Western University of Health Sciences
Procedures: Sexual Harassment and Sexual Misconduct Policy
Procedures:
Sexual Harassment and Sexual Misconduct Policy
October 2016
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Western University of Health Sciences
Procedures: Sexual Harassment and Sexual Misconduct Policy
Table of Contents
Introduction
I.Reporting a Complaint
1.Contacting the Title IX Coordinator or Deputy Title IX Coordinators
2.Contacting Law Enforcement
3.Filing a Complaint with an External Reporting Agency
II.Interim Measures
III.Complaint Resolution
Informal Resolution
Formal Resolution
IV.Appeals
V.Mentors
VI.Special Provisions
1.University-initiated proceedings
2.Notification of Outcomes
3.Past Sexual History/Character
4.Witness Participation
5.Parties Failure to Participate
6.Postponement
7.Training
8.Conflicts of Interest and Bias
9.Recordkeeping
Introduction
WesternUniversity of Health Sciences (WesternU) prohibits discrimination on the basis of gender or sex as articulated in the Sexual Harassment and Sexual Misconduct Policy. The goal of the procedures outlined below is to ensure that the WesternU community is free from unlawful harassment and discrimination. Violation of the policy and/or procedures will lead to prompt and appropriate administrative action, including and up to dismissal. All members of the University community can assist in the furtherance of this goal by ensuring that complaints of discrimination and harassment are promptly directed to the departments or individuals who have been designated to receive them, in accordance with these procedures.
WesternU is committed to providing a safe and nondiscriminatory environment for all members of its campus community.This policy addresses WesternU’s responsibility under Title IX of the Education Amendments of 1974; Violence Against Women Reauthorization Act of 2013 (Campus SaVE Act), and any other applicable federal, state or local law governing gender or sex discrimination in educational institutions. As outlined in the companion Sexual Harassment and Sexual Misconduct Policy, this appendix establishes the procedures that WesternU will follow for reports alleging Prohibited Conduct, and should be read in conjunction with the companion policy.
The WesternU community is responsible for knowing the information outlined in this document. The University reserves the right to make changes to this document as necessary andonce those changes are posted online, they are in effect. As a member of the University community, we encourage you to check online for the updated versions of all policies and procedures.
Ifgovernment regulations change in a way that impacts this document, this document willbe construed to comply with government regulations in their most recent form. Reportsof misconduct made after the fact may raise issues of policy and procedure application,if policies and procedures have changed. Unless the parties accept current policies, allreports are governed by the policies that were in place at the time the allegedmisconduct occurred. Procedures applicable are those that are in place at the time the complaint was submitted.
Exceptions to or modifications of these procedures can be made by the Provost, or
Senior Vice President, if required for fairness or practical necessity. Exceptions must be made in writing and notice provided to both the Complainant and Respondent.
This document does not create legally enforceable protections beyond the protection of the background state and federal laws which frame such codes generally.
I.Reporting a Complaint
Any WesternU community member who believes he or she has been subjected to Prohibited Conduct (See companion policy for full definitions) is encouraged to immediately report such concerns and may request that an investigation be conducted. WesternU defines any individual who presents as the impacted party of any Prohibited Conduct defined under this policy as the “Complainant”. The “Respondent” is considered to be the individual who has been accused of violating this policy.
A Complainant can choose to report violations under this policy by:
- Contacting the Title IX Coordinator or Deputy Title IX Coordinators:
The Title IX Coordinator and Deputy Title IX Coordinators can be contacted by telephone, email or in person during regular business hours:
California:
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Procedures: Sexual Harassment and Sexual Misconduct Policy
Dr. Geri Abracosa, Title IX Coordinator
Director, Employee Relations
Administration and Advancement Center
309 E. Second Street
Pomona, CA 91766
(909) 469-5372
Dr. Beverly Guidry, Deputy
Vice President for Enrollment Management and University Student Affairs
Student Services Center
309 E. Second Street
Pomona, CA 91766
(909) 469-5341
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Western University of Health Sciences
Procedures: Sexual Harassment and Sexual Misconduct Policy
Oregon:
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Procedures: Sexual Harassment and Sexual Misconduct Policy
Dr. Mirabelle Fernandes Paul, Deputy
Director, Student Affairs
College of Osteopathic Medicine of the Pacific, Northwest Campus
200 Mullins Drive
Lebanon, OR 97355
(541) 259-0220
Rick Leeper, Deputy
Director, Operations
College of Osteopathic Medicine of the Pacific, Northwest Campus
200 Mullins Drive
Lebanon, OR 97355
(541) 259-0202
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Procedures: Sexual Harassment and Sexual Misconduct Policy
Deputy Title IX Coordinator: If the Title IX Coordinator is not available, cannot perform the tasks as described in these procedures, or is the Investigator in the case, the Deputy Title IX Coordinator assumes the role of Title IX Coordinator, as necessary.
- Contacting Law Enforcement: A Complainant has the right to notify or decline to notify Law Enforcement. A Complainant can report immediately by calling:
- Emergencies: 911 or 9-911 (on-campus)
- Local Police:
- California: Pomona Police Department - 490 West Mission Blvd, Pomona, CA 91766, (909) 622-1241 or (909) 620-2155
- Oregon: Lebanon Police Department – 40 N. 2nd Street, Unit 100, Lebanon, OR 97355, (541) 451-1751
- Filing a Complaint with an External Reporting Agency:
Complaints involving students:
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California
Office of Civil Rights
San Francisco Office
U.S. Department of Education
50 Beale Street, Suite 7200
San Francisco, CA 94105-1813
T: (415) 486-5555
F: (415) 486-5570
E:
Oregon
Office of Civil Rights
Seattle Office
U.S. Department of Education
915 Second Avenue, Room 3310
Seattle, WA 98174-1099
T: (206) 607-1600
F: (206) 607-1601
E:
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Online Reporting:
If you wish to fill out a complaint form online with the OCR, you may do so at: http://www2.ed.gov/about/offices/list/ocr/complaintintro.html.
Complaints involving employees:
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California
California Department of Fair and Employment and Housing
320 West 4th Street, 10th Floor
Los Angeles, CA 90013
(800) 884-1684 or (800) 700-2320
www.dfeh.ca.gov
California
United States Equal Employment Opportunity Commission
Roybal Federal Building
255 East Temple Street, 4th Floor
Los Angeles, CA 90012
(800)699-4000 or (213)894-1000
www.eeoc.gov
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Oregon
United States Equal Employment Opportunity Commission
San Francisco District Office (for Oregon)
350 The Embarcadero, Suite 500
San Francisco, CA 94102-1260
(800) 669-4000
www.eeoc.gov
A Complainant can simultaneously pursue all of the above options. There is no time limit for reporting Prohibited Conduct; however, WesternU’s ability to appropriately respond to a possible violation may be diminished over time. If a Respondent is no longer a student or an employee or a third party, WesternU will provide appropriate remedial measures to assist the Complainant in identifying external reporting options and take reasonable and appropriate steps to eliminate Prohibited Conduct, prevent future reoccurrences and remedy its effects. An individual can exercise the option to file an anonymous complaint; however, doing so may limit WesternU’s ability to adequately investigate and resolve the claim.
II.Interim Measures
WesternU is committed to providing reasonable and appropriate measures to protect the Complainant and to ensure the Complainants’ continued access to WesternU educational and employment programs and activities. These measures may be implemented in order to address the safety and wellbeing of the Complainant and may result in immediate action against the Respondent. These measures may remain in effect throughout the duration of the Investigation. Interim Measures may be temporary or permanent including no contact directives; academic modifications; work schedule modifications; interim disciplinary suspension; employment suspension, or termination. This policy will maintain the privacy of any remedies or protective measures under this policy to the extent practicable. The Title IX Coordinator has the discretion to ensure the appropriateness of any Interim Measures based on all available information and is available to meet with the Complainant and Respondent to address any concerns about the provision of such measures.
Interim Measures, include but are not limited to:
- No contact directive;
- Referral to counseling and health services;
- Interim disciplinary suspension;
- Transcript holds;
- Campus escorts; and
- Contact limitations between parties.
Notice of Interim Measures: Respondent will be notified and given an opportunity to respond when WesternU takes interim protective measures or other actions that will directly affect the Respondent. The Title IX Coordinator has the discretion to ensure the appropriateness of any interim measure based on all available information. If a Respondent wants to challenge an interim measure, they should contact the Title IX Coordinator.
III.Complaint Resolution
WesternU offers two methods of resolutions of complaints:Informal and Formal Resolution.
Informal Resolution:
Before pursuing the Formal Resolution Process, every reasonable effort should be made to constructively resolve conflict. The person impacted should keep a written log that can aid in later investigation and resolution. If the impacted person is comfortable and safe, if possible, the problematic behavior, conflict or misconduct should first be discussed by the impacted person and the person engaged in the problematic behavior, conflict or misconduct. In matters involving sexual assault, Informal Resolution is not appropriate nor permissible.
The Title IX Coordinator may be utilized to facilitate such conversations, upon request, and monitor them for safety.
An impacted party may seek Informal Resolution; however, WesternU has discretion to determine whether:
- the nature of the reported conduct is appropriate for Informal Resolution;
- determine the type of Informal Resolution that may be appropriate; and
- Refer a report for Formal Resolution at any time.
Additionally, be aware that Informal Resolution efforts which involve face-to-face interaction between the parties are not available for cases involving Sexual Misconduct.
Participation in Informal Resolution is voluntary. Parties may withdraw from Informal Resolution at any time and WesternU may decline a request for Informal Resolution or terminate an ongoing Informal Resolution at any time. WesternU reserves the right to forward any reports of Prohibited Conduct made during this process for formal investigation at any time during the process or after. An individual is not required to follow the Informal Resolution process before utilizing the Formal Resolution process nor does the utilization of the Informal Resolution process preclude the availability of subsequent use of the Formal Resolution process should adequate resolution of the matter not be achieved.
If the Informal process results in a resolution then the matter will be considered closed. If resolution is not reached and the Title IX Coordinator determines that further action is required, or if the Respondent fails to comply with any of the terms of the agreed resolution, the matter will be referred to Formal Resolution.
Formal Resolution:
Formal Resolution is pursued when:
- Complainant reports to the Title IX Coordinator AND requests investigation; or
- Informal Resolution is attempted unsuccessfully; or
- Title IX Coordinator exercises discretion.
The Title IX Coordinator will ensure the Complainant receives a written explanation of all of their resources, options and are offered the opportunity to meet. If the Title IX Coordinator determines the need for Interim Measures, the initiation of Investigation or action that involves notifying the Respondent, the Title IX Coordinator will provide the Respondent with a written explanation of all of their resources and options and offer an opportunity to meet. Additionally, at any point in the Formal Resolution process, either party can elect to waive certain procedural requirements within this document. Additionally, a party can elect to enter into an Acceptance of Responsibility agreement with the Investigator/Resolution Officer thereby bypassing the process and duly resolving the issue. Acceptance of Responsibility agreements typically will result in the individual waiving some or all of their appeal rights.
Investigator/Resolution Officer:Upon the determination of a need for an Investigation, an appropriately trained individual(s) will be designated as the Investigator/Resolution Officer in the formal resolution of the complaint. WesternU employs a three (3) part process consisting of
1) Investigation,2) Evaluation, and 3) Sanctioning. In the event that the University elects to hire an outside agency/individual, the three (3) part process would be bifurcated, with the Evaluation and Sanctions being completed by the Title IX Coordinator and/or Deputies.
- Investigation:Investigations are completed expeditiously, normally within 60 to 90working days from notice to the Title IX Coordinator. Investigations may take longer depending on the nature or complexity of the complaint. All investigations will be thorough, reliable and impartial. It will include interviews with all relevant parties and witnesses and the procurement of available evidence and identifying sources of expert information, if necessary. The investigation standard is preponderance of evidence. Preponderance of evidence means that it is more likely than not that a policy violation occurred. When an investigator(s) is presented with two (2) different but plausible versions of the incident, credibility determinations may affect the outcome. At any point during the investigation, if it is determined there is no reasonable cause to believe that University policy has been violated, the Title IX Coordinator has authority to terminate the investigation and end resolution proceedings.
The investigator’s responsibilities includes but is not limited to commencing a thorough, reliable and impartial investigation by developing a strategic investigation plan, including a witness list, evidence list, intended timeframe, and intended interviews for pertinent witnesses and the Respondent. The Investigator will complete the investigation promptly, and without unreasonable delay and provide updates on the status of the process. Prior to the conclusion of an Investigation, the Investigator will prepare a draft Notice of Factual Findings and allow both parties the opportunity to review the findings and submit a Comment/Challenge prior to Evaluation step. Challenges should be based solely on
1) factual inaccuracies or 2) exclusion of evidence and submitted within five (5) working days of review.After the opportunity for Comment/Challenge has expired, the Investigator will issue the final Notice of Factual Findings to both parties.
Parallel Investigations: The University’s resolution process will not typically be altered or precluded on the grounds that civil or criminal charges involving the same incident have been filed or that charges have been dismissed or reduced. However, the University may undertake a short delay (several days to weeks) in order to comply with a law enforcement request for cooperation (e.g.: to allow for criminal evidence collection) when criminal charges on the basis of the same behaviors that invoke this process are being investigated. The University will promptly resume its process once notified by law enforcement that the initial evidence collection process is complete.
- Evaluation: Upon issuance of a Notice of Factual Findings, the Investigator/Resolution Officer will meet with both parties to allow them to present mitigating circumstances and other evidence for consideration of appropriate sanctions. If a party would like to submit an Impact Statement, they are expected to do so at least two (2) working days prior to the scheduled meeting. Additionally, any statements submitted will be shared with both parties.
Where findings of violations exist, the Investigator/Resolution Officer may impose one or more sanctions. Sanctions for students may include but are not limited to training, transcript notations, probation, suspension and/or dismissal. Sanctions for employees may include but are not limited to training, documented verbal warning, written warning, suspension without pay and/or termination. The appropriateness of a particular sanction is reviewed on an individual basis in relation to the unique facts and circumstances of each situation. This policy gives the Investigator/Resolution Officer a wide latitude as it relates to the imposition of sanctions. As necessary, the Investigator/Resolution Officer may receive input and feedback from key University stakeholders in the consideration of appropriate sanctions.
Sanctions are intended to eliminate Prohibited Conduct, prevent its occurrence, and remedy its effects while supporting WesternU’s education mission and federal obligations. Therefore, it can include educational, restorative, rehabilitative or punitive components. Sanctions will be effective immediately unless otherwise specified. To ensure the appropriateness of sanctions to the matter, the Investigator/Resolution Officer will be guided by a number of factors, including but not limited to:
- Severity, persistence or pervasiveness of the misconduct;
- Nature/violence of the Prohibited Conduct;
- Impact of the Prohibited Conduct on Complainant;
- Impact or implications within the University community;
- Prior misconduct by Respondent, including Respondent’s relevant prior disciplinary history at WesternU, and/or other previously attended institutions in cases of predatory conduct;
- Whether Respondent has accepted responsibility/accountability for Prohibited Conduct;
- Maintenance of safe, nondiscriminatory and respectful environment conducive to learning; and/or
- Mitigating, aggravating or compelling factors.
- Sanctioning: The Investigator/Resolution Officer will issue a Notice of Outcome to both parties to the extent permitted or mandated by law, within five (5) working days following the final Evaluation meetings (or longer under good cause). In cases involving sexual misconduct, sexual harassment, stalking and/or intimate partner violence, the written notification will include 1) policy violations, 2) essential findings 3) rationale
4) any resulting sanctions or continued protective Interim Measures, and 5) appeal information. There will be no mention of continued Remedial Interim Measures.
IV.Appeals
Sanctions contained within the Notice of Outcomes can be appealed by any party in accordance with the Student Appeal Process (for students) or the procedures forAppealing Ruling on Investigation of Discrimination, Harassment, and/or Retaliation (for employees or third parties). Sanctions imposed as a result of an Acceptance of Responsibility agreement will likely be unappealable as a term/condition of the agreement. Investigations that result in a finding of no policy violation in the Notice of Outcomes can be appealed by the Complainant in accordance with the Student Appeal Process for students and the Appealing Ruling on Investigation of Discrimination, Harassment and/or Retaliation for employees or third parties. The Appeal Officermay decide to: (a) affirm the findings/sanctions, (b) reject the findings/sanctions, (c) remand the case for further investigation or a new investigation, (d) change the sanctions, (e) impose new sanctions, (f) impose additional sanctions, or (g) take any action to appropriately address the appeal. The Appeal Officer’s decision is final. Please review the appropriate policy to determine the appropriate basis for appeals. A disagreement with the outcomeis not, by itself, a valid basis for appeal.