UMMC Policy and Procedure Manual A-IP-GEN-GEN-PO-00126
Subject: Title IX Sexual Harassment and Non-Discrimination Policy
Revised Date: 10/23/2020 Effective Date: 9/30/2020
Prepared By:
Dorothy R. Singleton
Approved By:
Brian Rutledge

Reviewed By:
Molly A. Brasfield
Ralph H. Didlake

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
          United States.
      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
          United States.

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
      Email: titleix@umc.edu

      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 titleix@umc.edu 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
        policy violations.

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
        Policy.

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
               following
               (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
             mental Incapacity.

    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
             Consent.

    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;
                   and         
             (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
             abuse.

   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
               partner, 
            • 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 
               sexual activity.

               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
                    was: 
                    • 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
               medication.

               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 
               circumstances.

      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
             been filed.

             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
             measures.

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
               Sexual Harassment.

      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
               Coordinator.

      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
               UMMC.

      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:

      • Students

         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
         Email: OCR.Dallas@ed.gov

         Office for Civil Rights
         U.S. Department of Health and Human Services
         61 Forsyth St. SW, Suite 5B95
         Atlanta, GA 30303
         Telephone: 404-562-7888

      • Employees

         U.S. Equal Employment Opportunity Commission
         Dr. A. H. McCoy Federal Building
         100 West Capitol Street, Suite 338
         Jackson, MS 39269
         Telephone: 800-669-4000
         Fax: 601-948-8401

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
      an incident.

      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
              filed;
          •  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
Complaint. 

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
                             United States.

               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
               parties.

      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
               grievance process.

      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

               Students:
                    • Warning –verbal or written 
                    • Required Counseling
                    • Required Assessment
                    • Probation
                    • Suspension
                    • Expulsion 
                    • Withholding Diploma or Degree
                    • Revocation of Degree
                    • Other sanctions as deemed appropriate

               Employees:
                   • Warning – verbal or written 
                   • Performance Improvement Plan/Management Process
                   • Enhanced supervision, observation or review
                   • Required Counseling
                   • Required Assessment 
                   • Required Training or Education
                   • Probation
                   • Denial of Pay Increase
                   • Loss of Oversight of Supervisory Responsibility
                   • Demotion
                   • Transfer
                   • Reassignment
                   • Suspension with or without pay
                   • Termination
                   • 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
      answering questions.

      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
               charge.

      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
               pre-hearing conference.

               (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
                     conference occurs. 
               (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
                           other questions.
               (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
                     include:
                     • 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
                        held; 
                     • 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
               Policy. 
      (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
      action.

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
      removal after:
      (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. 
          a. Retaliation 
          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 and relationships.

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.