Procedures for Certain Types of Sexual Misconduct Occurring Prior to August 1, 2024

These procedures apply to any incident of the following types of sexual misconduct where the responding party is an employee and the incident occurred on August 13, 2020 through July 31, 2024:

  • An employee conditioning the provision of an aid, benefit, or service on an individual’s participation in unwelcome sexual conduct (i.e., quid pro quo);
  • Unwelcome conduct determined by a reasonable person to be so severe, pervasive, and objectively offensive that it effectively denies a person equal access to an education program or activity (i.e., hostile environment); or
  • Sexual assault (as defined by Clery Act), or “dating violence,” “domestic violence,” and “stalking” (as defined by Violence Against Women Act).

I. FILING A FORMAL COMPLAINT

The grievance procedures under these procedures may be initiated by the filing of a Formal Complaint as follows:

a. The Complainant signing or acknowledging a written document or electronic submission that contains the Complainant’s physical or digital signature or otherwise indicates that the Complainant is the person filing the Formal Complaint, identifying the Complainant and the Respondent(s), and requesting OIE to investigate their allegation(s) of sexual harassment; or
b. The Title IX Coordinator or designee signing or acknowledging a written document or electronic submission requesting OIE to investigate allegation(s) of sexual harassment regarding the Respondent(s).

A Formal Complaint may be filed with the Title IX Coordinator in person, by mail, or by electronic mail. Upon receipt of a Formal Complaint, OIE will provide a Notice of Allegations to the parties as set forth in Section III below. Supportive measures are available to Complainants and Respondents. See Section VIII of the Policy Against Discrimination.

II. REQUIRED ELEMENTS OF THE FORMAL COMPLAINT

A Formal Complaint must meet all of the following required elements in order to initiate these investigation procedures. In determining whether a Formal Complaint meets all the required elements, OIE will apply the provisions of the Title IX regulations, guidance from the U.S. Department of Education, and applicable case law. If the Formal Complaint does not meet the following required elements, it will be dismissed, and OIE will provide written notice of the dismissal and reasons therefor to the parties. If a Formal Complaint is dismissed under this provision, the matter may still be addressed pursuant to other provisions of the Policy Against Discrimination, Harassment and Related Interpersonal Violence, and the University of Connecticut & UConn Health Office of Institutional Equity (OIE) Complaint Procedures. OIE’s dismissal of a Formal Complaint under these procedures may be appealed through the process set forth in Section VI below.

a. Identity of the Complainant

  1. The Complainant is defined as an individual who is alleged to be the victim of conduct that could constitute sexual harassment.
  2. The Complainant must be participating in or attempting to participate in a University education program or activity at the time the Complaint is filed. Education Program or Activity includes locations, events, or circumstances within the United States over which the University exercised substantial control over both the Respondent and the context in which the sexual harassment occurs, and also includes any building within the United States that is owned or controlled by a student organization officially recognized by the University.
  3. A Complainant cannot file a Formal Complaint under these procedures anonymously.

b. Identity of the Respondent(s)

  1. The Respondent(s) is defined as an individual who has been reported to be the perpetrator of conduct that could constitute sexual harassment.
  2. The identity of the Respondent(s), if known, must be included in the Formal Complaint.

c. Allegations of Sexual Harassment

  1. The Formal Complaint must include allegations of Title IX Sexual Harassment, which is defined as conduct that occurs on the basis of sex in a University education program or activity in the United States that satisfies one or more of the following:
    1. An employee conditioning the provision of an aid, benefit, or service on an individual’s participation in unwelcome sexual conduct (i.e., 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 an education program or activity (i.e., hostile environment); or
    3. Sexual assault (as defined by Clery Act), or “dating violence,” “domestic violence,” and “stalking” (as defined by Violence Against Women Act).
    4. A request that OIE investigate the allegation of sexual harassment.

III. NOTICE OF ALLEGATIONS

Upon receipt of a Formal Complaint pursuant to Sections I and II above, OIE will provide a written Notice of Allegations to the Complainant (if applicable) and the Respondent(s) regarding the allegations and containing information about the grievance process. If, during the course of the investigation, OIE receives information of additional allegations concerning the Respondent(s), OIE may supplement the Notice of Allegations, or may address the additional allegations through a separate process under the applicable procedures (including these procedures or The University of Connecticut & UConn Health Office of Institutional Equity (OIE) Complaint Procedures). If a Formal Complaint is made but is dismissed pursuant to Section II above, OIE will provide the parties with both the Notice of Allegations, as well as the written notice of dismissal.

IV. INVESTIGATION

a. Assignment of Advisors: Within seven (7) calendar days of OIE’s issuance of the Notice of Allegations, the parties may identify an advisor of their choice to accompany them to any meeting or proceeding under these procedures. If a party indicates that they want OIE to assign an advisor to them, or if a party does not select an advisor, OIE will assign an advisor for the purpose of cross-examination at the hearing.

  1. Advisor is defined as one individual (who may be a union representative or attorney) who is selected by a party, or, if none is selected, who is assigned by OIE to assist the party throughout the proceedings set forth in these procedures. The advisor may not participate in the proceedings in lieu of the party; the party must maintain meaningful participation in all proceedings. The advisor must maintain respectful and professional decorum in all proceedings; failure by the advisor to do so may result in OIE excluding the advisor from participation. OIE maintains discretion to determine whether exclusion of an advisor is warranted. If an advisor is excluded from participation in the hearing pursuant to Section V below, OIE will appoint an advisor for the party.
  2. Support Person: In addition to one advisor as set forth above, parties and witnesses are permitted to have one support person accompany them to any meeting with OIE or proceeding under these procedures. An individual who is reasonably likely to participate as a witness in the investigation or hearing may not serve as a support person during any substantive interview or in the hearing pursuant to Section V below. A support person’s role is to offer comfort and guidance to a party or witness; a support person may not actively participate in any proceeding under these procedures. A support person’s failure to maintain respectful and professional decorum and to limit their conduct at any meeting or proceeding to the scope of the role as described herein may result in OIE excluding the support person from any meeting or proceeding. OIE maintains discretion to determine whether exclusion of a support person is warranted. The party or witness is responsible for arranging their support person’s attendance at any meeting or proceeding. It is within OIE’s discretion whether to reschedule a meeting or proceeding or extend other timelines in the investigation process due to a support person’s unavailability.

b. Identifying Witnesses and Evidence: Within fourteen (14) calendar days of OIE’s issuance of the Notice of Allegations, the parties may provide to OIE a list of witnesses and other evidence they believe may be relevant to OIE’s investigation. It is within OIE’s discretion to determine appropriate investigative steps, including identifying which witnesses to interview and which documents to gather during its investigation.

c. Parties’ Inspection and Review of Evidence: Upon completion of OIE’s investigation, OIE will provide the parties and their respective advisors with an electronic copy of the evidence directly related to the allegations which OIE obtained during the investigation, including a summary of the substantive information provided to OIE during interviews with the parties and witnesses, and any documentation OIE obtained that is directly related to the allegations. Within fourteen (14) calendar days of OIE’s provision of the evidence, the parties may provide to OIE a written response to the evidence. After receipt of these responses (if submitted within the applicable timeframe), OIE will consider whether additional investigative steps are warranted or whether OIE’s investigation should be concluded.

d. Investigative Report: Upon conclusion of OIE’s investigation pursuant to Section IV.c., OIE will provide the parties and their respective advisors with an electronic copy of its Investigative Report, which will summarize the relevant evidence, and may make recommended factual findings, conclusions, and credibility analyses.

e. Written Response to Investigative Report: Within fourteen (14) calendar days of OIE’s issuance of the Investigative Report, the parties may submit to OIE a written response to the report.

V. HEARING

a. Upon completion of the Investigative Report, OIE will appoint a Hearing Chair to conduct a hearing, and two Hearing Officers who will render a decision on the Formal Complaint. OIE will schedule a hearing as soon as practicable, but not earlier than fourteen (14) calendar days following the issuance of the Investigative
Report.

b. After expiration of the fourteen (14) calendar day timeframe in Section IV.e. above, OIE will provide the Investigative Report and the parties’ responses to the report to the Hearing Chair and Hearing Officers. OIE will also provide each party’s responses to the Investigative Report to the other party.

c. The hearing will be conducted in person or using video conferencing that allows all individuals participating in the hearing to communicate live. The hearing will be audio recorded and may be video recorded. OIE will have discretion to permit additional individuals (including, but not limited to representatives from Human Resources and Labor Relations) to observe the hearing.

d. The Hearing Chair will oversee questioning parties and witnesses who appear for the hearing and will make decisions regarding the relevancy of evidence offered and questions asked before a party or witness answers.

e. For allegations of Title IX Sexual Harassment by a UConn Health employee or a student enrolled in an MD or DMD/DDS degree program at UConn Health, a live hearing pursuant to subsections c and d above will not occur; however, each party may submit to the Hearing Chair within fourteen (14) calendar days following issuance of the Investigative Report, written questions to be asked of any party or witness. The Hearing Chair will then make any relevancy determinations regarding the submitted questions and will promptly provide relevant questions to the party or witness to whom they are directed. Responses from the party or witness must be provided to the Hearing Chair within five (5) calendar days of the party’s or witness’s receipt of the questions, and the Hearing Chair will promptly provide the responses to the questioning party. Within two (2) calendar days of the questioning party’s receipt of the responses, the questioning party may submit to the Hearing Chair additional questions for the party or witness. The Hearing Chair will make any relevancy determinations regarding the additional questions and will promptly provide relevant questions to the party or witness to whom they are directed. The responding party’s responses thereto shall be submitted to the Hearing Chair within five (5) calendar days of the party’s or witness’s receipt of the additional questions, and the Hearing Chair will promptly provide the responses to the questioning party.

f. If deemed reliable and relevant by the Hearing Officers, and not otherwise subject to exclusion under controlling federal laws and regulations or these procedures, the Hearing Officers may consider the statements of persons who were not present at the hearing, or persons who were present at the hearing but who nevertheless were not subject to cross-examination. This includes, but is not limited to, opinions and statements in police reports or other official reports, medical records, court records and filings, the Investigative Report and the parties’ responses to the report, OIE notes and summaries of interviews generated as part of its investigation, responses to written questions, emails, written statements, affidavits, text messages, social media postings, and the like.

g. Following the hearing or the conclusion of the procedures in subsection e above, the Hearing Officers will issue a written decision regarding Respondent(s)’s responsibility and recommendation regarding sanctions (if applicable). The standard of evidence to be used in determining responsibility is a preponderance of evidence (a determination based on facts that are more likely true than not).

  1. Possible disciplinary sanctions and remedies may range from counseling to separation from the University.

VI. RESPONSE TO DECISION AND APPEAL PROCESS

a. Response to Decision: Within seven (7) days of the issuance of OIE’s decision regarding the dismissal of a Formal Complaint pursuant to Section II above, or the Hearing Officers’ decision following the hearing pursuant to Section V.e. above, either party may submit to OIE a written response regarding the decision. The written response should be addressed to the OIE Associate Vice President and sent by email to equity@uconn.edu. The written response will be maintained in OIE’s file.

b. Appeal: If a party wishes to appeal OIE’s dismissal of a Formal Complaint pursuant to Section II above, or the Hearing Officers’ finding as to Respondent’s responsibility, their appeal must be made within the timeframe specified in Section VI.a. above and submitted to the OIE Associate Vice President by email to equity@uconn.edu. The party’s written submission must specify that they intend to appeal OIE’s dismissal of a Formal Complaint, or the finding as to Respondent’s responsibility and must identify at least one of the following grounds: (i) Procedural irregularity that affected the outcome of the matter; (ii) 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 (iii) The Title IX Coordinator, investigator(s), Hearing Chair or Hearing Officer(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. A written submission that does not identify at least one of these grounds for appeal will be considered a written response pursuant to Section VI.a. above and will not be processed through the appeal procedures set forth below.

  1. Within two (2) business days of OIE’s receipt of an appeal, OIE will acknowledge receipt of the party’s appeal and inform the other party that an appeal has been filed. Within seven (7) calendar days of OIE’s acknowledgement or notice that an appeal has been filed, the parties may submit to OIE a statement regarding OIE’s dismissal of a Formal Complaint or the outcome of the Hearing Officers’ decision.
  2. After expiration of the seven (7) calendar day timeframe set forth in Section VI.b.i., above, OIE will provide to the Chair of the Panel of Reviewers the following:
    1. For appeals of Hearing Officers’ decision: the party’s appeal; the Hearing Officers’ decision and the parties’ responses or statements (if any) regarding the Hearing Officers’ decision; the Investigative Report and both parties’ responses to the Investigative Report (if any).
    2. For appeals of OIE’s dismissal of a Formal Complaint: the party’s appeal; the parties’ statements regarding OIE’s decision (if any); and the written notice of dismissal from OIE.
  3. The Chair of the Panel of Reviewers shall choose three (3) members from the Panel of Reviewers to serve as a Review Committee. The Chair of the Panel of Reviewers may serve as one of the three members of the Review Committee. The Review Committee will review the appeal to determine if at least one of the appeal grounds is identified. The Review Committee has discretion to deny an appeal if it is clear that none of the permissible grounds for appeal are identified. The Review Committee’s decision to deny an appeal is deemed final.
  4. If the Review Committee finds that an appeal should be granted, the Review Committee will make a recommendation to the President and/or the Executive Vice President of UConn Health, which may include remanding the matter for further investigative or hearing proceedings, accepting or rejecting one or all of the Hearing Officers’ findings, or any other actions deemed necessary or appropriate in the discretion of the Review Committee.
  5. The Review Committee shall make its recommendation in writing and provide it to the President and/or the Executive Vice President of UConn Health within twenty (20) business days of the Committee’s receipt of the appeal. Extensions of time may be granted by the President and/or the Executive Vice President of UConn \ Health or their respective designee on the basis of good cause.
    1. The President or designee and/or the Executive Vice President of UConn Health or designee will notify the parties in writing of their response to the Review Committee’s recommendation within ten (10) business days of receipt.
  6. Upon OIE’s receipt of the Review Committee’s decision, OIE will inform the parties of the decision.

VII. RECORDKEEPING

OIE will maintain records of all proceedings under these. Such records will be shared pursuant to these procedures and may be disclosed to others with a need to know the information or pursuant to state or federal law or regulations.