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 or after August 13, 2020:

• 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

These Title IX Sexual Harassment Grievance Procedures are 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 the University 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 the University 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. The University may outsource the processing of some or all of these grievance procedures at its discretion.

Supportive measures are available to Complainants and Respondents. See Section VIII of the Policy Against Discrimination, Harassment and Related Interpersonal Violence.

II. REQUIRED ELEMENTS OF THE FORMAL COMPLAINT

A Formal Complaint must meet all of the following required elements (a through d below) in order to initiate these investigation procedures. In determining whether a Formal Complaint meets all the required elements, the University will apply the provisions of the Title IX regulations, guidance from the U.S. Department of Education, the U.S. Department of Justice, and other applicable statutes, regulations and case law. If the Formal Complaint does not meet the following required elements, it will be dismissed, and the University 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 or other University policies or codes of conduct. 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).

d. A request that the University investigate the allegation of sexual harassment.

III. NOTICE OF ALLEGATIONS

Upon receipt of a Formal Complaint pursuant to Sections I and II above, the University 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, the University receives information of additional allegations concerning the Respondent(s), the University 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 Policy Against Discrimination, Harassment and Related Interpersonal Violence Grievance Procedures). If a Formal Complaint is made but is dismissed pursuant to Section II above or Section IV below, the University will provide the parties with both the Notice of Allegations, as well as the written notice of dismissal.

IV. DISCRETIONARY DISMISSAL

The University has discretion to dismiss a Formal Complaint at any time prior to the issuance of the Hearing Officers’ decision under the following circumstances:

1. A complainant notifies the Title IX Coordinator in writing that the complainant would like to withdraw the formal complaint or any allegations therein.
2. The respondent is no longer enrolled or employed by the recipient.
3.  Specific circumstances prevent the recipient from gathering evidence sufficient to reach a determination as to the formal complaint or allegations therein.

The University will provide written notice of the dismissal and reasons therefor to the parties.

V. INVESTIGATION

a. Assignment of Advisors: Within five (5) business days of the University’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. As described below, parties must have an advisor during the Hearing (see Section V below). At the time the matter is moving to the Hearing stage, if a party has not identified an advisor of their choice or indicates that they want the University to assign an advisor to them, the University 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 the University to assist the party as 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 the University excluding the advisor from participation. The University 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, the University 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 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 the University excluding the support person from any meeting or proceeding. The University 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 the University’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 ten (10) business days of issuance of the Notice of Allegations, the parties may provide to the investigator a list of witnesses and other evidence they believe may be relevant to the investigation. It is within the investigator’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 the investigation, the parties and their respective advisors (if any) will receive an electronic copy of the evidence directly related to the allegations obtained during the investigation, including a summary of the substantive information obtained during interviews with the parties and witnesses, and any documentation obtained that is directly related to the allegations. Within ten (10) business days of provision of the evidence, the parties may provide to the investigator a written response to the evidence. After receipt of these

responses (if submitted within the applicable timeframe), the investigator will consider whether additional investigative steps are warranted or whether the investigation should be concluded.

d. Investigative Report: Upon conclusion of the investigation pursuant to Section IV.c., the investigator will provide the parties and their respective advisors (if any) with an electronic copy of the 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 ten (10) business days of issuance of the Investigative Report, the parties may submit to the investigator a written response to the report.

VI. HEARING

a. Upon completion of the Investigative Report, the University will appoint a Hearing Chair to conduct a hearing, and two Hearing Officers who will render a decision on the Formal Complaint. If necessary, the University will appoint advisors to any party who has not selected their own advisor. The University will schedule a hearing as soon as practicable, but not earlier than ten (10) business days following the issuance of the Investigative Report.

b. After expiration of the ten (10) business day timeframe in Section IV.e. above, the University will provide the Investigative Report and the parties’ responses to the report to the Hearing Chair and Hearing Officers. The University will also provide each party’s responses to the Investigative Report to the other party.

c. The hearing will be conducted using video conferencing that allows all individuals participating in the hearing to communicate live; the University will have discretion to permit an in-person hearing. The hearing will be audio recorded and may be video recorded. The University 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. Questioning will be conducted by parties’ advisors and not by parties’ personally.

e. 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, investigator 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. The proceedings are not subject to civil or criminal rules of evidence; Hearing Officers may consider and weigh relevant evidence in reaching a determination. 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).

f. Following the hearing, the Hearing Officers will issue a written decision regarding Respondent(s)’s responsibility and recommendation regarding sanctions (if applicable).

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

VII. RESPONSE TO DECISION AND APPEAL PROCESS

a. Response to Decision: Within ten (10) business days of the issuance of the 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 above, either party may submit to the University’s Title IX Coordinator a written response regarding the decision. The written response should be sent by email to equity@uconn.edu. The written response will be maintained in the complaint file.

b. Appeal: If a party wishes to appeal the dismissal of a Formal Complaint pursuant to Section II or IV 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 University’s Title IX Coordinator by email to equity@uconn.edu. The party’s written submission must specify that they intend to appeal the 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. 1. Within two (2) business days of the Title IX Coordinator’s receipt of an appeal, the Title IX Coordinator will acknowledge receipt of the party’s appeal and inform the other party that an appeal has been filed. Within five (5) business days of the Title IX Coordinator’s acknowledgement or notice that an appeal has been filed, the parties may submit to the Title IX Coordinator a written statement regarding the dismissal of a Formal Complaint or the outcome of the Hearing Officers’ decision.
   2. After expiration of the five (5) business day timeframe set forth in Section VI.b.i., above, the Title IX Coordinator will provide to 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 the dismissal of a Formal Complaint: the party’s appeal; the parties’ statements regarding the decision (if any); and the written notice of dismissal.
   3. The Panel of Reviewers shall designate one or more members to serve as Reviewer(s). The Reviewer(s) will review the appeal to determine if at least one of the appeal grounds is identified. The Reviewer(s) have discretion to deny an appeal if it is clear that none of the permissible grounds for appeal are identified. The Reviewer(s)’ decision to deny an appeal is deemed final.
   4. If the Reviewer(s) determines that at least one of the appeal criteria is identified, then the Reviewer(s) shall consider the arguments made in support of the appeal. If the Reviewer(s) agrees with one or more arguments set forth in the appeal, then the Reviewer(s) 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 Reviewer(s).
   5. The Reviewer(s) shall make their 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 Reviewer(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.
   6. The President or designee and/or the Executive Vice President of UConn Health or designee will notify the Title IX Coordinator in writing of their response to the Reviewer(s)’ recommendation within fifteen (15) business days of receipt.
   7. Upon receipt of the response to the Reviewer(s)’ decision, the Title IX Coordinator will inform the parties of the decision.

VIII. RECORDKEEPING

The University will maintain records of all proceedings under these Title IX Sexual Harassment Grievance Procedures. 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.