Introduction and Scope

The University of Massachusetts Lowell (“UMass Lowell” or “University") is committed to fostering a safe, welcoming, and inclusive working and learning environment. At its most basic level, such a climate provides that no member of the university community, nor visitors such as vendors or contractors, shall be subject to discrimination. The University has issued the UMass Lowell Nondiscrimination Guidelines ("Guidelines"), which are in accordance with University of Massachusetts policies, and state and federal laws. This Equal Opportunity Concerns/Complaint Procedure, ("EO Complaint Procedure") describes the process the University uses, in accordance with the Nondiscrimination Guidelines, to review concerns or complaints of Unlawful Discrimination, Discriminatory Harassment (Harassment based on any Protected Class), or Retaliation for participation in processes covered by this EO Complaint Procedure, (“Protected Class” and “Retaliation” are defined below). This includes Sexual Misconduct (see definitions below).

In August of 2020, the U.S. Department of Education published new regulations in Part 106 of Title 34 of the Code of Federal Regulations, which define Sex Discrimination and Sexual Harassment, a form of Sex Discrimination. Please review the Sex Discrimination Grievance Procedure to learn about the definition of Sexual Harassment, reporting requirements, and review process for matters involving Sex Discrimination, including Sexual Harassment.

This EO Complaint procedure governs the process for allegations of discrimination as defined in Title VI and Title VII of the Civil Rights Act of 1964.

This EO Complaint Procedure does not govern the process for Sex Discrimination as defined in the August 2020 US Department of Education regulations. This Procedure governs the process for Sexual Misconduct, as defined below. If the concern or complaint involves both Sexual Misconduct and Sexual Discrimination as defined in Title IX based on the same incident, the Title IX Coordinator, at their sole discretion, may determine that the Sex Discrimination Grievance Procedure will be followed to review the concerns. If, during an Equal Opportunity review, other concerns are reported or arise regarding potential violations of the University’s policies, protocols, or laws not covered by the Nondiscrimination Guidelines, those matters will be referred to the appropriate University administrators for their review and determination of next steps.

These EO Complaint Procedures shall be conducted in accordance with applicable collective bargaining agreements of the University, UMass Lowell Guidelines, and University of Massachusetts Policies.

Administrators, faculty, and staff are expected to report possible discriminatory, hostile environment, or other inappropriate behavior that could potentially be a violation of the University’s Nondiscrimination Guidelines to the Office of Equal Opportunity and Outreach (“EOO”).

Contact Information to report a concern or complaint, or for support services

A concern or complaint about Unlawful Discrimination, including but not limited to Sexual Misconduct, Discriminatory Harassment, or Retaliation for any matter covered by this EO Complaint Procedure, may be reported by contacting Equal Opportunity and Outreach at 978-934-3565. If the Respondent is a student, these concerns should be reported to Student Rights and Responsibilities at 978-934-2100, University Crossing, 220 Pawtucket Street, Suite #200, Lowell, MA 01854-5142. Individuals can also file a complaint online using the Report a Concern form.

Individuals who wish to file an anonymous complaint may do so by filing the online Report a Concern form while not including any identifying information such as their name or contact information.

University of Massachusetts Lowell Title IX Coordinator:

William Cummings,
Director of Equal Opportunity and Outreach and Compliance
Phone: 978-934-3565
Email: William_Cummings@uml.edu

Individuals with disabilities or limited English proficiency may contact the Office of Equal Opportunity and Outreach at 978-934-3565 if they need an accommodation or language services to access the complaint process.

Filing an equal opportunity complaint does not in any way waive or deprive an individual of the right to report an incident to campus, local, or state law enforcement or an external federal or state agency. Please see contact information below. Also, no individual who files a complaint or reports an incident of unlawful discrimination with UMass Lowell shall be required to also report it to law enforcement or any outside agency, unless they choose to do so.

UMass Lowell Police Department
Meehan Student Center
100 Meehan Way (220 Pawtucket Street), Suite 170
Lowell, MA 01854

Emergencies
On Campus - dial: 44-911
Off Campus: call 978-934-4911
Or use any of the "Blue Light" Emergency Radio Phones.

Non-Emergencies
On Campus: dial 4-2398
Off Campus: call 978-934-2398
email: Police@uml.edu
UMass Lowell Police Department website


City of Lowell Police Department
50 Arcand Drive
Lowell, MA 01852
For Emergencies call: 911
For non-emergencies call: 978-937-3200
City of Lowell Police Department website


The United States Equal Employment Opportunity Commission
Boston Area Office
JFK Federal Building
15 New Sudbury Street, Room 475
Boston, MA 02203-0506
Voice phone: (800) 669-4000,
TTY: (800) 669-6820


The Massachusetts Commission Against Discrimination
One Ashburton Place, Suite 601
Boston, MA 02108
Voice phone: (617) 994-6000,
TYY: (617) 994-6196

Department of Energy programs: Any individual with a concern of unwelcome sexual behavior in connection with any program or activity receiving assistance from the Department of Energy may submit a complaint in writing to Field Civil Rights Officers located in the Department of Energy’s field offices or to the Director, Office of Civil Rights and Diversity, Forrestal Building, 1000 Independence Avenue, SW., Washington, D.C. 20585.

For information regarding the counseling, health, safety, and other support services available on and off campus, please visit the Prevent and Education Resources page. For academic support, please contact Student Affairs by phone: 978-934-2100 or email: student_affairs@uml.edu.

For emergency assistance and/or medical treatment, the following are local options. Preserving evidence in sexual assault matters is critical and should be done promptly, even if the person has not decided they want to file charges. Evidence is preserved for 15 years. You may obtain support from any of these providers without filing a concern or complaint.


UMass Lowell Police Department
Meehan Student Center
100 Meehan Way (220 Pawtucket Street), Suite 170
Lowell, MA 01854

Emergencies
On Campus - dial: 44-911
Off Campus: call 978-934-4911
Or use any of the "Blue Light" Emergency Radio Phones.

Non-Emergencies
On Campus: dial 4-2398
Off Campus: call 978-934-2398
email: Police@uml.edu
UMass Lowell Police Department website


City of Lowell Police Department
50 Arcand Drive
Lowell, MA 01852
For Emergencies call: 911
For non-emergencies call: 978-937-3200
City of Lowell Police Department website


Lowell General Hospital (Main Campus)
SANE Certified Site 6
295 Varnum Avenue
Lowell, MA 01854
Phone: 978-937-6000
Lowell General Hospital website


Lowell General Hospital (Saints Campus Emergency Room)
SANE Certified Site
1 Hospital Drive
Lowell, MA 01852
Phone: 978-937-6000
Lowell General Hospital website

Additional information and assistance may be available from the following sources: Employees may contact the Employee Assistance Program; Students may contact the UMass Lowell Counseling Center, their Residence Life Staff, Coach, or Academic Advisor.

Reporting Guidelines for UMass Lowell Administrators, Faculty, and Supervisors

All UMass Lowell administrators, all supervisors, and managers have the responsibility to report all possible incidents of potential violations of the UMass Lowell’s Nondiscrimination Guidelines, including Unlawful Discrimination, Sexual Misconduct, Discriminatory Harassment, and/or Retaliation for participation in processes covered by this EO Complaint Procedure, to Equal Opportunity and Outreach (EOO). They must do so regardless of whether an individual wishes to file a complaint alleging a violation, and even if the concerned person requests confidentiality or anonymity, or requests that no action be taken.

EOO and the Director for EOO will maintain the privacy of the concern to the extent possible while complying with the University’s duty to investigate, consistent with state and federal law. The University will gather information to determine the scope of the concern and resolve the situation. While parties may request confidentiality, the University has a responsibility to provide a safe and nondiscriminatory environment for all members of the Campus Community. Confidentiality, therefore, cannot be guaranteed.

For this reason, only Confidential Resource Providers or others with a legal privilege to keep confidentiality, such as counselors and healthcare providers, are exempt from reporting possible or known violations to the University or the Title IX Coordinator.

Individuals required to report under the Guidelines cannot promise confidentiality to the individual from whom they learned the details of a possible violation. Individuals who are not confidential are expected to report possible as well as known incidents to Equal Opportunity & Outreach. Additionally, the supervisors and managers must take reasonable, proactive steps to become aware of potential incidents.

Whether or not a university employee or student has mandatory reporting obligations, all members of the University community are encouraged to practice bystander intervention, which includes interrupting potential violations of the UMass Lowell Nondiscrimination Guidelines when safe. In addition, all members of the university community are strongly encouraged to report any potential violations of these Guidelines.

Rights and Expectations for the Parties and Witnesses

Rights

Reasonable Accommodations: Any party, witness, or other participant who wishes to file a complaint or who is involved in any process related to this procedure may request reasonable accommodations based on a medical reason under the Americans with Disabilities Act, by contacting the ADA/Section 504 Coordinator, Office of Equal Opportunity and Outreach , 978-934-3565.

Advisors: The Complainant, the Responding Person, and witnesses are welcome to have an Advisor during their meetings with the Office of Equal Opportunity & Outreach. The Advisor may only act in an advisory capacity for the person and may not speak on behalf of the person or otherwise participate during any interviews, meetings, or hearings. During meetings, the parties will have the opportunity to take a break and to confer with the Advisor.

Confidential Resource Providers: For Sexual Misconduct matters, Complainants and Respondents both have the right to confidential discussions with a Confidential Resource Provider to receive assistance and information, whether they choose to file a complaint.

Language Assistance: Any party, witness, or other participant with limited English proficiency may request language services at no cost to them.

Scheduling: Both the Complainant and the Responding Person will be provided with reasonable flexibility for scheduling meetings, while recognizing the need for as prompt a review as possible.

Supportive Measures: The university may choose to provide supportive measures at any point after learning of any equal opportunity concerns, including those involving potential Sexual Harassment/Sexual Misconduct. Supportive measures may not be punitive in nature. The Director for Equal Opportunity & Outreach, Diversity & Inclusion will determine whether supportive measures should be implemented. Please see Section V for more information.

Discipline for Related Violations: A student complainant or witness who participates in an investigation of an incident of sexual misconduct shall not be subject to a disciplinary sanction for a violation of the Student Conduct Code related to that incident unless the University determines that the Complainant or witness’s participation in the matter was not in good faith or that the violation of the Student Code of Conduct was egregious. An egregious violation includes, but is not limited to, conduct that places the health and safety of person(s) at risk.

Retaliation Protections: Retaliation against any person, including the Complainant, Responding Person, witnesses, or any other individual, based on their participation in an equal opportunity and /or civil rights-related report, complaint, informal resolution process, or investigation, is prohibited by the UMass Lowell Nondiscrimination Guidelines, the University of Massachusetts Non-Discrimination and Harassment Policy, and state and federal laws. UMass Lowell will take steps to prevent retaliation and take strong responsive action if it occurs. A concern of retaliation should be immediately reported to Equal Opportunity and Outreach, or for concerns about students, to Student Conduct, which will promptly investigate it. This includes concerns of retaliatory actions taken by the University and its officials. Examples of behavior that may be perceived as retaliatory include, but are not limited to, attempts to learn of or to influence accounts made during the review, and unwarranted disciplinary actions.

Ascertaining Your Rights: Parties and witnesses may discuss the equal opportunity review to ascertain their rights regarding the matter. To protect the privacy of these individuals and the integrity of the process to the extent possible, the University only shares information obtained during the review on a need-to-know basis.

Expectations

The Complainant, Responding Person and witnesses are obligated to not retaliate; to update the Investigator(s) if their contact information changes; to be truthful in presenting their own account; to provide supporting documentation or other evidence in support of their account within the timeframe provided by the Investigator; to notify the reviewer(s) if someone has attempted to improperly learn of or change their account with the purpose of disrupting the outcome of the review; and to notify the reviewer(s) if they believe they have faced retaliation as a result of their participation in the review.

Knowingly providing false information regarding discrimination, discriminatory harassment, sexual misconduct, or retaliation is prohibited. Providing false information or unduly influencing witnesses is also prohibited. UMass Lowell reserves the right to discipline an individual who brings a false complaint of discrimination or provides false information. No complaint will be considered "false" solely because it cannot be corroborated.

Informal Dispute Resolution Efforts

Parties involved in an EOO matter may request, in writing, to participate in informal resolution. EOO will determine whether informal resolution is appropriate and safe and whether it may be pursued. Both parties must agree to engage in the informal resolution process. Informal resolution is generally not available in cases in which an employee is alleged to have engaged in sexual misconduct affecting a student.

Any resolution of a complaint through the informal resolution process will address the concerns of the complainant and the responsibility of the University to address alleged violations of its policy, while also respecting the due process rights of the Respondent.

If either party has reason to believe that the informal resolution agreement has not been followed, they should notify Equal Opportunity & Outreach in writing within thirty (30) days of the alleged violation. EOO will review the concern and determine next steps. Generally, failing to abide by an agreement will be referred for disciplinary action in accordance with applicable University Policies. The Director of Equal Opportunity & Outreach, or designee, at its discretion, may reopen the original complaint for investigation.

Before a resolution is reached, the process will change to the formal process if:

  • either party decides to move to the formal process, at any time;
  • EOO determines that the formal process should be followed at any time; or
  • an informal resolution has not been reached within thirty (30) days, except for good cause.

Note: An Informal Resolution Option remains available to the Parties (Complainant and Respondent, if approved by the University) up until a Notice of Outcome / Closure Letter has been issued.

Filing an Equal Opportunity Complaint

A Complainant is encouraged to file a complaint as soon as possible. A non-Title IX complaint must be reported to Equal Opportunity & Outreach within three hundred (300) calendar days of the Complainant’s first knowledge of the alleged discriminatory act. If a discriminatory act is older than the three hundred (300) calendar days but part of a pattern and act that occurred within the three hundred (300) calendar days, it may be incorporated as part of the Complaint. The Director of Equal Opportunity or designee shall determine whether a complaint falls within the timeframe and/or whether the timeframe should be extended for good cause.

The following is the process for filing a complaint on the basis of Discrimination, Discriminatory Harassment, Retaliation or Sexual Misconduct (non Title IX incidents, refer to definitions above). The process for reporting is also outlined in the Nondiscrimination Guidelines.

  1. An individual may initiate the complaint process by submitting a written or oral report to Equal Opportunity and Outreach, or, for complaints about a student, to Student Conduct.  The complaint may be submitted by email, in person, by mail, or by using the online Report a Concern form. The complaint may be filed orally or in writing, and should include all known information relevant to the alleged violation, including the Complainant’s name, student status or employee title, and contact information; the name of the person(s) alleged to have violated the policy, their student or employee status if known; the date(s), time(s), and location(s) of the alleged occurrence(s); the names and contact information for any witnesses of the alleged occurrence(s); a detailed description of the occurrence(s); a list of relevant supportive documentation; and a statement indicating whether the concern has already been reported to anyone else, and if so, to whom. Individuals with disabilities or limited English proficiency may contact the Office of Equal Opportunity and Outreach at 978-934-3565 if they need an accommodation or language services during the complaint process.
    • a. Oral Complaints will be documented by the appropriate administrator, and information shared back with the reporting party for accuracy.

  2. An individual may choose to meet with Equal Opportunity & Outreach, or, if the Respondent is a student, the Office of Student Rights and Responsibilities.

Equal Opportunity and Outreach
Phone: 978-934-3565
Email: Equal_Opportunity@uml.edu
Report a Concern form

Student Rights and Responsibilities
Phone: 978-934-2100
Email: studentconduct@uml.edu
Report a Concern form

The Complainant must provide the supportive documentation as quickly as possible to the Investigator(s). It must be provided before the Investigator makes a determination.

If the report is made by someone who was not involved, the University will inform the party against whom the violation allegedly occurred and ask whether they wish to file a complaint. The University may review the concerns if it decides doing so is in the best interest of the UMass Lowell community.

The Complainant may indicate any sanction or remedy sought, if relevant. The University, not the person bringing the concern/complaint, determines sanctions and remedies.

As stated elsewhere in this Procedure, confidentiality cannot be guaranteed. Privacy will be kept to the extent possible while complying with the requirements of state and federal law.

Complaint Investigation and Resolution Procedures

Initial Analysis

Upon receipt of a report or allegation, an initial analysis of the Complaint will be conducted. If it is determined that an investigation is warranted, a trained Investigator will be assigned to conduct the investigation.

Notice of Investigation and Allegations

Prior to the commencement of the Investigation, parties to the complaint, the Complainant and the Respondent, will be provided with a Notice of Investigation and Allegations (“NOIA”). This notice, at a minimum shall include:

  • Names of the Involved Parties (Complainant and Respondent);
  • A summary of the allegations sufficient to allow the Respondent to understand and respond to them;;
  • Specific allegations and violations of Guidelines;
  • Alleged Dates and Locations of the Incidents (if known);
  • Notice that the Rights for both Parties;
  • Notice of available Supportive Measures and how to seek them;
  • Notice that Retaliation is Prohibited;
  • Notice regarding False Statements and/or False Information
  • Notice Regarding Privacy; and
  • Option for Informal Resolution.

The Office of Equal Opportunity & Outreach, at its discretion, may inform Human Resources, and/or the Respondent’s Vice Chancellor and/or designee that an Investigation is being opened.

Investigation

Trained Investigators conduct a neutral and unbiased review process for each complaint, considering the accounts and documentation provided by both the Complainant and the Respondent. They presume that the Respondent is not responsible for the alleged conduct until a determination regarding responsibility is made at the conclusion of the process. Investigators first consider the reported facts and may conduct preliminary interviews to determine whether the allegations, if true, could constitute a violation of the Nondiscrimination Guidelines. If it is possible that a violation occurred, the procedure will proceed as follows. If it is determined that there was no violation of the Guidelines, the Investigator will determine whether appropriate steps are warranted, as detailed in the Guidelines Complaint and Investigation Resolution Procedures.

If an Investigation is suspended and/or terminated, both parties shall be notified in writing of the reason why the Investigation was suspended. Parties may submit a request for reconsideration to the Director of Equal Opportunity, or designee.

The Complainant and Respondent are each required to meet with the Investigator(s), separately. The Parties have the right to be accompanied by an Advisor of their choice. The parties will be given the opportunity to respond to the allegation(s), to provide names and contact information of witnesses, and to provide documentation in support of their accounts.

The investigation may include, among other things, interviewing the complainant, the respondent, and any witnesses; reviewing law enforcement investigation documents if applicable; reviewing relevant student or employment files (preserving confidentiality wherever necessary); and gathering and examining other relevant documents, social media, and evidence.

For Sexual Harassment and Sexual Misconduct matters, the parties may suggest relevant questions for the Investigator to ask the other party and witnesses. There may be restrictions on evidence considered by the Investigator, such as, for example, evidence related to prior sexual activity and character witnesses. All relevant documentation is kept as part of the Equal Opportunity & Outreach investigative file.

During the review by Equal Opportunity & Outreach, both parties will be provided with periodic status updates. A copy of the UMass Lowell Nondiscrimination Guidelines, this Equal Opportunity Complaint Procedure, a list of support resources, and a listing of rights will be provided to both parties and to witnesses. Equal Opportunity & Outreach will provide this information prior to its first meeting with each of these individuals.

The Investigator will prepare an Investigation Report, which shall include, but is not limited to, the following information:

  • Summary of the Complaint
  • Specific Violations Alleged
  • Relevant Policies, Guidelines, and Procedures
  • Notation to Relevant Definitions
  • Procedural History and Timeline
  • Summary of Relevant Statements and Evidence
  • Credibility Assessment
  • Undisputed Facts
  • Disputed Facts and Analysis
  • Findings

The Investigator shall apply a Preponderance of the Evidence standard as it relates to any determinations of policy violations.

Evidentiary Review

Upon the Investigator finalizing their investigation, the Investigator shall provide both parties (the Respondent and the Complainant) with the opportunity to review the evidence. This will include the DRAFT Investigation Report, and if requested, additional information such as interview notes and information provided by parties or witnesses, excluding information such as character witnesses and/or information deemed not relevant and therefore not considered. Parties are not required to participate in an evidentiary review or review the evidence, but are encouraged to do so.

The Parties will be provided with seven (7) calendar days to review the evidence and to provide a written response to the Investigator. Parties may request an extension with good cause, which shall be granted by the Investigator.

Parties, the Complainant and Respondent, may submit any additional evidence, questions, and/or responses to the Investigator.

 The Investigator shall review any response from the Parties and determine if additional investigation is needed. If the Investigator determines that no additional investigation is needed, they shall finalize the Investigation Report and notify the Parties accordingly.

If additional Investigation is needed, the investigator shall conduct the additional investigation, and a new evidentiary review shall be provided.

Administrative Review

The Administrative Reviewer, who may be the Investigator, will review the finalized Investigation Report, any submitted information from the Complainant and/or Respondent, and any documentation and/or evidence generated from the investigation.

The Administrative Reviewer may question either party, the Complainant and/or Respondent, separately as it relates to the assessment of credibility.

The Administrative Reviewer will determine if there was a violation of policy and/or the Guidelines using the Preponderance Standard and issue a final determination within seven (7) days in the form of a Notice of Outcome contemporaneously to the Complainant and Respondent.

Notice of Outcome

The Administrative Reviewer shall issue a written determination in the form of a Notice of Outcome contemporaneously within seven (7) days to both the Complainant and Respondent.

The Notice of Outcome, at a minimum, will include the following:

  • A concise summary of the allegations;
  • The applicable standard of proof;
  • The findings of fact, including resolution of material disputed facts;
  • Credibility determinations, where material to the outcome;
  • Conclusions regarding whether the Policy or Guidelines were violated;
  • Notice that any necessary referral for disciplinary or other corrective action has been made to the appropriate office;
  • Available appeal rights and procedures; and
  • Any other information required by applicable law or institutional policy.

Sanctions

In the event that a Respondent is found responsible for violation of the Guidelines, the matter shall be referred to Human Resources (for employees), or Student Affairs (for Students), to impose disciplinary and/or remedial action in accordance with applicable policies and/or collective bargaining agreements. Human Resources shall engage the employee’s supervisor as is appropriate in the disciplinary process. The Office of Equal Opportunity and Outreach shall share information from the Investigation as is needed to carry out the process.

Referral

Matters referred to the Office of Equal Opportunity and Outreach, and/or investigated by the Office of Equal Opportunity and Outreach may be referred to the Office of Human Resources, appropriate Vice Chancellor (or designee), and/or Student Conduct for review. That is, even if the Office of Equal Opportunity and Outreach concludes that a violation of the Guidelines did not occur, the Office may still refer such matters to the appropriate administrative office for review under other policies. The Office of Equal Opportunity and Outreach shall abide by prevailing privacy and confidentiality laws, and at its sole discretion may redact and/or restrict the sharing of information that may conflict with applicable privacy and/or confidentiality laws.