimination or Sexual
Harassment, but arise out of the same facts or circumstances as a report or complaint of sex
discrimination, or a report or Formal Complaint of Sexual Harassment, for the purpose of
interfering with any right or privilege secured by Title IX or this Policy.
2.3.13 Supportive Measures means non-disciplinary, non-punitive individualized services offered as
appropriate, as reasonably available, and without fee or charge to the Complainant or the
Respondent before or after the filing of a Formal Complaint or where no Formal Complaint has
Such measures are designed to restore or preserve equal access to UMMC’s Education Programs
or Activities without unreasonably burdening the other party, including measures designed to
protect the safety of all parties or UMMC’s educational environment, or deter sexual harassment.
Supportive measures may include, but are not limited to, counseling, extensions of deadlines or
other course-related adjustments, modifications of work or class schedules, campus escort
services, mutual restrictions on contact between the parties, changes in work locations, leaves of
absence, increased security and monitoring of certain areas of the campus, and other similar
Section 3: Reporting Sexual Harassment and Preservation of Evidence
3.1 Reporting to UMMC
3.1.1 Reporting to Title IX Coordinator: Reports of Sexual Harassment may be made to the Title
IX Coordinator in any of the following ways, by anyone, at any time: email, phone, online form,
mail. Reports may be made to the Title IX Coordinator in person at 2500 North State Street,
Jackson, MS 39216 during normal business hours. After Title IX Sexual Harassment has been
reported to the Title IX Coordinator, the Title IX Coordinator will promptly offer supportive
measures to the Complainant, regardless of whether the Complainant was the reporter of the
3.1.2 Reporting to Officials with Authority: The following positions are Officials with Authority:
Title IX Coordinator and Deputy Title IX Coordinators. If the Deputy Title Coordinators are
notified of Sexual Harassment, they will promptly report such Sexual Harassment to the Title IX
3.1.3 Reporting to Confidential Employees: Employees who are providing individual healthcare
services to a Complainant or who work as staff within Student Employee Health and the Student
Counseling and Wellness Center at UMMC are Confidential Employees. Reports made to
Confidential Employees are considered confidential reports and will not be reported to the Title
IX Coordinator without the Complainant’s permission and will not constitute actual notice to
3.1.4 Notification to all other UMMC Employees: Employees who are not defined as Officials with
Authority, Confidential Employees or Responsible Employees may, but are not required to report
Sexual Harassment to the Title IX Coordinator.
3.1.5 Anonymous Reporting: Anonymous reports may be made by telephone, in writing or
electronically with Title IX Coordinator. A decision to remain anonymous, however, may greatly
limit UMMC’s ability to stop the alleged conduct, collect evidence, or take action against parties
accused of violating this Policy.
3.2 Reporting to Law Enforcement: Reports may be filed with local law enforcement agencies.
The Title IX Coordinator can assist with contacting law enforcement agencies. Law enforcement
investigations are separate and distinct from UMMC investigations.
3.3 Reporting to Outside Agencies: Students and employees may report to external agencies:
Office for Civil Rights
U.S. Department of Education
1999 Bryan Street, Suite 1620
Dallas, TX 75201-6810
Telephone: (214) 661-9600
Facsimile: (214) 661-9587
Office for Civil Rights
U.S. Department of Health and Human Services
61 Forsyth St. SW, Suite 5B95
Atlanta, GA 30303
U.S. Equal Employment Opportunity Commission
Dr. A. H. McCoy Federal Building
100 West Capitol Street, Suite 338
Jackson, MS 39269
3.4 Time Limits on Reporting. There are no time limits on reporting Sexual Harassment to the Title IX
Coordinator or UMMC. If the Respondent is no longer subject to UMMC’s Education Program or Activity
or significant time has passed, UMMC will have limited ability to investigate, respond and/or provide
disciplinary remedies and sanctions.
3.5 UMMC Federal Reporting Obligations: UMMC employees, called Campus Security Authorities, have
a duty to report certain incidents of misconduct to comply with the Clery Act. Campus Security
Authorities are not required to report personally identifiable information for Clery Act purposes, but
statistical information must be sent regarding the type of incident that occurred and its general
location (e.g., on or off-campus) for publication in an annual report of crime statistics, called the
Annual Security Report. Statistics published in the Annual Security Report help to provide the campus
community with a clearer picture of the extent and nature of campus crime, but the statistics do not
personally identify Complainants or Respondents. Reports by Campus Security Authorities are not
official police reports and do not initiate criminal investigations.
When Sexual Assault, Domestic Violence, Dating Violence, and/or Stalking are reported under the
Clery Act, UMMC must issue timely warnings for such incidents that pose a serious or continuing threat
of bodily harm or danger to members of the campus community.
UMMC will not disclose a Complainant’s name and other identifying information in a timely warning but
will provide sufficient information for UMMC community members to make informed safety decisions in
response to potential danger.
3.6 Preservation of Evidence: UMMC recognizes that a Complainant may need time to decide whether
to report an incident of Sexual Harassment to the police and/or UMMC. The purpose of this section is
to provide Complainants with suggestions on preserving evidence while they decide whether to report
UMMC encourages Complainants, as soon as possible after experiencing Sexual Assault to take steps
to preserve evidence such as: Have a forensic sexual assault nurse examination performed as soon as
possible after the incident, but no later than 72-96 hours after the incident.
- When possible, prior to having a forensic sexual assault nurse examination performed, avoid changing clothing, bathing, showering, using a douche, using the bathroom, brushing one’s teeth, drinking liquids, washing one’s hands or face, or combing one’s hair
- Preserve any clothing, sheets, or other materials (items containing bodily fluids should be stored in cardboard boxes or paper bags);
- Preserve or capture electronic communications such as text messages, e-mails, social media posts or exchanges (e.g., Snapchat, Facebook, Twitter);
- Preserve or capture video, audio (e.g., voice mail messages), or photographs, including those stored on smartphones or other devices; and Preserve any other physical, documentary, and/or electronic data that might be helpful to an investigator.
Section 4: Initial Response to Reported Sexual Harassment: Upon receipt of a report of Sexual
Harassment, the Title IX Coordinator will promptly contact the Complainant, regardless of whether the Complainant was the individual who initiated the report. During the initial contact with the Complainant, the Title IX Coordinator will:
• Provide the Complainant with notice of their rights and options
• Explain the process for filing a Formal Complaint;
• Explain the Grievance Process;
• Discuss the availability of Supportive Measures regardless of whether a Formal Complaint is
• Consider the Complainant’s wishes with respect to Supportive Measures.
Section 5: Formal Complaint: UMMC will investigate all allegations of Sexual Harassment in a Formal
5.1 Filing a Formal Complaint: A Formal Complaint must:
(1) Contain an allegation of Sexual Harassment against a Respondent;
(2) Request that UMMC investigate the allegation; and
(3) Be signed by the Complainant or Title IX Coordinator.5
In limited circumstances, if a Complainant does not sign a Formal Complaint, the Title IX
Coordinator may sign a Formal Complaint. In determining whether to sign a Formal
Complaint, the Title IX Coordinator will consider factors that include but are not limited to:
• Whether there have been other reports of Sexual Harassment or other relevant misconduct
concerning the same Respondent whether or not the incidents occurred while the Respondent was
an UMMC student or employee;
• Whether the Respondent threatened further Sexual Harassment or other misconduct against the
Complainant or others;
• Whether the alleged Sexual Harassment was committed by multiple perpetrators
• The nature and scope of the alleged Sexual Harassment including whether the Sexual Harassment
was perpetrated with a weapon;
• The ages and roles of the Complainant and the Respondent
• Whether UMMC can pursue the investigation without the participation of the Complainant (e.g.,
whether there are other available means to obtain relevant evidence of the alleged Sexual
Harassment such as security cameras or physical evidence)
• Whether the report reveals a pattern of perpetration (e.g., perpetration involving illicit use of drugs
or alcohol) at a given location or by a particular group.
5.2 Dismissal of a Formal Complaint.
5.2.1 Required Dismissal: The Title IX Coordinator will dismiss a Formal Complaint for purposes of
Sexual Harassment if:
(1) The conduct alleged in the Formal Complaint would not constitute Sexual Harassment
as defined in this Policy even if proved;
(2) The conduct alleged did not occur in UMMC’s Education Program or Activity; or
(3) The Conduct alleged in the Formal Complaint did not occur against a person in the
Dismissal of a Formal Complaint does not preclude action under other provisions of the UMMC’s
policies and procedures. If a Formal Complaint is dismissed under this section and the
Respondent is a student, the matter will be sent to the respective school for review.
If a Formal Complaint is dismissed under this section and the Respondent is an employee, the
matter will be sent to the Human Resources Director of Employee Relations for review.
Permissive Dismissal: The Title IX Coordinator may dismiss a Formal Complaint or any
allegations within the Formal Complaint, if at any time during the investigation or hearing:
(1) A Complainant notifies the Title IX Coordinator in writing that the Complainant would
like to withdraw the Formal Complaint or any allegations within the Formal Complaint,
(2) The Respondent is no longer enrolled or employed with by UMMC, or
(3) Specific circumstances prevent UMMC from gathering evidence sufficient to reach a
determination as to the Formal Complaint or allegations within the Formal Complaint.
5.2.2 Appeal of Dismissal: Either party may appeal the dismissal of a Formal Complaint or any
allegations therein. See Section 7 for bases and process for appeals.
5.3 Consolidation of Formal Complaints: The Title IX Coordinator may consolidate Formal
Complaints as to allegations of Sexual Harassment against more than one Respondent or by more
than one Complainant against one or more Respondents where the allegations arise out of the
same facts or circumstances.
Section 6: Grievance Process The grievance process within this Policy is designed to treat Complainants
and Respondents equitably. Remedies are provided to a Complainant where a determination of responsibility for Sexual Harassment has been made against the Respondent and Disciplinary Sanctions are not imposed against a Respondent prior to the completion of the grievance process.
6.1 General Grievance Process Information:
6.1.1 Burden of Proof and Burden of Gathering Evidence: All investigations and proceedings,
including hearings, relating to Sexual Harassment will be conducted using a “preponderance of
the evidence” (more likely than not) standard. The burden of proof and the burden of gathering
evidence sufficient to reach a determination regarding responsibly rest on UMMC, not the
6.1.2 Presumption of Not Responsible: The Respondent is presumed to be not responsible for the
alleged conduct until a determination regarding responsibility is made at the end of the
6.1.3 Time Frames for Grievance Process: UMMC strives to complete the grievance process within
one hundred and twenty (120) Business Days. Temporary delays and/or extensions of the time
frames within this Policy may occur for good cause. Written notice will be provided to the parties
of the delay and/or extension of the time frames with explanation of the reasons for such action.
Examples of good cause for delay/extensions include but are not limited to considerations such
as the absence of a party, a party’s advisor, or a witness; concurrent law enforcement activity;
or the need for language assistance or accommodation of disabilities.
6.1.4 Medical Records: UMMC will not access, consider, disclose, or otherwise use party’s records
that are that are made or maintained by a physician, psychiatrist, psychologist, or other
recognized professional or paraprofessional acting in the professional’s or paraprofessional’s
capacity, or assisting in that capacity, and which are made and maintained in connection with
the provision of treatment to the party, unless UMMC obtains that party’s voluntary, written
permission to do so for the grievance process within the Policy.
6.1.5 Privileged Information: UMMC will not require, allow, rely upon, or otherwise use questions or
evidence that constitute, or seek disclosure of, information protected under a legally recognized
privilege, unless the person holding the privilege has waived the privilege.
6.1.6 Range of Disciplinary Sanctions and Remedies
• Warning –verbal or written
• Required Counseling
• Required Assessment
• Withholding Diploma or Degree
• Revocation of Degree
• Other sanctions as deemed appropriate
• Warning – verbal or written
• Performance Improvement Plan/Management Process
• Enhanced supervision, observation or review
• Required Counseling
• Required Assessment
• Required Training or Education
• Denial of Pay Increase
• Loss of Oversight of Supervisory Responsibility
• Suspension with or without pay
• Other sanctions as deemed appropriate
Individuals who are employees and students may be subject to all of the above sanctions.
6.1.7 Notice of Meetings, Interviews, and Hearings: Parties and witnesses will be provided notice
of any meeting, interview, and/or hearing with sufficient time (approximately three (3) days) to
prepare to participate. This notice will include the date, time, location, participants and purposes
of the meeting, interview and/or hearing.
6.2 Notice of Allegations: Upon receipt of a Formal Complaint, the investigator will provide Notice of
Allegations to the parties who are known. The Notice of Allegations will include:
(1) Notice of the party’s rights and options
(2) Notice of UMMC’s grievance process
(3) Notice of UMMC’s informal resolution process and options
(4) Notice of the allegations of Sexual Harassment including:
• The identities of the parties involved in the incident, if known,
• The conduct allegedly constituting Sexual Harassment, and
• The date and location of the incident, if known.
(5) Notice that the Respondent is presumed not responsible of the alleged conduct and that a
determination regarding responsibility is made at the conclusion of the grievance process.
(6) Notice that the parties may have an advisor of their choice, who may be, but is not required to
be an attorney, and that the advisor may inspect and review evidence as explained in section
6.3 of this Policy.
(7) Notice of the UMMC Code of Conduct provision that prohibits knowingly making false
statements or knowingly submitting false information during the grievance process.
The Notice of Allegations will be updated and written notice provided to the parties if at any time
during the investigation, UMMC decides to investigate allegations about the Complainant or Respondent
that are not included in the initial Notice of Allegations.
6.3 Investigation of Formal Complaint. UMMC will conduct an investigation following a Formal
Complaint and Notice of Allegations. During all meetings and interviews the parties may be
accompanied by an advisor of their choice, which can be, but is not required to be an attorney. During
the investigation stage of the grievance process, the advisor’s role is limited to assisting, advising,
and/ or supporting a Complainant or Respondent. An advisor is not permitted to speak for or on behalf
of a Complainant or Respondent or appear in lieu of a Complainant or Respondent during the
investigation phase of the grievance process.
6.3.1 Opportunity to Provide Information and Present Witnesses: Each party will be provided
an equal opportunity to provide information to the investigator and present witnesses for the
investigator to interview. The information provided by the parties can include inculpatory
(evidence that may support a finding or conclusion that Respondent engaged in Sexual
Harassment) and exculpatory evidence (evidence that may support a finding or conclusion that
a Respondent did not engage in Sexual Harassment). The witnesses can include both fact
witnesses and expert witnesses.
6.3.2 Opportunity to Inspect and Review Evidence: Each party will be provided an equal
opportunity to inspect and review any evidence obtained as part of the investigation that is
directly related to the allegations raised in the Formal Complaint, including evidence upon which
UMMC does not intend to rely upon in reaching a determination regarding responsibility. This
review includes inculpatory and exculpatory evidence that is obtained by a party, witness, or
other source. Each party and their advisor (if any) will be provided an electronic copy of the
evidence for inspection and review. The parties will have ten (10) business days to review
submit a written response to the investigator. The investigator will consider the written
responses prior to completing an investigative report. All evidence provided during the
inspection and review phase will be available at any hearing for the parties to use during the
hearing, including for purposes of cross examination.
6.3.3 Investigative Report: Following the opportunity to inspect and review evidence directly
related to the allegations raised in the Formal Complaint, the investigator will create an
investigative report that fairly summarizes relevant evidence obtained during the investigation.
6.3.4 Review of the Investigative Report: At least ten (10) Business Days prior to a hearing, the
investigator will provide each party and the party’s advisor (if any) an electronic copy of the
investigative report for their review and written response.
6.3.5 Investigation Timeframe: The investigation of a Formal Complaint will be concluded within 90
Business Days of the filing of a Formal Complaint. The parties will be provided updates on the
progress of the investigation, as needed.
6.4 Live Hearing: After the investigation, UMMC will provide for a live hearing for all Formal Complaints
of Sexual Harassment that have not been dismissed per Section 5.2 or resolved by informal resolution
under Section 8. At the request of either party, or at the discretion of the Title IX Coordinator, UMMC
will provide for the live hearing to occur with the parties located in separate rooms with technology
enabling the decision-maker and parties to simultaneously see and hear the other party or witness
6.4.1 Information at the Hearing: The following information/evidence will be available in electronic
form at the hearing:
(1) Evidence from the investigation, including the evidence directly related to the allegations
that was reviewed by the parties, regardless of whether it was incorporated into the report.
(2) The investigation report and any attachments/appendices.
6.4.2 Decision-maker(s): The decision-maker(s) will be appointed by UMMC and will not be the Title
IX Coordinator or investigator. The decision-maker(s) will be trained, impartial, and without a
conflict of interest. The decision-maker(s) will be an UMMC employee or external individual
designated by UMMC.
6.4.3 Challenge to the decision maker(s): Either party may challenge the appointment of a
decision-maker(s), based on conflict of interest or bias, in writing to the Title IX Coordinator, no
less than five (5) Business Days prior to the scheduled hearing.
6.4.4 Advisor’s Role at the Hearing: Each party must have an advisor present at the hearing. The
advisor’s role is limited to supporting, advising, and assisting the party during the hearing and
conducting questioning (cross-examination) of participants. Advisors are required to follow rules
of decorum enforced by the decision-maker(s). Failure to follow the rules of decorum by an
advisor may result in removal of an advisor from the hearing. If a party does not have an
advisor present at the live hearing, UMMC will appoint the party with an advisor without fee or
6.4.5 Recording of the Hearing: UMMC will create an audio or audiovisual recording of all live
hearings and make the recording available to the parties for inspection or review.
6.4.6 Hearing Process Facilitator: UMMC may designate a hearing process facilitator to coordinate
the hearing, including, but not limited to, coordination and scheduling of the hearing; the
logistics of physical or virtual rooms for parties and/or witnesses, including separation of the
parties; ensuring all technology is working appropriately; ensuring the parties have access to
electronic documents during the hearing; distributing materials; etc. The facilitator may also be
the Title IX Coordinator. The facilitator may invite the parties and their advisors, separately, to a
meeting prior to the hearing to review the hearing process for the purpose of ensuring a smooth
hearing. This meeting is separate from the pre-hearing conference discussed below.
6.4.7 Pre-Hearing Matters: In order to streamline the hearing process, the decision-maker(s) may
request the submission of questions prior to the hearing through electronic submission and/or a
(1) Pre-Hearing Submission of Questions: The decision-maker(s) may request the parties
submit questions, in writing, prior to the hearing. This submission does not preclude the
advisor from asking additional questions live during the hearing. The decision-maker(s) may
allow for the pre-hearing submission of questions regardless of whether a pre-hearing
(2) Pre-Hearing Conference: The decision-maker(s) may hold a pre-hearing conference to
further streamline the live hearing, especially in complex cases involving multiple
Complainants, Respondents and/or a significant number of witnesses. During the pre-
hearing conference, parties and their Advisors will be meet with the decision-maker(s)
separately to review written questions previously submitted and/or to submit, in writing,
any questions they wish to ask during the live hearing so that the decision-maker(s) can be
prepared to respond to the relevancy of said questions during the live hearing. The decision-
maker(s) may discuss any preliminary relevancy determinations regarding submitted
questions and/or discuss alternative ways in which to ask questions; however, the decision-
maker(s) will make any final relevancy determinations in real-time, orally, during the live
hearing. This conference does not preclude the advisor from asking additional questions live
during the hearing.
At the pre-hearing conference, the decision-maker(s) may also hear arguments regarding
the relevance of the evidence identified in the investigation report as relevant or not
relevant, and/or directly related to the allegations.
(3) Hearing Documents: The decision-maker(s) or hearing facilitator will provide parties
with a copy of all materials provided to the decision-maker about the matter.
(4) Accommodation Requests: Participants in need of disability related accommodations and/or
interpretation services during the hearing must contact the Title IX Coordinator with said
requests five (5) days prior to the hearing.
6.4.8 Participants in the Hearing. Participants at the hearing include the decision-maker(s), the
investigator(s) who conducted the investigations, the parties, advisors to the parties, witnesses
and anyone providing authorized accommodations. In addition, UMMC may have a hearing
facilitator present. Any witnesses scheduled to participate in the hearing must have been first
interviewed by the investigator (s) or have provided a written statement or answered questions
from the investigator(s) in writing.
The decision-maker(s) will provide the names of all persons participating in the
hearing to the parties at least seven (7) days prior to the live hearing.
6.4.9 Hearing Process and Phases: The live hearing will include the following phases:
(1) Notice of Hearing: After the investigative report has been completed and at least ten (10)
business days prior to the date set for the hearing, the parties and their Advisors (if any)
will be provided with a Notice of the Hearing. The Notice will include the date, time,
location, name of the decision-maker(s), names of all participants in the hearing, and the
location (virtual or in person) of the hearing.
(2) Opening Statements: Each party will have the opportunity to present an opening
statement to the decision-maker(s).
(3) Questioning of Hearing Participants: The investigator(s) will be the first witness to
provide information. The investigator(s) will submit their investigation report and describe
the evidence and information gathered in their investigation. The parties and witnesses will
then be called in an order determined by the decision-maker(s). Questioning of parties and
witnesses will occur in the following manner:
i. By the Decision-maker(s): The decision-maker(s) will ask initial questions of the
participants at the hearing.
ii. By the Advisors: After the decision-maker(s) asks questions of a participant, each
party’s advisor will be permitted to ask relevant questions and follow up questions orally,
directly, and in real time of the participant. The parties are never permitted to ask
questions of participants directly. The questioning of participants by advisors will be
conducted in the following manner:
• A question is asked by an advisor
• Before participant answers the questions, the decision-maker(s) determines whether
the question is relevant
• If the question is determined relevant by the decision-maker(s), the participant
answers the question
• If the question is determined not to be relevant by the decision-maker(s), the decision-
maker(s) must explain the decision to exclude a question as not relevant.
iii. Evidence and Questions Excluded:
• Sexual Predisposition or Prior Sexual Behavior of the Complainant: Questions
and evidence about the Complainant’s sexual predisposition or prior sexual behavior
are not relevant, unless such questions and evidence about the Complainant’s prior
sexual behavior are offered to prove that someone other than the Respondent
committed the conduct alleged by the Complainant, or if the questions and evidence
concern specific incidents of the Complainant’s prior sexual behavior with respect to
the Respondent and are offered to prove Consent.
• Privileged Information: No person will be required to disclose information protected
under a legally recognized privilege. The decision-maker must not allow into evidence or
rely upon any questions or evidence that may require or seek disclosure of such
information, unless the person holding the privilege has waived the privilege. This
includes information protected by the attorney-client privilege.
• Medical Records: Evidence or records that are made or maintained by a physician,
psychiatrist, psychologist, or other recognized professional or paraprofessional acting in
the professional’s or paraprofessional’s capacity, or assisting in that capacity, and which
are made and maintained in connection with the provision of treatment to the party, are
not permitted to be used during a hearing unless the party provides voluntary, written
permission to do so for the grievance process within this Policy.
iv. Party or Witness Does Not Submit to Cross-examination: If a party or witness
does not submit to cross-examination by an advisor at the live hearing, the decision-
maker(s) will not rely on any statement of that party or witness in reaching a
determination regarding responsibility. The decision-maker(s), however, will not draw
an inference about the determination regarding responsibility based solely on a party’s
or witness’s absence from the live hearing or refusal to answer cross-examination or
(4) Closing Statements: Each party will have the opportunity to present a closing statement
to the decision-maker(s).
(5) Determination Regarding Responsibility: After the live hearing, the decision-maker(s)
will issue a written determination regarding responsibility using the preponderance of the
evidence standard. The decision-maker(s) will provide the Complainant and the Respondent
with the written determination simultaneously. The determination regarding responsibility
becomes final either on the date that UMMC provides the parties with the written
determination of the result of the appeal, if an appeal is filed, or, if an appeal is not filed,
the date on which an appeal would no longer be considered timely. The written notice will
• Identification of the allegations potentially constituting Sexual Harassment;
• A description of the procedural steps taken from the receipt of the Formal Complaint
through the determination, including any notifications to the parties, interviews with
parties and witnesses, site visits, methods used to gather other evidence, and hearings
• Findings of fact supporting the determination;
• Conclusions regarding the application of this Policy to the facts;
• A statement of, and rationale for, the result as to each allegation, including a
determination regarding responsibility, any disciplinary sanctions that UMMC imposes on
the Respondent, and whether remedies designed to restore or preserve equal access to
UMMC’s education program or activity will be provided by UMMC to the Complainant6; and
• The procedures and permissible bases for the Complainant and Respondent to appeal.
Section 7: Appeals: Either party may appeal the determination regarding responsibility, or the dismissal of a Formal Complaint or any allegations therein within three (3) Business Days of the receipt of the determination regarding responsibility or dismissal. The appeals must be made in writing and delivered to the Title IX Coordinator.
7.1 Bases for Appeal: Appeals of the determination of responsibility or the dismissal of a Formal
Complaint may be made on the following bases:
• Procedural irregularity that affected the outcome of the matter;
• New evidence that was not reasonably available at the time the determination regarding
responsibility or dismissal was made, that could affect the outcome of the matter; or
• The Title IX Coordinator, investigator(s), or decision-maker(s) had a conflict of interest or bias for or
against Complainants or Respondents generally or the individual Complainant or Respondent that
affected the outcome of the matter.
7.2 Appeal Procedures: If an appeal is submitted, UMMC will:
(1) Notify the other party in writing when an appeal is filed and implement appeal procedures equally
for both parties.
(2) Ensure that the decision-maker(s) for the appeal is not the same person as the decision-maker(s)
that reached the determination regarding responsibility or dismissal, the investigator(s) or the
Title IX Coordinator.
(3) Provide the non-appealing party with five (5) Business Days from receipt of the notification of
appeal to submit a written statement in support of the outcome of the determination or dismissal.
(4) Issue a written decision describing the result of the appeal and the rationale for the result which
can be one of the following:
• Affirm the decision-maker’s determination regarding the Respondent’s responsibility and affirm
the disciplinary sanctions and remedies, if applicable;
• Affirm the decision-maker’s determination regarding the Respondent’s responsibility and amend
the disciplinary sanctions and remedies, if applicable;
• Remand the process back to the hearing stage for the decision-maker to remedy any procedural
irregularity or consider any new evidence;
• Reverse the decision-maker’s determination of the Respondent’s responsibility and amend the
disciplinary sanctions and remedies, if applicable; or
• Affirm or amend the sanctions and/or remedies outlined in the determination issued under this
(5) Provide the written decision simultaneously to both parties.
7.3 Appeal Timeframe: The appellate decision-maker(s) will release the written decision within twenty
(20) Business Days of receiving the appeal.
Section 8: Informal Resolution Process. At any time after a Formal Complaint has been signed and before a determination regarding responsibility has been reached, the parties may voluntarily agree to participate in an informal resolution facilitated by UMMC that does not involved a full investigation and adjudication. Types of informal resolution include, but are not limited to, mediation, facilitated dialogue, conflict coaching, and restorative justice and resolution by agreement of the parties.
8.1 Informal Resolution Notice: Prior to entering the informal resolution process, UMMC will provide the
parties a written notice disclosing:
(1) The allegations;
(2) The requirements of the informal resolution process, including the right of any party to withdraw
from the informal resolution process and resume the grievance process and the circumstances
which preclude parties from resuming a Formal Complaint arising from the same allegations;
(3) Consequences resulting from the informal resolution process, including that the records will be
maintained for a period of seven (7) years but will not be used by investigators or decision-
makers if the formal grievance process resumes.
8.2 Informal Resolution Agreement: Prior to entering the informal resolution process, the parties must
voluntarily agree, in writing to the use of the informal resolution process.
8.3 Informal Resolution Availability: The informal resolution process is not permitted to resolve
allegations that an employee committed Sexual Harassment against a student.
8.4 Informal Resolution Timeframe: Informal resolutions of a Formal Complaint will be concluded
within 45 days of notice to UMMC that both parties wish to proceed with the informal resolution
process. Such notice that the parties wish to proceed with an informal resolution process will “pause”
the counting of the timeframe to conclude the Grievance Process of this Policy, should the informal
resolution process fail and the parties continue with the Grievance Process.
8.5 Informal Resolution Documentation. Any final resolution pursuant to the Informal Resolution
process will be documented and kept for seven (7) years. However, no recording of the informal
resolution process will be made and all statements made during the informal resolution process will
not be used for or against either party (and the decision-maker and/or appellate decision-maker may
not consider any such statement made during informal resolution) should the parties resume the
grievance process. Failure to comply with an informal resolution agreement may result in disciplinary
Section 9: Emergency Removal and Administrative Leave.
9.1 Emergency Removal At any time after the Title IX Coordinator is on notice of Sexual Harassment,
UMMC may remove a Respondent on an emergency basis. UMMC will only conduct an emergency
(1) Undertaking and individualized safety and risk analysis,
(2) Determining that an immediate threat the physical health or safety of any student or other
individual arising from the allegations of Sexual Harassment justifies removal, and
(3) Providing the Respondent with notice and an opportunity to challenge the decision to the Title IX
Coordinator, within two (2) Business Days following the removal.
9.2 Administrative Leave: UMMC may place a non-student employee Respondent on administrative
leave during the pendency of the grievance process in this Policy.
Section 10: Recordkeeping: UMMC will maintain all of the documentation related to reports of Sexual Harassment, Formal Complaints, the grievance process, and information resolution process for seven (7) years in accordance with state and federal records laws and requirements. The documentation of all records are private and confidential to the extent possible under law. Student records of the grievance process are disciplinary records under Family Education Rights and Privacy Act (FERPA). Employee records of the grievance process are subject to the Freedom of Information Act (FOIA) and applicable state laws, and included in the employee’s official employment record.
Section 11: Additional Conduct Violations Related to This Policy: Alleged violations of the terms in this section will be sent to the Associate Vice Chancellor for Academic Affairs for student Respondents under the applicable school code of conduct or to Employee Relations of Human Resources for employee Respondents for investigation and adjudication under the UMMC Faculty and Staff Handbook.
b. False Information
c. Interference with Grievance Process
d. No Contact Directive Violations
Section 12: Modification and Review of the Policy. UMMC reserves the right to modify this Policy to take into account applicable legal requirements. UMMC will regularly review this Policy to determine whether modifications should be made.
1A severe, pervasive, and objectively
offensive assessment includes, but is not limited to, a consideration of the
frequency of the offensive conduct, the nature of the unwelcome sexual acts or
words, such as whether the harassment was physical, verbal or both; whether the
harassment was merely an offensive utterance; and the number of victims
involved and the relationship between the parties including, but not limited to,
the ages of the harasser and the victim.
In evaluating whether conduct is severe, pervasive, and objectively
offensive, UMMC will look at the totality of the circumstances, expectations
2Fondling is referred to as
Forcible Fondling in the UCR.
3Incest is a Nonforcible Offense
in the UCR.
4Statutory Rape is a Nonforcible Offense in the UCR.
5At the time of filing
a Formal Complaint, a Complainant must be participating in or attempting to
participate in the Education Program or Activity of UMMC; however, this
requirement does not preclude the Title IX Coordinator’s ability to sign a
Formal Complaint when the Complainant is not participating in or attempting to
participate in UMMC’s Education Program or Activity. In determining whether to sign a Formal
Complaint in these circumstances, the Title IX Coordinator will consider the
factors listed in Section 5.1 of this Policy.
6The Title IX Coordinator is
responsible ensuring the implementation of any remedies.