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1
UNI TED
STATES DEPARTMENT OF
E DUCATION
Office for Civil
Rights
J anuary 15, 2021
Part 1: Questions and Answers
Regarding the Department™s Title IX Regulations
The D epart m ent o f Edu c at i on™s
( D ep ar t m en t )
Of f ice fo r C ivil R ights
(OCR)
, t hrough i t s Out r each,
P revent i on, Educat i on a nd Non
-
discrimination (OP EN) C enter, issues the following technical
as s i s t an ce d o cu m en t
to
s upport
institutions
w it h
meeting
their
obl i gati ons under t he
Title
IX
regul at i ons .
Th i s
is P art 1.
The D
epart m ent announ ced new Ti t l e IX regul at i ons on May 6, 2020
.
The new regul at i ons wer e
publ i s hed i n t he
F ed er a l R eg i s t er
on M ay 19, 202 0
at
85 Fed
. R eg. 30026
( codi fi ed
in
34 C . F.R . P art
106), and
b ecam e
e ffe ct i ve on Augus t 14, 2020.M any of t he ques t i ons i nt hi s docum ent are deri ve d
from ques t i ons pos ed t o t he OP EN
C
en t e r
vi ae -
m ail.
Thi s docum ent s uppl em ent s t he
Q u es t
i on and
Ans wer do cum ent
i s s ued by t he OP EN C ent e r on S ept em ber 4, 2020.
OCR
m ay
periodic ally
r el e as e
addi t i onal Ques t i on
an d
An s wer
docum ent s addr e s s i ng t he
Title
IX
regul at i ons .
A l l r ef er en c es an d
citations are to the
o f f i ci al
vers i on of t he Ti t l e IX
regul at i ons ,
as
publ i s hed i n t he Feder al R egi s t er
h er e.
Ot her t han s t at ut ory and regul at ory requi rem ent s i ncl uded i n the docum ent, t he cont ent s of t hi s
gui dance do not have t heforce and e ffe ct of l aw and
ar e
not meant to
bi nd t he publ i c. Thi s docum ent
i s i nt ended onl yt o provide cl ari t y t o t he public regarding exi s t i ng requi re m ent s under t he l aw or
ag en cy p o l i ci es .
Ap p licab ility of Prior OCR Gu id an ce
Qu estion
1
:
How s hould reci pi ent s re conci l e t h e
requirem ents in the Titl
e IX
r egul at i ons
with
d i f f er en t r eq u i r em ents
i n gui dance docum ent s prev i ous l y i s s ued by OC R ?
A n s w er
1
:
In t he
P
re a mble to the
Ti
tle IX r eg ulations
at
30535
, t h e D ep ar t m ent ex p l ai n s : fiO n
S ept em ber 22, 2017, t he Depart m ent expr es s l y s t at ed t hat i t s 2017 Q& A al ong wi t h t he 2001
Gui dance ‚p rovi de i nfor m at i on about how OC R wi l l as s es s a s chool ™s co m pl i ance wi t h Ti t l e IX.™fl
T h e D ep ar t m en t f u r t h e r s t at es
at 30535 of t he
P
r eam b l e: fiT o t h e ex t en t t h at t h es e f i n al r eg u lat io n s
di ffer f rom any of t he De part m ent ™s gui danc e doc um ent s (whet her such documents rem ai n i n eff ect
or ar e wi t hdr awn), t h es e fi nal r egul at i ons , when t hey becom e e ffe ct i ve, a nd not t he D epart m ent ™s
gui dance docum ent s , are cont rol l i ng.fl
The D epart m ent al s o une qui vocal l y s t at es at 3002 9 of t he
P
reamble to the
r egul at i ons
t h at fig u i d an ce
i s n o t l eg al l y en f o r ceable,fl an d ci t es t o
Perez v. Mort gage Bankers Ass™n
, 575 U.S . 92, 96
-
98 (2015)
,
2
for t hat propos i t i on. Addi t i onal l y, at 30068, t he De part m
ent ackno wl edges t hat gui dance docum ent s
do not have t he for ce an d eff ect of l aw and s t at e s : fiB ecaus e gui danc e do cum ent s do not have t he
force and eff ect of l aw, t he Depart m ent ™s Ti t l e IX gui dan ce coul d not i m pos e l egal l y bi ndi ng
obl i gat i ons on reci pi ent s .fl
T
h e
new Title IX
r egul a t i ons
becam e effe ct i ve on Augus t 14, 2020, and
t h e D ep ar t m en t
will not
appl y or
en f o r c e
t he n ew regul at i ons
r et r o act i v el y
. A s t o al l eg ed s ex u al h a r as s m en t
o ccu rri n g p ri o r
to
t he effe ct i ve dat e of t h e new regul at i ons ,
r ecipien ts may find it helpful to
refer to
t h e
now-
r es ci n d ed
2001 R evi s ed S exual H aras s m ent Gui d ance and t he 2017 Q& A on Ca mpus S exual M i s conduc t
,
w h i ch r em ai n a cc es s i b l e on th e D ep ar t m en t ™ s
web site
.
Defin ition s
Qu estion
2
: If a form al c om pl ai nt al l eges at t em pt ed s exual as s aul t , woul d t hat be covered und er t he
defi ni t i on of s exu al ha ra s s m ent i n 34 C .F.R .
§ 106.30
( a)
, o r woul d a re ci pi ent need t o di s m iss that
com pl ai nt for Ti t l e IX pu rpos es
?
A n s w er
2
:
T h e
P r eam b l e t o t h e
Title IX
regul at i o ns
at
30174
an d
FN
777-
7 7 9 ad d r es s es at t em p t ed
s ex u al as s au l t ( s u ch as r ap e) : fiWi t h r es p ect t o a n attem p t ed r ap e, w e d e f i n e ‚ s ex u al as s au lt ™ i n §
106.30 by refer ence t o t h e C l ery Act , whi ch in t urn defi nes s exual as s aul t b
y r ef e r en c e t o t h e
[ Feder al
B ureau of Inves t i gat i on™s Uni form C ri m e R eport i ng s ys t em ],
an d t h e FB I h as s t at ed t h at t h e of f en s e
of rape in cludes attempts to commit rape.fl
For furt her i nform at i on o n t he d efi ni t i on of s exual haras s m ent , s ee
t hi s blog pos t
publ i s hed by OC R .
Addi t i onal l y, even i f al l egat i ons i n a form al com pl ai nt do not m eet the Ti t le IX defi ni t i on of s exual
haras s m ent , a re ci pi ent s chool i s onl y requi red t o di s m i s s s uch al l egat i ons
f or pur pos es of T i tl e IX
and m ay addres s s uch al l egat i ons under t herecipi ent™s own code o f conduct . 34 C .F.R . §
106.45(b)(3) (i ).
D el i b era t e I n d i f f e ren ce
Qu estion
3
:
Under the Title IX
r egul at i ons
, w
ill the Departm
en t ap p l y t h e d el i b er at e i n d iffer en c e
s t an d ar d
t o
a complaint
r egardi nga
r eci p i en t ™ s
res pons e t o s exu al ha ras s m e nt ?
Fo r ex am p l e,
will
t he
Depart m ent appl y t he
d e l i b er at e i n d i f f eren c e s t an d ar d
t o assess
a respond ent
™s
al l eg
at i ons
that the
r eci p i en t ™ s g r i ev
an ce
p r o ces s w as i n eq u i t able or
that the
s upporti ve m eas ures i m pl em ent ed by t he
r eci p i en t
we re unr eas on a bl y burdens om e?
A n s w er
3
:
T h e
Title
IX
regul at i ons
requi re a re ci pi ent t o prom pt l y res pond t o act ual knowl edge of
s exual har as s m ent i n t he reci pi ent ™s educat i on pr ogram or a ct ivit y agai ns t a pers on i n t he Uni t ed
S tates in a manner that is not deliberately indiffe rent.
34 C .F.R . § 106.44(a) .
T h e
regul at i ons
fu rt h er
require, as p art o f the r ec ipient™s response, that th e r ecipient tr eat th e pa rties equitably, which for a
res pondent m eans re frai ni ng from i m pos i ng di sci pl i nary s anct i ons or ot her act i ons t hat are not
s upport i ve m eas ures
(
as defi ned i n 34 C .F.R . § 106.30
)
agai ns t a res pond ent , wi t hout fol l owi ng t he
34 C .F.R . § 106.45 gri ev ance pro ces s .
Se e
,
e.g.
, 3 4 C .F.R . §§ 106.44(a), 1 06.45(b)(1) (i ).
3
Wi t h r es p ect t o a r es p on d en t ™ s cl ai m t h at a r eci p i en t ™ s g r i ev an ce p r o cess was i n eq u i t ab l e, t h e
re
ci pi ent ™s l eg al obl i gat i on i s t o com pl y wi t h 34 C .F.R . §§ 106.44, 106.45
a s i t
conduct s
a g r i ev an ce
proces s .
Wh er e a
r eci p i en t ™ s
s upport i ve m e as u res unr eas onabl y burde n a r es pondent , t hos e
s upport i ve m eas ures wou l d not m eet t he defi ni t i on of a fisupportive measurefl
i n
34 C .F.R . § 106.30
.
T h e
re ci pi ent m us t fol l ow t he gri ev ance p roc es s s peci fi ed i n 34 C .F.R . § 106.45 befor e t aki ng a n
act i on t hat i s not a s upp ort i ve m eas ur e, unl es s t he em e rgency rem oval provi s i on i n 34 C .F.R .
§
106.44(c) or adm i ni s t rat i ve l eave p rovi s i on i n 34 C .F.R . § 106.44(d) appl
i es
.
Program or Acti vi ty
Qu estion
4
:
M ay a reci pi ent us e t he p roc edures out l i ned i n 34 C .F.R . § 106.45 of t h e Ti t l e IX
regul at i ons
even i n c as es where an i nci dent of se xual haras s m ent oc curs out s i de of t he reci pi ent ™s
educat i on progr am or ac t i vi t y
and t hus does not t ri gger t he r eci pi ent ™s d ut i es under 34 C.F.R.
§
106.44(a)?
A n s w er
4
:
Y es .
Not hi ng i n t he
regul at i ons
p r ecl u d e
s
a re ci pi ent f rom r es p ondi ng under i t s
c
ode of
c
onduct t o s exual haras s m ent t hat does not t ri gger i t s dut i es under 34 C .F.R . § 106.44(a), us i ng
gri evanc e proced ures t ha t nevert hel es s cor res pond wi t h t hos e des cri bed i n 34 C .F.R . § 106.45. The
regulations leave recipie nts flexibility in this regard.
O ff
-
cam pus
L ocati on s
Qu estion
5
:
Is a r e ci p i en t
requi red t o i nves t i gat e a form al com pl ai nt
allegin g
t h at
s ex u al h ar as s m en t
occurr ed off
c am pus or
a gai ns t a
s t udent engaged i n a s t udy abroad program
,
or m us t s uch com pl ai nt s
b
e
dismiss
ed?
A n s w er
5
: T
h e Title IX
r egul at i ons
re cogni ze t he s t at ut ory j uri s di ct i on of T i t l e IX™s language
, w h i ch
appl i es t o pers ons i n t he Uni t ed S t at es .
S ee
20 U.S .C . § 1681(a)
(begi nni ng
wi t h t he words , fiNo
pers on i n t he Uni t ed S t at es . . . .fl
).
A
r e ci p i en t
™s s t udy abroad progr am m ay be p art of t he
r eci p i en t
™s
fieduc at i on program or a ct i vi t y,fl
but
Ti t l e IX do es not ext end t o conduct t hat occurs out s i de the
United S tates.
Ho wev e r
, even when a r eci pi ent m us t di s m i s s al l egat ions of s exual ha ras s m ent
becaus e t he al l eged m i s conduct occur red out s i de t he Uni t ed S t at es , nothi ng i n t he regul at i ons
p r ecl u d es
t he r eci pi ent fr om addres s i ng t hos e al l e gat i ons under t he r eci pi e nt ™s own code of condu ct .
34 C .F.R . § 106.45(b)(3) (i ).
Wi t h r es p ect t o co n d uct th at o ccu r s at an o f f
-
cam p u s l o cat i o n
within the United S tates
, t he
regul at i ons
requi re a reci pi ent t o res pond
t o act u al k n o w l ed g e o f sex u al h ar as s m en t i n t h e r ecip ient ™ s ed u c at i o n
program or a ct i vi t y agai n s t a pers on i n the Unit ed S t at es .
34 C .F.R . § 106.44(a).
T h e
regul at i ons
s t a t e
i n
34 C .F.R . § 106.44 (a): fiEdu cat i on prog ra m or act i vi t yfl i ncl ude s fil ocat i ons , ev ent s , or
ci rcum s t anc es over whi c h t he re ci pi ent exe rci s ed s ubs t ant i al control over bot h t he res pondent and
t he cont ext i n whi ch t h e s exual har as s m ent oc curs , and al s o i ncl ud es any bui ldi ng own ed or
cont rol l ed by a s t udent or gani zat i on t hat i s offi ci al l y recogni zed by a pos t s e condary i ns t i t ut i on.fl
T h e
P
r eam b l e t o t h e
r egu l at i ons
cont ai ns ext ens i ve di s cus s i on of t he fieduc at i on program or a ct i vi t yfl
j uri s di ct i onal condi t i on, at
30195-30201
, i ncl udi ng, for exam pl e, t h e fol l owi ng s t at em ent from t he
D ep ar t m en t at
30196 (fo ot not es om i t t ed here):
4
For purpos es of § 106.30, § 106.44, and § 106.45, t he phras e fieducat i on pr ogram or
ac
t i vi t yfl i ncl udes fil ocat i ons , event s , or ci rcum s t ances over whi ch t he reci pi ent
exerci s ed s ubs t ant i al con t rol over bot h t he r es pon dent and t he cont ext i n whi ch t he
haras s m ent o ccurs fl and a l s o i ncl udes fiany bui l di ng owned or control l ed by a s t udent
organi zat i on t hat i s of fi ci al l y recogni z ed by a post s econdary i nsti tuti on.fl
The Title IX
s t at ut e and exi s t i ng Ti t le IX regul at i ons al read y cont ai n det ai l ed defi n i t i ons of
fiprogram or act i vi t yfl t ha t , am ong ot her as pect s ofs uch defi ni t i ons , i ncl udefial l of t he
operat i ons offl a pos t s eco ndary i ns t i t ut i on or l ocal educat i on agen cy.
T h e D ep ar t m en t
will interpret fip rogram o r activityfl in the
s e fi nal regul at i ons i n a ccord anc e wi t h t he
Ti t l e IX s t at ut ory (20 U .S .C . 1687) and r egul at o ry defi ni t i ons (34 C FR 106.2(h)),
gui ded by t he S uprem e C ourt ™s l anguage appl i ed s peci fi cal l y for us e i n s exual
harassment situations un der Title IX reg arding cir cu
m s t an ces o v er w h i ch a r e ci p i en t
has cont rol and (for pos t s econdary i ns t i t ut i ons ) bui l di ngs owned or cont rol l ed by
s t udent organi zat i ons i f t he s t udent organi zat i o n i s offi ci al l y r ecogni z e d by t he
pos t s econdary i ns t i t ut i on.
With respe ct to
addr es s i ng s uch condu ct vi a a re ci p i ent ™s code o f condu ct , 34 C .F.R . § 106.45(b) (3)(i )
expres s l y aut hori z es a r eci pi ent t o addres s al l eg ed m i s conduct t hat does not m eet t
he Title IX
j uri s di ct i onal requi rem e nt s (i .e., di d not al l egedl y occur i n t he reci pi ent ™s educat i on program or
act i vi t y, or di d not o cc ur agai ns t a pe rson i n t he Uni t ed S t at es ).
Fu rt h ermore,
at
30199 of
t he
P
r eam b l e t o t h e
regul at i ons , t he Depart m ent not es :
[N]ot hi ng i n t he fi nal reg ul at i ons prevent s reci pi en t s from i ni t i at i ng a s t udent conduct
proceedi ng
or o ffe ri ng s upport i ve m eas ures t o s t ud ent s affe ct ed by s exu al ha ras s m ent
t hat occurs out s i de t h e r eci pi ent ™s edu cat i on prog ram or act i vi t y.
Title IX is not the
ex cl u s i v e r em ed y for s ex u al m i s co n d u ct o r t r au m at i c ev en t s th at af f e ct s t u d en t s .
As
t o m i s condu
ct that falls outside the ambit of Title IX, nothing in the final regulations
precl udes r eci pi ent s from vi gorous l y addres s i ng m i s conduct (s exual or ot her wi s e) t hat
occurs out s i de t he s cope of Ti t l e IX or from offeri ng s upport i ve m eas ures t o s t udent s
and i ndi vi dual s i m pact e d by m i s conduct or t ra um a even when Ti t l e IX and it s
i m pl em ent i ng regul at i ons do not requi re s uch act i ons .
P a ren t s (
Rol e, F
ilin g
Com p l ain ts )
Qu estion
6
:
Is a re ci pi en t requi red t o not i fy a pa r ent or gua rdi an of repo rt ed s exual
h ar as s m en t t h a t
affe ct s t hat par ent or gua rdi an™s s t udent ?
A n s w er
6
: T
o com pl y w i t h 34 C .F.R .
§ 106.6(g) (i .e., i n ord er t o not der ogat e t he l egal ri ght s o f
parent s and guardi ans )
,
a reci pi ent m ay n eed t o not i fy a pa rent or legal gua rdian s o t hat t he r eci p
i en t
ad eq u at el y r es p ect s
any underl yi ng l egal ri ght s of a parent or guardi an t o m ake deci s i ons fion beha l f
offl a com pl ai nant , r es po ndent , or ot her i ndi vi dua l invol ved i n a Ti t l e IX m at t er.
Addi t i onal l y, t
h e
Title IX r egulations
i m pos e a dut y on t he reci pi e nt not t o res pond i n a manner t hat i s del i berat el y
i ndi fferent .
34 C .F.R . § 106.44(a). Thus , i f i t wo ul d be fi cl ea rl y unr eas on abl e i n l i ght of t he kno w n
ci rcum s t anc es fl for t he re ci pi ent not t o not i fy a parent or l egal guardi an of re port ed s exual haras s m ent
5
t
hat aff ect s t hat p arent o r guardi an™s s t udent , t he s chool m us t not i fy t he parent o r gua rdi an of t he
Title IX m atter.
E m pl o y ees
Qu estion
7
:
Do t he
r eq u i r em en t
s
in the Title IX
re gul at i ons
appl y t o al l egat i ons bet ween em pl oye es
o f a r e ci p i en t
?
A n s w er
7
:
Y es .
The Title IX
regul at i ons , i n
34 C .F.R . § 106.30(a)
,
d ef i n e fico m p l ai n an t fl an d
fires pondent fl res p ect i vel y as fian i ndi vi dual who i s al l eged t o be t he vi ct i m fl and fi an i ndi vi dual who
h as b een
repo rt ed t o be t he perpet r at or.fl
A
ny pe rs o n m ay be a com pl ai nant or res pondent , reg ardl es s
of whet her t h e pers on i s a s t udent , em pl oyee, or o t herwi s e af fi l i at ed wi t h t he uni vers i t y.
S imilarly, the
regul at i ons
requi re a uni v ers i t y t o res pond prom pt l y wh en t he uni vers i t y has act ual
knowl edge of s exual ha r as s m ent i n t he uni vers i t y™s educ at i on program or act i vi t y agai ns t a pe rs on
i n t he Uni t ed S t at es , and t hat res pons e m us t t reat t he com pl ai nant and res pondent equi t abl y by
offeri ng s upport i ve m e as ures t o t he com pl ai nant a nd ref rai ni ng f rom i m pos i ng di s ci pl i nary s an ct i ons
on t he res pondent wi t hout fol l owi ng a gri evance p roces s t hat com pl i es wi t h 34 C .F.R . § 106.45. (
3 4
C .F.R .
§ 106.44(a)
).
Thu s , t he
regul at i ons
co v er
s ex u al h ar as s m en t al l ega tio n s i n cas es
w h er e
t he
com pl ai nant and res pond ent are bot h em pl oye es .
At
30439 of t he P
r eam b l e t o t h e
regul at i ons , t he Depart m ent expl ai ns :
The Dep art m ent appr ec i at es s upport for i t s fi nal regul at i ons , whi ch appl y t o
em p l o y ees .
C ongres s di d not l i mi t t he
applicationof Title IX to students. Title IX, 20
U.S .C . 1681, expres s l y s t at es : fiNo p ers on i n the United S t at es s hal l , on t h e bas i s of
s ex, be excl uded from p art i ci pat i on i n, be deni ed t he ben efi t s of, o r be s u bj ect ed t o
di s cri m i nat i on under any educat i on
p r o g r am o r a ct i v i ty r ecei v i n g Fed er al f i n an ci al
as s i s t ance . . . .fl
Ti t l e IX, t hus , appl i es t o any pers on in t he Uni t ed S t at es who
experi en ces di s c ri m i nat i on on t he bas i s of s ex i n any edu cat i on progr am or act i vi t y
r ecei v i n g Fed er al finan ci al as s i s t an ce.
S imilarly, these final regulatio ns, which
addres s s exual har as s m en t , appl y t o any pers on, i ncl udi ng em pl oyees , i n an educat i on
p r o g r am o r a ct i v i t y r ec ei ving Fed e r al f i n an ci al as s i s t an ce.
(foot not es om i t t ed).
R eci pi ent s who ar e s ubj ect t o bot h Ti t l e V II an d
Title IX must comply with both. The Title IX
regul at i ons , at 34 C . F.R . § 106.6(f), provi de t h at not hi ng about t he Ti t l e IX regul at i ons l es s ens an
i ndi vi dual ™s ri ght s under Ti t l e V II. In t he Pre am bl e to t he r egul at i ons , at
30438-30441
, t h e
D ep ar t m en t d i s cu
sses at length the intersection be tween Title V II and the Title IX regulations, and
t he appl i cat i on of t he Ti t l e IX r egul at i ons t o em pl oyees .
Qu estion
8
:
Is a r ecipie nt permitted
t o conduct
t each e r o r
f acul t y di s ci p l i ne proces s es i n whi ch
s an ct i o n s ar e r ev i ew ed b y a s ep ar at e
com m i t t ee, an d whi ch can l ead t o t enur e revocat i on pro ceedi ngs ,
out s i de of t he requi rem ent s of 34 C .F.R .
§106.45,
or are re ci pi ent s r equi red t o
com bi ne
t h e
6
det erm i nat i on regardi ng r
es
ponsibility
and s anct ions
as p ect s o f a T i t l e IX g r i ev an ce
proc es s i nt o
a
s i ngl e
p r o ces s
s ubj ect t o t he requi rem ent s of 34 C .F.R . § 106.45?
A n s w er
8
:
Th e Title IX
r egul at i ons
, at
34 C .F.R . § 106.45(b)(7 ), r equi re a re ci pi ent ™s de ci s i on
-
m ak er
t o i s s u e a w r
itten determ ination
regardi ng r es pons i bi l i t y t hat m us t i ncl ude, am ong ot her i t em s , t he
res ul t as t o each al l egat i on and rat i onal e for t he res ul t , any di s ci pl i nary s anct i ons i m pos ed by t he
reci pi ent agai ns t t he r es pondent , and whet her re m edi es wi l l be provi ded by t he reci pi ent t o t he
com pl ai nant .
T h e
r egul at i ons
do not p r ecl ude a reci pi ent from us i ng one de ci s i on
-
m ak e r t o r e ach t h e d et er m i n at i on
regardi ng r es pons i bi l i t y,and havi ng
d i f f er en t
d eci s i o n
-
m ak er
(s )
(e.g., a ten ure committee) dete rmine
appropri at e di s ci pl i nary s anct i ons (i ncl udi ng m aking s uch a deci s i on duri ng a s eparat e proc es s , s uch
as anot her hea ri ng), s o l ong as t he end res ul t i s that t he
s i ngl e
written determination
i ncl udes
an y
di s ci pl i nary s anct i ons i m pos ed by t he r eci pi ent agai ns t t he r es pondent , purs uant t o 34 C .F.R .
§
106.45(b)(7).
T h e i s s u an ce o f a w r i t t en d et er m in a t i o n can n o t b e a p i ecem e al p r o c es s t h at i s b r o k en
down i nt o chronol ogi cal l y occurri ng s ub-
p ar t s .
R eci pi ent s s houl d al s o rem ai n aware of t hei r obl i gat i on t o concl ude the gri evance proc es s wi t hi n t he
reas onabl y p rom pt t i m e fram es d es i gnat ed i n t he recipient™s gri evan ce p r oces s , unde r 34 C .F.R .
§
106.45(b)(1) (v). Addi t i onal l y, each deci s i on
-
m ak er
Š
whet he r an em pl oye e of t he reci pi ent
o r a n
em pl oyee of a t hi rd part y s uch as a cons ort i um of s chool s
Šm us t
not have a confl i ct of i nt eres t or
bi as for or agai ns t co m pl ai nant s or res ponde nt s general ly, or wi t h res pect t o an i ndi vi dua l
com pl ai nant or res pond e nt , purs uant t o 34 C .F.R . § 106.45(b)
(1 ) (i i i ).
T h e ab o v e p r i n ci p l es appl y
t o re ci pi ent s t hat a r e not
pos t s econd ary i ns t i t ut i ons , wi t h
r es p ect t o
d et er m i
nat i ons regardi ng res pons i bi l i t y and s ancti on deci s i ons i nvol vi ngt eache rs , staff, or ot he r
em p l o y ees
, ex cept t h at t he regul at i ons do not gove rn whether
a
non-
pos t s e c ondary i ns t i t ut i on
hol ds
a h ear i n g as p ar t o f i t s T i tle IX g r i ev an ce p r o ces s .
R eco rd
-
Ke ep in g
Qu estion
9
: What happe ns t o records fol l owi ng
t h e r eq u i r ed s ev en
-yea r re t ent i on peri od?
A n s w er
9
:
The Ti t l e IX regul at i ons requi re t hat t he records des cri bed i n 34 C .F.R . § 106.45(b)(10)
m us t be m ai nt ai ned for a peri od of seven years . T he regul at i ons do not s peci fy what m us t or m ay
happen t o s uch r ecords af t er t he s even -yea r peri od has el aps ed. In t he P ream bl e t o t he regul at i ons at
30411, t he Dep art m ent n ot es t hat fiwhi l e t he final regul at i ons r equi re reco rds t o be kept for s even
years , not hi ng i n t he fi n al regul at i ons pr event s r eci pi ent s from k eepi ng t hei r re cords for a l onge r
peri od of t i m e i f t he r eci pi ent wi s hes or due t o ot her l egal obl i gat i ons .fl
7
FERPA and Confidentiality
Qu estion
10
:
T h e
Title
IX
r eg u l at i o n s m ak e t h e r eleas e o f a
res pondent
™s id entity confidential unless
t h e
FER P A ex cept i ons a ppl y.
FER P A perm i t s bu t does not requi re t he
no
ncons ens ual di s cl os ur e o f
records by pos t s econd ar y educat i onal i ns t i t ut i ons i n connect i on wi t h dis ci pl i nary proce edi ngs
concerni ng cri m es of vi ol ence or non
-
for ci bl e s ex offens es . C ri m es of vi ol e nce and non
-
f o r ci b l e s ex
offens es do not i ncl ude al l form s of
s ex u al h ar as s m en t
as defi ned i n 34 C .F.R § 106.30(a)
.
D o es t h at
m ean t hat reci pi ent s c a nnot reveal t he i dent i t y of a res pondent found respons i bl e for s exu al
haras s m ent , i ncl udi ng i n res pons e t o
a r ef er en ce c h eck , b ecaus e i t w o u l d b e r et al i at o r y t o r el eas e
this
confidential information
, as s um i ng t here i s no s t at e l aw requi ri ng t hi s i nform at i on t o be reveal ed?
A n s w er
10
:
In t he P rea m bl e t o t he
regul at i ons
at 30426
-
27 (em ph as i s added), t he Dep art m ent
addres s es t he i nt ers ect i on of FER P A and t he
regul at i ons ™
requi re m ent i n 34 C .F.R . §
106.45(b)(5) (vi ).
The Title IX
regul at i ons
,
at
34 C .F.R .
§ 106.71 (a) , s t at e
t h e g en er al r u l e
th at a r ecipient must ke ep
confi dent i al t he i dent i t y o f any pe rs on who has reported s exual h aras s m ent , or who has b een r eport ed
t o be a pe rpet r at or of s ex ual haras s m ent . Th e purp os e of t hi s provi s i on i s t o prevent t he s chool from
ret al i at i ng agai ns t anyone . Thi s dut y of confi dent i al i t y has t hree except i ons i n 34 C .F.R . § 106.71(a):
i f di s cl os ure i s perm i t t ed under FER P A
;
i f di s cl os ure i s requi r ed by l aw
;
o r i f d i s cl o s u r e i s n ec es s ar y
t o carry out t he purpos es of Ti t l e IX and i t s regul at i ons , i ncl udi ng t o conduct a gri evanc e pro ces s .
A reci pi ent ™s di s cl os ure of t he i dent i t y of a res pondent cannot be m ade w i t h a ret al i at ory purpos e
wi t hout vi ol at i ng
34 C .F.R . § 106.71.
If t he di s cl os ure i s m ade by a r eci pi ent wi t hout fal l i ng i nt o one
of t he t hree except i ons l
isted in
34 C .F.R . § 106.71, OC R
m ay
vi ew t he di s cl os ure as pot ent i al l y
retaliatory
,
an d ex am i n e t h e f act s an d ci r cu m stances t o d et e r m i n e w h et h er t h e d i s cl o s u r e ei t h er ( i )
s at i s f i ed o n e o f th e t h r e e ex cep t i o n s ( f o r ex am p l e, t h e di scl o s u r e w as n eces s a r y t o
carry out t he
purpos es of
theTitle IX r egulations
), o r (i i ) w as m ad e fo r a n o n
-
r et al i at ory purpos e.
Qu estion
11
:
How can a reci pi ent add res s a com pl ai nant ™s request for co nfi dent i al i t y, i ncl udi ng in
i n s t an ces w h er e a T i t l e I X C oo r d i n at o r
s i gns
the formal complaint
initiating an investigation into a
com pl ai nant ™s s exual ha r as s m ent al l egat i ons ?
A n s w er
11
:
T h e
Title IX
regul at i ons
balanc e a co mplainant™s desire fo r co nfidentiality (in terms of,
for i ns t ance, t he com pl a i nant ™s i dent i t y not bei ng di s cl os ed t o t he res pondent ) wi t h a s chool ™s
di s cret i on t o purs ue an i nves t i gat i on where fact ual ci rcum s t ances w arr a nt an i nves t i gat i on even
t hough t he com pl ai nant does not des i re t o fi l e a form al com pl ai nt or pa rt i ci pat e in a gri evan ce
p r o ces s .
In t he
P
r eam b l e t o t h e
regul at i ons
at
30133-30134
, t h e D ep ar t m en t dis cu s s es t h es e i s s u es at
l engt h, i ncl udi ng t he fol l owi ng (foot not es om i
t t ed h er e)
:
A com pl ai nant (or t hi rd part y) who des i res to report s exu al har as s m en t wi t hout
di s cl os i ng t he com pl ai na nt ™s i dent i t y t o anyone m ay do s o, but t he re ci pi e nt wi l l be
unabl e t o provi d e s upport i ve m eas ur es i n r es pons e t o t hat report wi t hout knowing
t he
complainant™s identity.
I f a co m p l ai n an t d es i r es sup p o r t i v e m eas u r es , t h e r eci p i en t
can, and s houl d, keep t he com pl ai nant ™s i dent i t y confi dent i al (i ncl udi ng from t he
res pondent ), unl es s di s cl os i ng t he com pl ai nant ™s i dent i t yi s necessary t o provi de
8
s up
port i ve m eas ur es for t he com pl ai nant ( e.g., wh e re a no
-
cont a ct orde r i s ap propri at e
and t he res pondent woul d need t o know t he i dent i t y of t he com pl ai nant in order t o
com pl y wi t h t he no
-
cont a ct orde r, or c am pus s ecu ri t y i s i nform ed about t he n o
-
co n t act
order i n orde r t o hel p enf orce i t s t erm s ). . . .
A form al com pl ai nt i ni t i at es a gri evan ce p ro ces s (i .e., an i nves t i ga t i on and
adj udi cat i on of al l egat i o ns of s exual har as s m ent ).
A com pl ai nant (i .e., a pers on
al l eged t o be t he vi ct i m of s exual har as s m ent ) cannot
file a form al complaint
anonym ous l y becaus e § 106.30 defi nes a fo rm al com pl ai nt t o m ean a doc um ent or
el ect roni c s ubm i s s i on (s uch as an e
-
m ai l or us i ng an onl i ne po rt al provi d ed for t hi s
purpos e by t he re ci pi ent ) t hat cont ai ns t he com pl ai nant ™s phys i cal o
r digital signature
or otherwise indicates that the complain ant is the person filing the formal c omplaint.
The fi nal r egul at i ons req ui re a r eci pi ent t o s end wri t t en not i ce of t he al l e gat i ons t o
bot h part i es upon re cei v i ng a fo rm al com pl ai nt . The w rit t en no
tice of a llegations
under § 106.45(b) (2) m u s t i ncl ude cert ai n det ai l s about t he allegati ons, including t he
i dent i t y of t he part i es , i f known.
Wh er e a co m p l ai n ant d e s i r es t o i n i t i at e a g r i ev an ce p r o c es s , t h e co m p l ai n an t can n o t
rem ai n anonym ous or p r event t he com pl ai nant ™s i dent i t y from bei ng discl os ed to t he
res pondent (vi a t he wri t t en not i ce of al l egat i ons ). Fundament al fai rn ess and due
proces s pri nci pl es r equi r e t hat a res pondent know s t he det ai l s of the al l egat i ons m ade
agai ns t t he res pond ent , t o t he ext ent t he det ai l s are kno wn, t o provi de adequat e
opport uni t y for t he res p ondent t o res pond. The Depart m ent does not be l i eve t hi s
res ul t s i n unfai rn es s t o a c om pl ai nant . B ri ngi ng claims, charges, or com pl ai nt s i n ci vi l
or cri m i nal proce edi ngs general l y requi r es di s c l os ure of a pers on™s i d ent i t y for
purpos es of t h e pro ceedi ng. Even wh ere court ru l es perm i t a pl ai nt i ff or vi ct i m t o
rem ai n anonym ous or ps eudonym ous , t he anony m i ty rel at es to i dent i fi ca t i on of t he
plaintiff or victim in court records that may be dis
cl os ed t o t he publ i c, not to keepi ng
t he i dent i t y of t he pl ai nt i f f or vi ct i m unknown t o t he def endant . The fi nal r egul at i ons
ens ure t hat a com pl ai n ant m ay obt ai n support i ve m eas ures whi l e k e epi ng t he
com pl ai nant ™s i dent i t y co nfi dent i al from t he r es pondent (t o t he ext ent pos s i bl e whil e
i m pl em ent i ng t he s upport i ve m eas ure ), but i n order fo r a grievance proces s t o
accu r at el y r es o l v e al l eg a t i o n s t h at a r es p o n d en t h as p er p etr ated s ex u al h ar as s m en t
against a complainant, the complainant™s identity must be disclos
ed t o t he res pondent ,
i f t he com pl ai nant ™s i den t i t y i s known.
How ever, t he i dent i t i es of com pl ai nant s (and
res pondent s , and wi t nes s es ) s houl d be kept confi dent i al from anyone not involved i n
t he gri evan ce p roces s , except as pe rm i t t ed by FER P A, r equi red by
l aw , o r as
neces s a ry t o conduct t he gri evanc e proc es s , and t he fi nal regulat ions add § 106.71 t o
i m pos e t hat expect at i on on reci pi ent s .
When a fo rm al com pl ai n t i s s i gned by a Ti t l e IX C oordi nat or rat her t han f i l ed by a
com pl ai nant , t he wri t t en not i ce of al l egat i ons i n § 106.45(b)(2) requi res t he re ci pi ent
t o s end bot h part i es det ai l s about t he al l egat i ons , i ncl udi ng t he i dent i t y of the part i es
i f known, and t hus , i f t he com pl ai nant ™s i dent i t y i s known it m us t be di s cl os ed i n t he
written notice of allegati on
s . Howev er, i f t he com pl ai nant ™s i dent i t y i s unk nown (fo r
exam pl e, whe re a t hi rd pa rt y has repo rt ed t hat a co m pl ai nant was vi ct i m i zed by s exual
9
haras s m ent but do es not reve al t he com pl ai nant ™s i dent i t y, or a com pl a i nant has
re
port ed anonym ous l y), t hen t he
g r i ev an c e p r o ces s m ay p r o c eed i f t h e T i t l e I X
C oordi nat or det erm i nes i t i s neces s ary t o s i gn a form al com pl ai nt , even t hough t he
wri t t en not i ce of al l eg at i ons does not i ncl ude t he com pl ai nant ™s i dent i t y.
C l ery A c t
Qu estion
12
:
Do t he
Title IX r egulations
i
n t en
d
to mirror C lery Act
g
eo graphy i n al l off
-
cam p u s
des cri pt i ons ?
A n s w er
12
: No.
T h e T i t le IX
r egul at i ons
, at
34 C .F.R . § 106.44(a), s t at e t hat a reci pi ent ™s fieduc at i on
program or act i vi t yfl i ncl udes fiany bui l di ng owned or cont rol l ed by a st udent organi zat i on t hat i s
offi ci al l y re cogni zed by a pos t s econda ry i ns t i t ut i on.fl At page
30197
o f t h e
P
reamble to th e
regul at i ons , t he
Dep artment explains:
We not e t hat t h e r evi s i on i n § 106.44 (a) re fer enci ng a fibui lding owned or cont rol l ed
by a s t udent organi zat i on t hat i s offi ci al l y recogni zed by a pos t s econd ary i ns t i t ut i onfl
i s not t he s am e as , and shoul d not be confus ed wi t h, t he Cl er
y A ct ™ s u s e o f t h e t er m
finoncam pus bui l di ng or propert y,fl even t hough t hat phrase is defi n ed unde r t he C l ery
Act i n pa rt by r efe ren ce t o s t udent o rgani z at i ons offi ci al l y r ecogni z ed by a n
institution.
For ex am pl e, fiedu cat i o n program or a ct i vi t yfl i n t hes e fi nal regul at i on s i ncl udes
bui l di ngs wi t hi n t he confi nes of t he cam pus on l and owned by t he i nst i t ut i on t hat t he
i ns t i t ut i on m ay rent t o a recogni z ed s t udent org an i zat i on. As di s cus s ed i n t he fiCl ery
Act fl s ubs ect i on of t he fi M i s cel l aneous fl s e ct i on of t hi s pre
am b l e, t h e C l er y A ct an d
Ti t l e IX s erv e di s t i nct purpos es , and C l ery Act geo graphy i s not co
-
ext ens i ve wi t h t he
s cope of a reci pi ent ™s edu cat i on program or act i vi t y under Ti t l e IX.
(internal footnotes omitted).
Qu estion
13
:
How woul d a com pl ai nant ™s
r eq u es
t
to dismiss
,
o r a
post s econdary i ns t i t ut i on™s
deci s i on t o di s m is s
,
a formal complaint
o f s ex u al h ar as s m en t
under Ti t l e IX
af f e ct t h e
pos t s econdar y
i ns t i t ut i on™s res pons i bi l ity under t he C l ery A ct ?
A n s w er
13
:
A complaina nt™s request to dismiss or a recipient ™s decision to dismiss a formal
complaint
of s exual har a s s m ent under Ti t l e IX do
es
not affe ct a pos t s econ dary i ns t i t ut i on™s
obl i gat i ons under t he C l ery Act
, if the C lery A ct a pplies
to the institution
. T
h e T
itle IX r egulations
do not change a pos t s e co ndary i ns t i t ut i on™s res pons i bi l i t i es under t he C l ery Act .
A t p ag e
30511
o f
t h e
P reamble to the Title IX regulations, the D epar tment states:
fiThese final regul at i ons do not
change, aff ect , or al t e r an y ri ght s , obl i gat i ons , or res pons i bi l i t i es under t he C l ery Act .fl
E l em en t a ry a n d S eco n da ry Scho o l P ro ceed i n g s
Qu estion
14
:
Do t he provi s i ons i n t he Ti tl e IX regulat ions regardi ng a com pl ai nant ™s pri or s exual
hi s t ory and s exual pr e di s pos i t i on appl y at bot h t he el em ent a ry
and s econda ry s chool and
p o s t s eco n d ar y l ev el s ?
10
A n s w er
14
:
Y es .
The Titl e IX reg ulations
s t at e t hat wi t h or wi t hout a heari ng , ques t i ons and evi dence
about t he com pl ai n ant ™s s exual predi s pos i t i on
ar e
never rel evant , and ques t i ons and evi denc e about
a co m p l ai n an t ™ s
pri or s exual behavi or ar e not rel ev ant unl es s s uch ques t i ons and evi denc e ar e offe red
t o
(1 )
prove t hat s om eone ot her t han t he res pondent com m i t t ed the conduct al l eged by t he
com pl ai nant , or
(2 )
i f t h e ques t i ons and evi den c e conc ern s pe ci fi c i nci de nt s of the com pl ai nant ™s
pri or s exual behavi or wi t h res pect t o t he res ponde nt and are offe red t o pro ve cons ent . 34 C .F.R .
§
106.45(b)
(6 ) (
i)
-
(i i ).
T h e s am e r eq u i r em ent s ap p l y a t al l ed u cat i o n al l ev el
s
an d t o al l r ecip ient s w h o s e
educat i on progr am s or a c t i vi t i es are cover ed by Ti t l e IX.
Qu estion
15
:
Are al l of t he wri t t en not i fi cat i ons and opportuni ties
f o r p ar t i es
t o provi de feedba ck
duri ng an i nves t i gat i on of a fo rm al com pl ai nt ,
o ut l i ned i n 34 C .F.R .
§ 106.45
,
r eq u i r ed
for bot h
el em ent ary and s e condar y s chool s , and pos t s e con dary i ns t i t ut i ons
?
If not , what
T i t l e IX g r i ev an ce
proces s r equi rem ent s di ff er for el em ent a ry and s e c ondary s chool s ?
An s wer
15
:
Al l of t he provi s i ons i n 34 C .F.R . § 106.45 appl y equal l y t o al l r eci pi ent s
ex c ep t
§
106.45(b)(6) (r egardi n g heari ngs ). Thus , al l r eci pi ent s (i ncl udi ng el e m ent ary and s e condary
s chool s ) m us t com pl y wi t h, for i ns t an ce: 34 C.F.R.
§§ 106.45(b) (2) (wri t t en not i ce of al l egat i ons );
106.45(b)(3)
(w ri t t en n ot i ce of di s m i s s al s ); 106.45(b)(5) (v) (wri t t en not i ce of i nves t i gat ory
i nt ervi ews and m eet i n gs ); 106.45(b)(5)(vi ) ( part i es ™ i ns pect i on and revi ew of evi den ce);
106.45(b)(5) (vi i ) (part i es ™ revi ew of t he i nv es t i gat i ve report ); 106.45(b) (7 ) (writ t en
determination
regardi ng r es pons i bi l i t y)
;
and 106.45(b)(8 ) (app eal s ).
T h e D ep a r t m en t h as
al so
cr eat ed a
website
t o ai d s chool s , s t udent s , and ot her s t akehol de r
s t o
b et t er
unders t and t he
ne w Title IX
regul at i ons .
If you h ave qu es t i ons for
OC R
, want addi t i onal i nf orm at i on or t echni cal as s i s t ance, or b el i eve that a
school is violating federal civil rights law, visit OCR ™s website at
www.ed.gov/ oc r
, or t he
D ep ar t m en t
™s Title IX pa ge at
www.ed.gov/ t i t l ei x
. You m ay cont act OC R at (800) 421-3481 (TDD:
800-877-8339),
ocr@ ed. gov
,
OC R ™s Out reach, P revent i on, Educat i on and Non
-
discrimination
(O P E N ) C
en t e r at
OP EN@ed.gov
,
o r e
-
m ai l t he OP EN C ent er wi t h addi t i onal ques t i ons about t he
Title IX
r egul at i ons
at
T9ques t i ons @ed.gov
.
You may also fill out a complaint form online at
https://www2.ed.gov/about/offices/list/ocr/complaintintro.html
.
|
qa-titleix-20200904.pdf
|
UNIT ED STAT ES DEPARTMENT OF EDUCAT ION
Office for Civil Rights
S ep t em b
er 4 ,
2020
Questions and Answers
Regarding the Department™s Final Title IX R
ul e
The Depa rt m ent of Edu cat i on™s Offi ce fo r C i vi l R i ght s , t hrough i t s
n e w
Out reach, P r event i on,
Educat i on and Non
-
disc rimination
(
OP E N
)
C en t er , i s s u es t h e fo l l o w i ng t ech n i cal as s i s t an ce
docum ent t o
s upport
institutions with meeting their obligations under the Title IX
R ul e,
whi ch w
as
announced on M ay 6, 2 020, and whi ch
b e cam e
eff ect i ve on Augus t 14 , 2020. M any of t he
q u es t i o n s w er e d er i v
ed f r om ques t i ons pos ed t o t he OP EN cent e r t hrough e -
mail.
OCR
m ay
peri
odi cal l y rel eas e addi t i onal Ques t i on and Ans wer docum ent s addres s i ng t he Ti t l e IX
R ul e.
Al l re
f eren ces and ci t at i ons are t o t he unoffi ci al vers i on of t he
Title IX R ule
, whi ch
is
av ai l ab l e
h er e
. A l i nk t o t he offi ci al vers i on of t he R ul e pu bl i s hed i n t
h e Fed e r al R e g i s t er i s
h er e
.
Disclaimer:
Ot her t han s t at ut ory and regul at ory re qui rem ent s i ncl uded i n t he docum ent , t
h e
cont ent s of t hi s gui dance do not have t he for ce and effe ct of l aw and ar e not m eant t o bi nd t he
publ i c i n any way. Thi s d ocum ent i s i nt ended onl y t o provi de cl ari t y t o t he publ i c regardi ng
exi s t i ng
r eq u i r em en t s u n d er t h e l aw or ag en cy
p o l i ci es .
E ffecti v
e Da te o f th e F i n a l R u le
Qu estion
1:
C an y o u p l eas e cl ar i f y w h et her t h e n e w T i t l e I X r u l es t h at
w en t
i nt o e ffect on
Augus t 14, 2020,
will be applied retro actively?
An s wer
1:
The Ti t l e IX R ul e wi l l not be enforced ret roa ct i vel y.
In the P r eam b l e t o t h e R u l e
at page 127, t he Depart m ent s t at es unam bi guous l y t hat t he Depart m ent wi l l not enforce t hes e fi nal
regul at i ons ret ro act i vel y. The Depa rt m ent al s o n ot es , i n foot not e 290 of
t h e R u l e, t h e g en er al
principle that:
Fede ra
l ag enci es aut hori z ed by s t at ut e t o prom ul ga t e rul es m ay onl y cr eat e r ul es
w i t h r et r o act i v e ef f ect w h er e t h e au t h o r i zi n g s t at u t e h as ex p res s l y g r an t ed s u ch
aut hori t y.
S ee
5 U.S .C . 551 (ref erri ng t o a firul e fl as agen cy act ion wit h fi f ut ure
effe ctsfl in the Administrative P rocedur e Act);
Bow en v. Geor get ow n Uni v.
Hos p.
, 488 U.S . 204, 208(1988) (fiR et ro act i vi t y i s not favored i n t he l aw. T hus ,
congres s i onal ena ct m ent s and adm i ni s t rat i ve rul es wi l l not be cons t rued to
ha v e
r et r o a ct i v e ef f ect u n l es s t h ei r l an g u ag e r eq u i r es t h i s r es u l t . fl) .
2
C onsistent with the Department™s statements in the preamble to the Title IX R ule regarding non
-
ret roa ct i vi t y, t he R ul e does not appl y t o s chool s ™ res pons es t o s exu al har as s m ent t hat a
llegedly
occurr ed pri or t o Augus t 14, 2020. The Depart m ent wi l l onl y enforce t he Rul e as to s exual
haras s m ent t hat al l egedl y occurr ed on or aft e r August 14, 2020. Wi t h res pect t o s exual haras s m ent
t hat al l egedl y occur red pr i or t o Augus t 14, 2020, OC R wi l
l judge the school™s Title IX complian ce
against the Title IX statut e and the Title IX regulat ions in place at the time t hat the alleged s exual
haras s m ent oc curr ed. In ot her words , t he R ul e governs how s chool s m us t res pond to s exual
h ar as s m en t t h at al l eg e
dl y occurs on or aft er Augus t 14, 2020.
T i t
l e I X Coord i n ator
a n d O t h er P ers o n n el
Issu es
Qu estion
2:
Do
es the Title IX R ule
s p eci f y
whet he r
e ach r eci p i en t m u s t h av e a T i t l e IX
C oordi nat or, or i s each s chool requi red t o h ave a s eparat e Ti t l e IX C oordi nat or, or bot h?
An s wer
2:
The Ti t l e IX R ul e s t at es i n § 106.8(a): fiE ach
r e ci p i en t
m us t des i gnat e and au t hori ze
at l eas t one empl oyee
to coordinate its effo rts to comply with its responsibilities under this part,
whi ch em pl oyee m us t be refe rred t o as t he fi‚Ti t l e IX C oordi nat or.™ fl (em ph as i s added).
Qu estion 3
:
T h e
Title IX R ule
al l ows s chool s t o cont i nue t o a ddres s m i s conduct t hat d oes not
m eet t he defi ni t i on of s exual haras s m ent .
Can T itle IX pe rsonnel still review these complaints,
and fol l ow proc edur es s i m i l ar t o t hos e al l egat i ons t hat do m eet t he de fi ni t i on of s exual h aras s m
en t ?
A n s w er
3:
Y es .
The Title IX R ule d oes not preclude a recipie nt from using the same Title IX
pers onnel
(i ncl udi ng t he Ti t l e IX C oordi nat or, wh o m us t be an em pl oye e of t he re ci pi ent , and Ti t l e
IX i nves t i gat ors and d eci s i on
-
m akers , who m ay b e a r eci pi ent ™s em pl oye es or
t h e em p l o y ees o f a
third
-
part y, s uch as a con s ort i um of s chool s
)
t o
re vi ew and
investigate
al l e gat i ons of m i s conduct
that fall outside the scope of Title IX.
S i m il arl y, t he R ul e does not precl ude a reci pi ent from us i ng
a griev anc e pro cess th at complies with § 106.45 with respe ct to allegatio ns that f all outside the
s co p e o f T i t l e IX .
In t h e P
r eam b l e
to
the R ule at p
ag es
481-
82, for exam pl e , t he Dep art m ent
s t at es
:
In r es pons e t o com m ent ers ™ conce rns , t he fi nal regul at i ons revi s e § 106.45(b)(3)(i )
t o cl earl y s t at e t hat di s m i s s al for Ti t l e IX purpos e s does not precl ude act i on under
anot her provi s i on of t he reci pi ent ™s code of conduc t .
Thus , i f a reci pi ent i s requi red
under S t at e l aw or t he reci pi ent ™s own pol i ci es t o i nves t i gat e s exual or ot her
m i s conduct t hat does not m eet t he § 106.30 defi ni t i on, the final regul at i ons cl ari fy
t hat a reci pi ent m ay do s o.
S imilarly, if a recipient wish
es t o u s e a g r i ev an c e p ro ces s
t hat com pl i es wi t h § 106.45 t o res ol ve al l egat i ons of m i s conduct t hat do not
cons t i t ut e s exual haras s m ent under § 106.30,not hi ng i n t he fi nal regul at i ons
precl udes a r eci pi ent fro m doi ng s o.
Altern atively, a r ecipient may re
s pon d t o non
-
Ti t l e IX m i s conduct under di s ci pl i nary procedu res t hat do not com pl ywi t h §
106.45.
The final r eg ulations leave recipients flexibility in this rega rd, and
pres cri be a part i cul a r gr i evance proc es s onl y w here al l egat i ons con ce rn s exual
h ar as s m e
nt cov ered by T i t l e IX.
3
T h e D efi n iti o n o f
S ex u al H a ra s s m en t
Qu estion
4:
One form of s exual haras s m ent i s conduct on t he bas i s of s ex t hat cons t i t ut es
fi[ u ] n w el co m e
conduct det erm i ned by a re as on abl e pe rs on t o b e s o s evere, pe rvas i ve,
an d
o b j ect i v el y o f f en s i v e t h at it effect i v el y d en i es a p er s o n eq u al a cc es s t o t h e r eci p i en t ™ s
ed u cat i o n
program or act i vi t y.
fl
In t hi s s ent ence, does fireas onabl e pers onfl m odi fy onl y
fi
se
v er e, p er v as i v e,
and obj ect i vel y off ens i ve
fl
o n l y , o r t h e ef f ect i v e d e n i al cl ause as wel l ?
T o cl ar i f y , can an
fi
effective
d en i al
fl
b e s om et hi ng
tha t
a r eas o n ab l e p e r s o n w o u l d ex p eri en ce, ev en i f t h er e i s n o t ev i d en ce t o
s how t hat t he C om pl ai nant was
i n f act
e f f e ct i v el y d eni ed ?
A n s w er 4
:
The fire as onabl e pers on fl s t andard i n t he s econdprong of t he defi ni t i on of s exual
haras s m ent under § 106.3 0(a) appl i es t o ea ch of t he el em ent s
drawn f rom t he U.S . S uprem e C ourt ™s
deci s i on i n
Davi s v. Monr oe C ount y Bd. of Ed.
, 526 U
.S . 629 (1999
) . Th es e el em en t s i n clud e:
s everi t y, perv as i venes s , obj ect i ve off ens i venes s , and
t h e
ef f e ct i v e d en i al o f eq u al edu catio n al
acc es s .
In t he
P reamble to t
he R ul e
,
at p
ag e
5 15
, t h e D ep ar t m en t s t at es
:
fiT h e
D a vi s
s t andard
ens ures t hat al l s t udent s , em pl oyees , and r eci pi e nt s unders t and that un wel com e condu ct on t he
bas i s of s ex i s act i onabl e under Ti t l e IX when a r eas onabl e pers on i n t he c om pl ai nant ™s pos i t i on
woul d fi nd t he conduct s evere, perv as i ve, and obj ect i vel y off ens i ve s u ch t hat i t eff ect i vel y d eni es
equal ac ces s t o t he r eci pi ent ™s educ at i on program or act i vi t y.fl
Wi t h r es p e ct t o t h e d en i al o f t h e eq u al ac ces s elem en t i n p ar t i cu l ar , i n t h e P r eam b l e t o t h
e
Title IX
R ul e,
at p ag e
525,
s t at es :
Nei t her t he S uprem e C ou rt , nor t he fi nal regul at i o ns i n § 106.30, requi res s howi ng
t hat a com pl ai nant dropped out of s chool , fai l ed a cl as s , had a pani c a t t ack, or
ot herwi s e re ach ed a fib re aki ng poi nt fl i n order t o repo
r t an d r ec ei v e a r eci p i en t ™ s
s upport i ve res pons e t o s exual har as s m ent . The Depart m ent a cknowl ed ges t hat
i ndi vi dual s react t o s exual haras s m ent i n a wi de variety of ways , and does not
interpret the
D a vi s
s t an d ar d t o r equi r e c er t ai n m an i f es t at i o n s o f traum a
o r a
ficons t ruct i ve expul s i on .fl Eval uat i ng whet her a reas on abl e pers on i n t he
com pl ai nant ™s pos i t i on woul d deem t he al l eged har as s m ent t o deny a pers on fiequal
acc es s fl t o ed u cat i o n p r ot ects co m p l ai n an t s ag ai n s t s ch o o l o f f i ci al s i n ap p ropriat el y
j udgi ng how a com pl ai nant has react ed t o t he s exual haras s m ent . The § 106.30
defi ni t i on nei t her requi re s nor perm i t s s chool offi ci al s t o i m pos e noti ons of what a
fiperf ect vi ct i m fl does or s ays , nor m ay a reci pi ent refus e t o res pond t o s exual
h ar as s m en t b e cau s e a co m p l ai n
ant i s fihi gh
-
funct i oni ngfl or not s howi ng pa rt i cul ar
s ym pt om s fol l owi ng a s exual haras s m ent i nci dent .
S imilarly, the P reamble to the Title
IX
R ule,
at pa g es
526-27,
s t at es :
Wi t h r es p ect t o t h e d en i al o f eq u al acces s el em en t , n ei t h er t h e
D a vi s
C ourt nor t he
Depart m ent ™s fi nal regul at i ons requi r e com pl et e e xcl us i on from an educat i on, but
r at h er d en i al of fieq u al fl a cces s .
S i gns of enduri ng
unequal
ed u cat i o n al ac ces s d u e
t o s evere, perv as i ve, and obj ect i vel y of fens i ve se xual haras s m ent m ay i nc l ude
, as
com m ent ers s ugges t , s ki ppi ng cl as s t o avoi d a h aras s e r, a d ecl i ne i n a s t udent ™s
4
grade poi nt averag e, or havi ng di ffi cul t y concent rat i ng i n cl as s ; however,
n o
concr et e i nj ur y i s r equi r ed t o con cl ude t hat s er i ous har as s ment w oul d de pr i ve a
r eas onabl e p
er s on
i n the com pl ai nant ™s pos i t ion of t he abi l i t y t o acces s t he
reci pi ent ™s educ at i on program or act i vi t y on an equal bas i s wi t h pers ons who are
not s ufferi ng s uch h aras s m ent .
( em p h as i s ad d ed ) .
Fi l i n g of a Form al Comp l ai n t
Qu estion
5:
The Title IX R
u l e s t at e
s
:
fiAt the time of filing a f ormal complaint, a complainant
must be particip ating in or attempting to pa rticipate in the edu cation prog ram or activity of the
school with which the formal complaint is filed.fl
If
a
com pl ai nant ei t he r w i t hdraws from
s chool
b ecau s e o f s ex u al
h ar as s m ent
and t hen fi l es a co m pl ai nt , or fi l es a com pl ai nt but t hen wi t hdraws
as a r es u l t o f t he sex u al
h ar as s m en t
o r s t r es s o f t h e gri evan ce p r o ces s
, how woul d t he regul at i ons
affe ct t he com pl ai nant ™s abi l i t y t o purs ue a form al
complaint?
An s wer
5:
Underthe Title IX
R ul e,
re cipients
m us t prom pt l y res pond t o a r eport t hat an
i ndi vi dual has been al l egedl y vi ct i m i zed by s exual haras s m ent , whet her t he al l eged vi ct i m i s
pres ent l y a s t udent o r not , i n a m anner t hat i s not fid el i berat el y i ndi f fer ent
,
fl o r cl e ar l y u n r eas o n ab l e
i n l i ght of known ci rcum s t ances . S t udent s and ot hers who are p art i ci pa t i ng or at t em pt i ng t o
participate in the school™ s program or a ctivity also have the right to file a fo rmal complaint.
In t he P
r eamble to the
Ti tle
IX
R ul e, at pages 411 -12, t he Depa rt m ent furt h er expl ai ns :
A complainant who has graduated may still be ‚ attempting to participate ™ in the
reci pi ent ™s educ at i on program or act i vi t y; for exam pl e, where t he com pl ai nant has
graduat ed from on e prog ram but i nt ends t o appl y t o a di ffe rent prog ram , or wher e
t h e g r ad u at ed
complain a nt intends to remain involved with a recipient™s alumni
program s and act i vi t i es .
S i m i l arl y, a com pl ai nant who i s on a leave of abs e nce m ay
be ‚pa rt i ci pat i ng or at t em pt i ng t o part i ci pat e™ i n t h e re ci pi ent ™s educat i on p r ogram
or activity; for ex am
pl e, s uch a com pl ai nant m ay s t i l l be enrol l ed as a st ud ent even
whi l e on l eave of abs enc e, or m ay i nt end t o re
-
ap p l y af t er a l eav e of ab s e n ce an d
thus is still ‚attempting to participate ™ even while o n a leav e of absen ce.
B y w a y o f
f ur t her exampl e, a compl ai nant w ho has l ef t s chool becaus e of s exual har as s ment ,
but expresses a desi re t o re
-
enr ol l i f t he r eci pi ent appr opr i at el y r es ponds t o t he
s exual har as s ment , i s ‚ at t empt i ng t o par t i ci pate™ i n t he r eci pi ent ™s educat i on
pr ogr am or act i vi t y
.
( em p h as i s ad d ed
).
Ad di t i onal l y, t he R ul e
permits
Ti tl e IX C oordi na t ors t o s i gn a form al
com pl ai nt
, rega rdless of whether a complainant is fiparticip ating or attempting to participatefl in
t he s chool ™s edu cat i on p rogram or act i vi t y.
A T i t l e IX C oordi nat or™s d e ci s i on t o s i gn a form al
com pl ai nt (or not ) i s eva l uat ed unde r t he
d el i b er a t e i n d iff er en c e st an d ar d : w h et h er t h e d eci s i o n
was cl ea rl y unre as onabl e i n l i ght of t he known ci rcum s t ances .
5
Conducting a
n In ves ti gati on
H ea ri n g
Q u es ti on 6:
M ay a
re cipient
d el eg at e m an y o f
t he funct i ons r e qui red by t he Ti t l e IX R u l e t o an
out s i de ent i t y, s uch as a R egi onal C ent er or cons o rt i um of s chool s ?
A n s w er 6 :
Yes . In pa rt i cul ar, m any of t he el em ent s of t he i nves t i gat i on and heari ng pr oces s
es
lend themselves to deleg ation
. T
h e r e ci p i en t
itself
r em ai n s
ultimately
res pons i bl e for
ens uri ng
compliance with
t he l ega l obl i gat i ons under t he Ti t l e IX R ul e.
At page 273 of th e P rea mble to the Title IX R ule, the Dep artment
ex p r e s s l y co n t em p l at es an d
en co u r ag es r eci p i ents t o co n s i d er i
nnovat i ve appr oaches s u ch as cons ort i u m s and regi on al centers
:
The Depa rt m ent appr eci at es com m ent ers ™ re com m endat i ons for us i ng re gi onal
cent er m odel s and s i m i l ar m odel s i nvol vi ng vol un t ary, cooperat ive ef forts am ong
reci pi ent s t o out s ource t h e i nves t i gat i on and adj ud i cat i on funct i ons requi r e d under
t he fi nal regul at i ons . The Depart m ent bel i eves t he s e m odel s repres ent t he pot ent i al
for innovation with respect to how recipients might best fulfill the obligation to
i m p ar t i al l y r each a ccu r at e f act u al d et er m i n
ations while treating both parties fairly.
The Dep art m ent en cour ages r eci pi ent s t o cons i der i nnovat i ve s ol ut i ons t o t he
chal l enges p res ent ed by t he l egal obl i gat i on for re ci pi ent s t o fairly and i m p art i al l y
i n v es t i g at e an d ad j ud i cat e t h es e d i f f i cu l t cas es ,
a nd t he Depart m ent wi l l provi de
t echni cal as s i s t an ce fo r r eci pi ent s wi t h ques t i ons about purs ui ng regi onal cent er
m odel s .
To be sur e, there ar e limitations on the extent to which a r ecipient may delegate cer tain
res
ponsibilities to other entities. For in
stance, each recipient must
itself
empl
oya Title IX
C oordinator.
See
§ 106. 8 (fiEach recipient must designate and authorize at least one employee to
coordinate
its
ef forts
to
comply with
its responsibilities under
this part, which employee
must be
referred to as the fiTitle IX Coordinator.fl). Similarly, each recipient is responsible for ensuring
that its grievance procedures satisfy the Title IX Rule.
S
ee
§ 106.
(c) (fiA recipient must adopt
and
publish grievan ce p r ocedures that provide for
the
prompt and equitable resolution of student
and
employee complaints
alleging any action that would be prohibited by this part and a grievance
proce
ss that complies with § 106.45 for formal co mplaints as defined in § 106.30fl). Still, despite
these limitations,
the T
itle IX R ule off ers ample o pportunity for recipients to find efficiencies in
cooper
ation with other recipients, particularly with respect to investigation and adjudication.
Question
7:
W
hat
a
re th e r ules
of
evidence
at
a
he
ar ing
?
D
o
courtroom
r
ules
l
ike
t
he Federal
R ules
of
E
vidence apply to a
he
aring under
T
itle IX?
Answer
7:
The Title IX R ule does not adopt t
he Feder al R ules of Evidence
for
hearings
conducted under Title IX. For instan ce, with respect to which eviden ce may be
introdu ced, t
h e
R ule uses fir elevan cefl as the sole admissibility cr iterion.
See
§ 106.45(b) ( 1)(ii) (the recipient™s
grie
vance
process must provide for
objective evaluation of
all relev ant
evidence, including
evidence th at is inculpatory and exculp atory).
The
Title IX
Rule also d eems certain evidence and information to be not relevant or otherwise
prec
ludes the r ecipient f rom using it:
(i) a party™s treatment records, without the party™s prior
6
wri t t en cons ent [§ 106.45 (b)(5) (i )]; (i i ) i nform at i o n prot ect ed by a l egal l y r ecogni zed pri vi l ege [§
106.45(b)(1) (x)]; (i i i ) qu es t i ons or evi den ce abo ut a com pl ai nant ™s s exu al predi s pos i t i on, and
ques t i ons or evi denc e a bout a com pl ai nant ™s p ri or s exual b ehavi or unl es s it meet s one of t w o
l i m i t ed except i ons [§ 106 .45(b
)(6 ) (i )
-
(i i )]; and, for pos t s econda ry i ns t i t ut i ons , t he de ci s i on
-
m ak e r
cannot rel y o n t he s t at em ent s of a p arty or wi t nes s who does not s ubm i t t o cros s
-
ex amination [§
106.45(b)(6) (i )].
In t he P
r eamble to the
Ti tle IX
R ul e, at pages 980 -82, t he Depa rt m ent expl ai ns :
Thes e fi nal regul at i ons requi re obj ect i ve ev al ua t i on of rel evant evi denc e, and
cont ai n s eve ral p rovi s i ons s peci fyi ng t ypes of evi dence deem ed i rr el e vant or
excl uded f rom cons i der a t i on i n a gri evance p roc es s ; a re ci pi ent m ay not adopt
evi dent i ary rul es of adm i s s i bi l i t y t hat cont ravene t hos e evi dent i ary requi rem ent s
pres cri bed und er § 106.4 5.
For exam pl e, a re ci pi e nt m ay not adopt a rul e ex cl udi ng
rel evant evi d ence whos e probat i ve val ue i s s ubs t a nt i al l y out wei ghed by t he danger
of unfai r prej udi c e; al t ho ugh s uch a rul e is part of t he F eder al R ul es of Evi dence,
t h e Fed er al R u l es o f E v i d en ce co n stit u t e a co m p l ex , co m p r eh en s i v e s et o f
evi dent i ary rul es and ex cept i ons des i gned t o b e appl i ed by j udges and lawyers ,
while
T i t l e IX gr i evance pr oces s es ar e not cour t t r i al s and ar e expect e d t o be
over s een b y l ayper s on of f i ci al s of a s chool , col l ege, or uni ver s i t y r at her t han by a
j udge or l aw yer
.
S i m il arl y, a reci pi ent m ay not adopt rul es excl udi ng cert ai n types
o f rel e
v ant evi denc e ( e.g ., l i e det ect or t es t r es ul t s , or rape ki t s ) wher e t he t ype of
ev i d en ce i s n o t ei t h er d eem ed fin o t r el ev an t fl ( as i s , f o r i n s t an ce, ev id en ce
concerni ng a com pl ai na nt ™s pri or s exual hi s t ory ) or ot herwi s e b arr ed fr om us e
under § 106.45 (as i s , fo r i ns t ance, i nform at i on p rot ect ed by a l eg al l y rec ogni zed
pri vi l ege). Howev er, t h e § 106.45 gri evance p roces s does not prescri be rules
governi ng how adm i s s i bl e, rel evant evi den ce m us t be eval uat ed for w e i ght or
credibility by a re cipient™s decision
-
m ak
e r, and r eci pi ent s t hus have di s c r et i on t o
adopt and appl y rul es i n t hat regard, s o l ong as such rul es do not confl i ct wi t h §
106.45 and appl y equal l y t o bot h part i es .
Qu estion 8
:
D o r eci p i en t s h av e l at i t u d e t o d ef i n e r el ev an ce o n t h ei r o w n ?
A n s w er 8
:
In th e P reamble to the Ti tle IX R ule, a
t page 811, foot not e 1018
,
the Dep a rtment
states:
fiTh e fi nal regul at i ons do not defi n e r el evan ce, and t he o rdi nary m ean i ng of t he word s houl d
be unders t ood and appl i e d.fl At page 812 o f t he P ream bl e,
the D epa rtment states:
R el evance i s t he s t andar d t hat t hes e fi nal regul at i ons requi re, and any evi dent i ary
rul es t hat a re ci pi ent choo s es m us t res pe ct t hi s s t an dard of rel e vanc e.
Fo r ex am p l e,
a re ci pi ent m ay not adopt a rul e excl udi ng r el evant evidence be caus e s u ch r el e
vant
evi dence m ay b e undul y prej udi ci al , conc ern pri or bad act s , or cons t i t ut e ch aract er
evi dence. A re ci pi ent m ay adopt rul es of order or decorum t o forbi d badg eri ng a
witness, and may fairly d eem rep etition of the same question to be irrelev an t.
7
Ho wev e r,
t h er e i s a d i f f e r en ce b et ween t h e ad m i s s i o n o f r el ev an t ev i d en ce , an d t h e w ei gh t
,
credi bi l i t y, or pers uas i ve nes s of part i cul a r evi den ce. At pag es 981-82 of t he P ream bl e, t he
Depart m ent fu rt her expl a i ns :
Howeve r, t he § 106.45 g ri evanc e pro ces s do es no t prescri be rul es gove rni ng how
adm i s s i bl e, rel evant evi dence m us t be eval uat e d for weight or credi bi l i t y bya
recipient™s de cision
-
m ak er, and re ci pi ent s t hus have di s cret i on t o adopt and appl y
rules in that r
eg ard, s o l ong as s uch rul es do not c onfl i ct wi t h § 106.45 an d appl y
equal l y t o bot h part i es .
In r es pons e t o com m ent ers ™ conc erns t hat t h e fi nal
regul at i ons do not s peci f y rul es about ev al uat i on of evi denc e, and recogni zi ng t hat
r eci p i en t s t h e r ef o r e h av e
di s cret i on t o adopt rul es not ot herwi s e p rohi bi t ed under §
106.45, t he fi n al regul at i ons acknowl edge t hi s re al i t y by addi ng l anguage t o t he
i nt roduct ory s ent enc e of § 106.45(b):
fi
Any pro vi s i ons , rul es , or pra ct i c es ot her
t han t hos e requi r ed by § 106.45 t h
at a r eci p i en t ad o p t s as p ar t of its g r i ev an c e
proces s for h andl i ng form al com pl ai nt s of s exual harass m ent , as defi n e d i n §
106.30, m us t appl y equal l y t o bot h pa rt i es .fl A r eci pi ent m ay, fo r exam pl e, adopt a
rul e reg ardi ng t he wei ght or cr edi bi l i t y (but not
the admissibility) that a de cision
-
m aker s houl d as s i gn t o evi dence of a part y™s pri or bad act s , s o l ong as s uch a rul e
appl i ed equal l y t o t he pri or bad acts of complainant s and t he pri or bad act s of
res pondent s .
B e caus e a reci pi ent ™s i nves t i gat ors and de
cision
-
m ak er s m u s t b e
t rai ned s peci fi c al l y wi t hres pect t o fii s s ues of rel e vance, fl any rul es adopted by a
recipient in this regard should be reflected in the recipient™s training materials,
whi ch m us t be publ i cl y avai l abl e.
(em phas i s added ) (i nt ern al foot no
tes omitted).
Qu estion
9:
The Ti t l e IX R ul e s t at es t hat at t he pos t s econdary l evel , i f a part y does not appea r
at a l i ve heari ng, or choos es t o not ans wer cros s exa m i nat i on ques t i ons , t hat part y™s s t at em ent m us t
not
be rel i ed upon fii n reachi ng a
det erm i nat i on r egardi ng res pons i bi l i
ty
.fl
If
a co m p l ai n
an
t opt s
not t o ans we r cros s
-
ex am i nat i on ques t i ons ,
how do es that impa ct that
com pl ai nant ™s
s t at em en t
s i n
an
i nves t i gat i ve r eport ?
Does i t m ean al l s t at em e nt s provi ded by t hat p art y befor e t he h eari ng
Š
i ncl udi ng s t at em ent s m ade t o an i nves t i gat or an d s um m ari zed i n t he i nves t i gat i on report
Š
ar e
ex cl u d ed ?
An s wer
9:
The Title IX R ule,
at
§ 106.45(b)(6) (i ), requi res p os t s econdary i ns t i t ut i ons t o hol d
a l i ve heari ng wi t h
t h e
opport uni t y for each part y™s advi s or
t o conduct cros s
-
examination
o f p ar t i es
an d w i t n es s es
.
At page 1179 of t he P r ea m bl e t o t he R ul e, t he De part m ent expl ai ns :
B ecau s e
party and witne ss statements so o ften r aise c redibility questions in the
cont ext of s exual ha ras s m ent al l egat i ons ,
t he de ci s i on
-
maker mus t cons i der onl y
t hos e
statements
t hat have benef i t ed f r om t he t r ut h
-
s eeki ng f unct i on of cr os s
-
exami nat i on
.
The reci pi ent , and t he part i es , have equal opportuni ty (and,for t he
reci pi ent , t he obl i gat i on) t o gat her and p res ent rel e vant evi denc e i ncl udi ng f act and
ex p er t w i t n es s es , an d f ac
e t he s am e l i m i t at i ons i nherent i n a l ack of s ubpo en a power
8
t o com pel wi t nes s t es t i mony.
The Depart m ent be l i eves t hat t he fi nal regul at i ons ,
i ncl udi ng § 106.45(b)(6 )(i ), s t ri ke t he approp ri a t e bal anc e fo r a pos t s e c ondary
i ns t i t ut i on cont ext bet ween ens uri ng t hat onl y rel evant and rel i abl e evi d ence i s
cons i dered whi l e not ov e r-l egal i zi ng t he gri evanc e proces s .
( em p h as i s ad d ed )
. And a t page 1181 of t he P
r e am b l e t o t h e
Title IX R ule, the Depa rtment states:
The prohi bi t i on on rel i a nce on fis t at em ent s fl appl i es
not onl y t o s t at em ent s m ade
duri ng t he heari ng,
but a l s o t o any s t at ement of t he par t y or w i t nes s w ho does not
s ubmi t t o cr os s
-exa mi nat i on
.
fiS t at em ent s fl has i t s ordi nary m e ani ng, but w oul d not
i ncl ude evi dence (s uch a s vi deos ) t hat do not cons t i t ut e a pers on™s i nt ent to m ake
f act u al as s er t i o n s ,
or t o t he ext ent t hat s uch evi de nce does not cont ai n a p ers on™s
statements.
Thus ,
police r epor t s , SAN E r eport s , medi cal r epor t s , and ot her
document s and r ecor ds may not be r el i ed on t ot he ext ent that t hey cont ai n
t h e
s t at ement s of a par t y or w i t nes s w ho has not s ubmi tt ed t o cr os s
-exami nat i on
.
Wh i l e
docum ent ary evi denc e s uch as pol i ce report s or hos pi t al records may ha ve be en
gat hered duri ng i nves t i ga t i on and, i f di rect l y rel at e d t o t he al l egat i ons i ns pect ed and
re
vi ewed by t he part i es , and t o t he ext ent t heyare rel evant , s um m ari ze d i n t he
i nves t i gat i ve report , t he heari ng i s t he part i es ™ fi rs t opport uni t y t o argue t o t he
d eci s i o n
-
m aker about t h e credi bi l i t y and i m pl i cat i ons of s uch evi dence.
P robi ng
the credibili
t y and rel i abi l i t y of
statements
as s ert ed by wi t nes s es cont ai ned i n s uch
evi dence r equi res t he pa rt i es t o have t he opport uni t y t o cros s
-
ex am i n e t h e w i t n es s es
making the statements.
( em p h as i s ad d ed
) (
foot not es om i t t ed). For a furt her di s cus s i on of t hi s t o
pic and how it relates to
unprot ect ed s pe ech t h at i t s el f cons t i t ut es s exual h aras s m ent unde r t he Ti t l e IX R ul e,
r ead er s a r e
i nvi t ed t o revi ew OC R ™s bl og pos t on t hi s t opi c
h er e
.
Qu estion
10:
When a pos t -s econda ry i ns t i t ut i on hol ds a l i ve heari ng, i
s the questioning limited
t o cer t ai n s u b j ect s
?
An s wer
10:
The R ul e requi r es t hat s c hool s provi de t he opport uni t y for cros s
-
ex amination
, and
t hat part y advi s ors m us t be
permitted
t o as k
al l
rel evant ques t i ons (i ncl udi ng fol l ow
-
up ques t i ons )
,
and
onl y
rel ev ant ques t i o ns .
Qu estion
11:
At t he pos t s econd ary l evel , a
r e
pa rt y
advi s o rs expe ct ed t o cros s
-
e x am i n e
w i t n es s es ?
An s wer
11:
The Title IX R ule,
at
§ 1 06.45(b)(6) (i ), s t at es t hat a pos t s econdary i ns t i t ut i on m us t
hol d a l i ve hea ri ng.
At t he hea ri ng,
ea ch pa rt y™s advi s or of choi ce m us t b e fipe rm i t t edfl t o cros s
-
ex am i n e w i t n es s es .
(Not e t hat t he s am e provi s i on requi res t he re ci pi ent t o p rovi de a party wit h an
advi s or of t he re ci pi ent ™s choi ce, i f t h e pa rt y appe ar s at t he he ari ng wi t hout a n advi s or of t h e part y™s
ch o i ce. )
Qu estion
12
:
If a p arty ™s
advi s or
fails
t o
cr o s s
-
ex am i n e
anot he r part y
o n a k ey s tat em en t r el at ed
to credibility
, w
hat is the
ef f ect o f t h i s o n t h e s tat em en t m ad e by th e co m p l ai n an t
? M
ay t h e
d eci s i o n
-
m ak er co n s i d er
t he k ey s t at em en t ?
9
A n s w er 1
2:
T h e
Title IX
R ul e, i n § 1 06.45(b)(6) (i ), s t at es : fiAt t he l i ve heari ng, t he d eci s i on-
m aker(s ) m us t pe rm i t eac h part y™s advi s or t o as k t he ot her pa rt y and any wi t nes s es al l rel ev ant
ques t i ons and fol l ow-up ques t i ons , i ncl udi ng t hose chal l engi ng c redi bi l i t y.fl
In t h e P r eam b l e t o t h e R u le at pag e 1 1 8 1 , t h e D ep ar t m en t s t at es ( em p h as i s ad d ed ):
P robi ng t he credi bi l i t y and rel i abi l i t y of s t
at em en t s as s er t ed b y w i tn es s es co n t ai n ed
i n s u ch ev i d en ce r eq u i r e s t h e part i es t o h av e
t he oppor t uni t y
t o cros s
-
ex a m i n e t h e
witnesses making the statements.
The Depa rt m ent appre ci a t es t he opport uni t y t o cl ari fy here t hat t o fis ubm i t t o cros s
-
ex am i n at i o n fl m
eans ans weri ng t hos e cros s
-
exam i nat i on ques t i ons t hat are r el evant ;
t h e d eci s i o n
-
m ak er i s r eq u i r ed t o make r el ev an ce d et er m i n at i o n s r eg ar d i n g cro ss
-
exam i nat i on i n real t i m e duri ng t he hea ri ng i n part t o ens ure t hat pa r t i es and
w i t n es s es d o n o t f eel com pell
ed t o ans wer i rrel e vant ques t i ons for fear of t hei r
s t at em ent s bei ng excl ude d.
( em p h as i s ad d ed ) .
Thus , t he deci s i on
-
m ake r i s obl i gat ed t o fiperm i t fl e ach part y™s advi s or t o as k al l rel evant ques tions .
Howeve r, t hi s provi s i onprovi des
onl y
an fioppor t uni t yfl for each part y (t hrough a
n
advi s or) t o
conduct cros s
-
exam i nat i on; t hi s provi s i on does not purport t o
r eq u i r e
t h at each p ar t y co n d u ct
cr o s s
-
ex am i nat i on or wi ll conduct cros s
-
exam i na t i on t ot he ful l es t ext ent pos s i bl e.
If a p ar t y
choos es not t o conduct cros s
-
exam i nat i on of anot her part y or wi t nes s , t hat ot her part y or wi t nes s
cannot fis ubm i t fl or finot s ubm i t fl t o cros s
-exam i nat i on.
Accordi ngl y, t he deci s i on
-
m aker i s not
precl uded from r el yi ng o n any s t at em ent o f the p art y or wi t nes s who was not gi ven t he opport u
ni t y
t o s ubm i t t o cros s
-exam i nat i on.
The s am e i s t rue i f a pa rt y™s advi s or as ks some cross
-
ex amination
ques t i ons but not every pos s i bl e cros s
-
exam i nat i on ques t i on; as t o cros s
-
exam i nat i on ques t i ons
not
a s ked
of a p art y or wi t nes s , t hat part y or wi tnes s cannot be s ai d t o have s ubm i t t ed or not
s ubm i t t ed t o cros s
-
exam i nat i on, s o t he deci s i on
-
m aker i s not pr ecl uded fro m rel yi ng on t hat part y™s
or witness™s statements.
C onvers el y, i f a part y o r wi t nes s ans we rs one, o r s om e, but not al l , relev ant cros
s -
examination
ques t i ons as ked by a part y™s advi s or at t he l i ve hea ri ng, t hen t hat part y o r wi t nes s has not s ubm i tted
t o cros s
-
exam i nat i on and t hat part y™s or wi t nes s ™s s t at em ent s cannot be relied on by t he deci s i on
-
m ak er .
S ee
P r eam b l e at p ag e 1 1 8 3 (fi
the De
p artme nt declines to allow a part y or witness to fiw aivefl
a ques t i on becaus e s uch a rul e woul d ci rcum v ent t he benefi t s and purpos es of cros s
-
ex amination
as a t r u t h
-s e eki ng t ool for pos t s econdary i ns t i t ut i ons ™ Ti t l e IX adj udi cat i on s
fl) .
Qu estion
13:
Does an advi s or o r pa rt y have an oppo rt uni t y t o provi de i nput about how e vi dence
s houl d be wei ght ed by t he deci s i on-
m ak er ?
An s wer
13:
Y es .
T h e p ar t i es
m us t ha ve an
equ al opport uni t y t o i ns pect , revi ew, and res pond t o
ev i d en ce d i r ect l y r elat ed t o t h e al l e
gat i ons (s ee § 106.45(b)(5)(vi ) )
, and a n
equal opport uni t y t o
revi ew and res pond t o t he r eci pi ent ™s i nv es t i gat i ve r eport (s ee § 106.45(b ) (5)(vi i )), al l ows e ach
part y t he opport uni t y t oprovi de i nput and m ake argum ent s about t he rel e vance of evi den ce and
10
ho
w a d eci s i o n
-
m aker s houl d wei gh t he evi dence. In t he P re am bl e t o t he Rule at p. 1015, t he
Department states that th e R ule:
. . . bal an ces t he re ci pi ent ™s obl i gat i on t o i m part i al l y gat her and obj e ct i vel y e val uat e
al l rel evant evi den ce, i n cl udi ng i ncul pat ory and excul pat ory evi d ence, w i t h t he
parties™ equ al right to participate in fu rthering each p arty™s own inte r ests by
i dent i fyi ng evi dence ove rl ooked by t he i nves t i gat or and evi denc e t he i nves t i gat or
erroneous l y d eem ed rel e vant or i rr el evant and m aki ng argu
ments to the d ecision
-
m ak er r eg ar d i n g t he r el e v an ce o f ev i d en ce an d t h e w ei gh t o r cr ed i b i l i t y o f r el ev an t
ev i d en ce.
Note that
S ect i o n s
106.4 5(b)(5) (vi )
an d
(vi i ) r equ i re t he reci pi ent t o fis end t o ea ch part y and t he
part y™s advi s or, i f anyfl
t h e ev i d en c e an d
t he i nv es t i gat i ve report , s o t hat a part y™s advi s or can
advi s e t he pa rt y i n exe rc i s i ng t he part y™s ri ght t o revi ew and res pond t o t h e evi denc e and t o t h e
i nves t i gat i ve report .
Qu estion 1
4:
A r e al l w i t n es s es ex p ect ed t o ap p ea r at a he aring , o r d o d eci s i o n
-
m ake rs have t he
f l ex i b i l i t y t o r eq u es t w itn ess es as t h ey d e em n ec es s ar y ?
A n s w er 1 4 :
T h e
Title IX
R ul e does not requi re t hat al l wi t nes s es appea r at a he ari ng, although
i t does provi de t he part i e s an equal ri ght t o pres e nt wi t nes s es . At page 1176 of t he P ream bl e of
t h e
Title IX
R ul e, t h e De part m ent ackno wl edges t hat re ci pi ent s do not have s ubpoena powe rs t o
co m p el at t en d an c e o f p arti es or w i t n es s es at a h e ar i n g :
The Dep art m ent unde rs t ands t hat com pl ai nant s ( and res pond ent s ) oft en wi l l
not
have cont rol over whet her wi t nes s es appe ar an d are cros s
-
ex am i n ed , b ecau s e
nei t her t he reci pi ent nor t he part i es have s ubpoena power to com pel appear ance of
wi t nes s es . S om e abs ence s of wi t nes s es can be avoi ded by a reci pi ent t hought ful l y
worki ng wi t h wi t nes s es r egardi ng s ch edul i ng of a heari ng, and t aki ng adva nt age of
the discretion to permit witnesses to testify remotely.
Furt herm o re, § 106.71( a) prot ect s part i es and wi t nes s es agai ns t ret al i at i on for deci di ng t o
participate or not to par ticipate in a T
i t l e IX gr i evance proc es s .
Thus , a wi t nes s c annot be
com pel l ed t o appear at a heari ng, and cannot be inti midated, t hreat ened, co erced, or di s cri m i nat ed
agai ns t i f t he wi t nes s choos es not t o appear.
However, t he part i es m us t have an equal opport uni t y
t o fi
p r es en t fl w i t n es s es , so t h e d eci s i o n
-
m aker can not reques t t he pres ence onl y of witness es t he
d eci s i o n
-
m ak er h as d eem ed nec essar y .
T h e d eci s i o n
-
maker h as discr etion to permit witnesses to
t es t i fy at t he heari ng rem ot el y, us i ng t echnol ogy.
S ee
§ 106.45(b) (6
)(i ).
Qu estion
15:
S om e reci pi ent s di vi de heari ngs bet ween a fi res pon s i bi l i t yfl phas e and a fis anct i ons fl
phas e. Is t hat bi fur cat i on pos s i bl e under Ti t l e IX?
An s wer
15:
Yes . The R ul e does not precl ude a re ci pi ent fro m us ing one deci s i on
-
mak er t o
reach t he det erm i nat i on regardi ng r es pons i bi l i t y, and havi ng anot her dec i s i on
-
m ak er d et er m i n e
appropri at e
r em ed i es o r a co m p l ai n an t o r ap p r o p riat e
di scipli nary sanctio ns
fo r t h e
res pondent .
Howeve r,
t he end r es ul t m us t be
t hat t he wri t t en det erm i nat i on rega rdi ng res pons i bi l i t y i ncl udes
11
t h e
r em ed i es an d
di s ci pl i nary s anct i ons de ci ded u pon
i n t he wri t t en det erm i nat i on i s s ued under §
106.45(b)(7).
T
hat provi s i on, at § 10 6.45(b)(7),
r eq u i r es a r e ci p i en t ™ s d eci sion
-
mak er (s) to issue a written
determination that must i nclude, among other ite ms, the r esult as to ea ch allegation and rationale
for t he res ul t , any di s ci pl i nary s anct i ons i m pos ed by t he reci pi ent agai ns t t he res pondent , and
whet her r em edi es wi l l be provi ded by t he re ci pi en t t o t he compl ainant. The i s s uance of a wri t t en
det erm i nat i on cannot be a pi ec em eal p roces s t h at i s broken down i nt o chro nol ogi cal l y occur ri ng
s ub-
p ar t s .
R eci pi ent s s houl d al s o re m ai n awa re of t hei r obl i g at i on t o concl ud e t he gri evanc e pro ces s wi t hi n
t he reas on abl y prom pt t i m e fram es d es i gnat ed i n t he reci pi ent ™s gri eva nce pro ces s , unde r §
106.45(b)(1) (v). Addi t i onal l y, each deci s i on
-
m ak er
Š
whet he r an em pl oye e of t he reci pi ent or an
em pl oyee of a t hi rd p art y
s uch as a cons o rt i um of s chool s
Š
owes an i ndi vi dual and ongoi ng dut y
not have a confl i ct of i nt eres t or bi as for or agains t com pl ai nant s or res pondent s general l y, or wi t h
res pect t o an i ndi vi dual c om pl ai nant or res pondent , purs uant t o § 106.45(b)( 1)(i i i ).
If you have ques t i ons for t he Offi ce fo r C i vi l R i ght s (OC R ), want addi t i onal i nform at i on or
technical assistan ce, or believe that a school is violating federal civil rights law, visit OC R
™ s
website
at
www.ed.gov/ ocr
, o r t h e D ep ar t m en t ™s T itle IX p ag e at
www. ed .gov/titleix
.
You m ay
cont act OC R at (800) 42 1
-
3481 (TDD: 800
-877 -
8 339), ocr@ ed.gov, or co nt act OC R ™s Out rea ch,
P revent i on, Educ at i on a nd Non
-
discrimination ( OP EN) C ent
er at
OP EN @ed.gov
, or e
-
mail
t h e
O P E N C en t er
with addit ional questions about th e Title IX Fin al R ule
at T9questi ons@ed.gov
.
Additional information regarding the Title IX Fin al R ule is available
h er e
.
You m ay al s o fi l l out
a com pl ai nt form onl i ne at
https://www2.ed.gov/about/offices/list/ocr/complaintintro.html
.
|
"eCFR __ 34 CFR Part 106 (Aug. 15, 2020) -- Nondiscrimination on the Basis of Sex in Education Progr(...TRUNCATED)
| "!\"#$%&$%'%!\"#$%()\n!\" #$ %& '\n!( #& #)* !+ '$ ),#-\n!+ . %%#& * /. )-\n!\n!\n0%.1-#\n\"\n#\n$\n(...TRUNCATED)
|
digital-sexual-harassment-under-2020-title-ix-regulations-109318.pdf
| "Online or \nDigital Sexual \n\nHarassment under \n\nthe 2020 Title IX \n\nR e gulations: \nA R esou(...TRUNCATED)
|
"Federal Register __ Nondiscrimination on the Basis of Sex in Education Programs or Activities Recei(...TRUNCATED)
| "!\"#$%&'(%)%#*+%\"#,\"#,+-.,/*&%&,\"0,1.2,%#,3$4'*+%\"#,5(\"6(*)&,\"(\n7'+%8%+%.&,9.'.%8%#6,:.$.(*;(...TRUNCATED)
|
qa-titleix-part2-20210115.pdf
| "1 \nUNI TED S TA\nTES DEPARTMENT OF\n \nE DUCATION\n \nOffice for Civil\nRights\n \nJ anuary 15, 20(...TRUNCATED)
|
Title IX Cases for Training.docx
| "Doe v. Fairfax County School Board1:20-cv-00729 (E.D. Va. 2020). \nE.D. Virginia\nSummary:In this c(...TRUNCATED)
|
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