Introduction and Scope

The University of Massachusetts Lowell (UMass Lowell or the University) is firmly committed to ensuring that all applicants for admission or employment, employees, students, and persons who are authorized to conduct business with and/or perform other services on behalf of the University are not subject to sexual harassment.

UMass Lowell prohibits Sexual Harassment, in accordance with the UMass Lowell Nondiscrimination Guidelines (“Nondiscrimination Guidelines”) and Title IX. In May 2020, the U.S. Department of Education published new regulations in Part 106 of Title 34 of the Code of Federal Regulations, which define Sexual Harassment under Title IX.

This Grievance Procedure applies to complaints of Sexual Harassment, as defined in the 2020 Title IX regulations and the university’s Nondiscrimination Guidelines. That definition is listed below. It also applies to complaints of Retaliation for participating in sexual harassment complaints. This Procedure provides for the prompt and equitable resolution of such complaints in compliance with the Title IX regulations, Massachusetts law, and the Nondiscrimination Guidelines. UMass Lowell also prohibits other forms of sexual misconduct, discrimination, and harassment as defined in the Nondiscrimination Guidelines and other applicable policies and as required by federal and state law. Procedures for addressing such forms of discrimination and harassment may be found in the Student Conduct Code for concerns regarding student violations, and UMass Lowell’s Equal Opportunity Complaint Procedure for all other such concerns.

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

Questions about this Grievance Procedure, the Nondiscrimination Guidelines, and other related UMass Lowell policies and procedures may be referred to UMass Lowell’s Title IX Coordinator or to the Office of Equal Opportunity and Outreach.

Effective Date

This Procedure applies to incidents that occur on or after August 14, 2020. Any incidents reported under this procedure that occurred prior to August 14, 2020, will be processed through the institution’s Sexual Harassment Grievance Procedure that was effective at the time of the alleged incident.

Jurisdiction

This Grievance Procedure applies to allegations of Sexual Harassment as defined in the Nondiscrimination Guidelines and listed above, when the allegations of Sexual Harassment occur in a university's education program or activity, against a person in the United States. This includes allegations of Sexual Harassment that occurred:

  • On property owned or controlled by the university or property owned or controlled by a student organization that is officially recognized by the university; or
  • At locations or events or involving circumstances over which the university exercised substantial control over both the Respondent and the context in which the Sexual Harassment occurred.

Conduct that occurs outside the jurisdictional requirements noted above may be dismissed under this procedure and referred to the appropriate procedure (for example: Student Conduct Code and/or EO Complaint Procedure, and/or other policies/procedures) for review.

Disability Accommodations

This Sex Discrimination Grievance Procedure does not alter any institutional obligations under federal and state disability laws, including the Americans with Disabilities Act of 1990, and Section 504 of the Rehabilitation Act of 1973. Parties may request reasonable accommodations for disclosed disabilities to the Title IX Coordinator at any point before or during the Title IX Grievance Procedure that do not fundamentally alter the Procedure. The Title IX Coordinator will not affirmatively provide disability accommodations that have not been specifically requested by the Parties, even where the Parties may be receiving accommodations in other institutional programs and activities.

Supportive Measures

If the Complainant or Respondent discloses a disability, the Title IX Coordinator may consult, as appropriate, with the Office of [Student] Disability Services to provide support to students with disabilities to determine how to comply with Section 504 of the Rehabilitation Act of 1973 in the implementation of any supportive measures.

Reporting Sex Discrimination to the Institution

Reporting Requirements for Officials with Authority

Officials with Authority are required to report all Sexual Harassment concerns to the Title IX Coordinator.

Officials with Authority are required to report possible sexual harassment. Officials with the Authority must promptly report the incident of concern directly to the Title IX Coordinator. Officials with Authority must report all relevant details including the names of all persons involved, and relevant facts regarding the alleged incident (including the date, time, and location of the event related to the concern). Officials with Authority must make these reports even if the reporting person requests confidentiality, and regardless of whether a police report has been filed. Officials with Authority are required to report any abuse of a minor to the UMass Lowell Police Department, the local police department, or the Massachusetts Department of Children and Families, per M.G.L. 119, section 51A.

Officials with Authority cannot guarantee confidentiality. The university has a responsibility to respond to formal (written) complaints to the extent possible. A decision to keep a concern confidential would prevent the university from fully investigating and effectively responding to the complaint. The university may review the complaint for the purpose of ending Sexual Harassment, preventing its recurrence, and remedying its effects. For these reasons, confidentiality cannot be assured. Only Confidential Employees can provide confidentiality, including the counselor. However, privacy will be maintained to the extent possible while complying with the requirements of university policies, state, and federal law.

Confidential Reports

The following officials at UMass Lowell will provide privacy, but not confidentiality, upon receiving a report of conduct prohibited by Title IX:

  • Title IX Coordinator or designee(s);
  • Officials with Authority to institute corrective measures under Title IX; and
  • Not all employees are considered confidential by UMass Lowell.

The following officials at UMass Lowell may provide confidentiality:

  • Licensed sexual assault counselors, psychologists, psychotherapists, social workers, clergy, health care personnel, and attorneys, and those persons working under the supervision of such individuals, when acting in their professional role providing services to a patient or client.
  • University employees bound by statutory privilege obligations under Massachusetts law, such as religious practitioners.
  • University employees provide administrative, operational, and/or related support for a confidential employee in the performance of such services such as supporting staff for the roles listed above.
  • Individual(s) on-campus designated as confidential by the Director of Equal Opportunity / Title IX Coordinator or designee.

Public Awareness Events

When UMass Lowell’s Title IX Coordinator is notified of information about conduct that reasonably may constitute sex-based harassment under Title IX or this policy that was provided by a person during a public event to raise awareness about sex-based harassment that was held on UMass Lowell‘s campus or through an online platform sponsored by UMass Lowell, the University is not obligated to act in response to the information, unless it indicates an imminent and serious threat to the health or safety of a Complainant, any students, employees, or other persons.

However, in all cases, UMass Lowell must use this information to inform its efforts to prevent sex-based harassment, including by providing tailored training to address alleged sex-based harassment in a particular part of its Education Program or Activity or at a specific location when information indicates there may be multiple incidents of sex- based harassment.

Nothing in Title IX or this policy obligates UMass Lowell to require its Title IX Coordinator or any other employee to attend such public awareness events.

External Reporting Options

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 Department of Education Office for Civil Rights
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 United States Department of Education Office for Civil Rights website

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 Prevention and Education Resources page. For academic support, please contact Student Affairs by phone at: 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.

Supportive and Interim Measures

Providing Supportive Measures

Complainants who report allegations of sex-based harassment have the right to receive supportive measures from UMass Lowell regardless of whether they file a Complaint.

Supportive measures are non-disciplinary and non-punitive. Supportive measures may vary depending upon what is reasonably available at UMass Lowell.

As appropriate, supportive measures may include, but not be limited to:

  • Counseling services;
  • Extensions of deadlines or other course-related adjustments;
  • Modifications of work or class schedules;
  • Campus escort services, as available;
  • Restrictions on contact applied to one or more Parties (no contact orders)
  • Changes in class, work, housing, or extracurricular or any other activity, regardless of whether there is or is not a comparable alternative;
  • Leaves of absence;
  • Increased security and monitoring of certain areas of the campus; or
  • Training and education programs related to sex-based harassment.

Supportive measures must not unreasonably burden either Party and must be designed to protect the safety of the Parties or UMass Lowell’s educational environment, or to provide support during UMass Lowell’s Sex Discrimination Grievance Procedure or during informal resolution under these procedures.

UMass Lowell may modify or terminate supportive measures at the conclusion of the grievance procedure or at the conclusion of the informal resolution process, or may continue them beyond that point within UMass Lowell’s discretion.

UMass Lowell will not disclose information about any supportive measures to persons other than the person to whom they apply, including informing one Party of supportive measures provided to another Party, unless necessary to provide the supportive measure or restore or preserve a Party’s access to UMass Lowell Education Program or Activity, or there is an exception that applies, such as:

  • UMass Lowell has obtained prior written consent from a person with the legal right to consent to the disclosure;
  • When the information is disclosed to an appropriate third Party with the legal right to receive disclosures on behalf of the person whose personally identifiable information is at issue;
  • To carry out the purpose of the Sex Discrimination Grievance Procedure when it is necessary to address conduct that reasonably may constitute sex-based harassment under Title IX in UMass Lowell’s Education Program or Activity;
  • As required by Federal law, federal regulations, or the terms and conditions of a federal award; or
  • To the extent such disclosures are not otherwise in conflict with Title IX, when required by State or local law or when permitted under the Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. 1232g, or its implementing regulations, 34 CFR Part 99).

Emergency Removal

UMass Lowell retains the authority to remove a Respondent from UMass Lowell’s Education Program or Activity on an emergency basis, where UMass Lowell (1) undertakes an individualized safety and risk analysis, and (2) determines that an imminent and serious threat to the health or safety of a Complainant or any students, employees, or other persons arising from the allegations of sex-based harassment justifies removal.

UMass Lowell will provide the Respondent with notice and an opportunity to challenge the decision immediately following the removal. Students may appeal the decision to the Dean of Student Affairs or designee, who will meet with the student within a reasonable timeframe and hear the student as to why the emergency removal should not be imposed, and/or modified. The decision of the Dean of Student Affairs or designee is final. Employees may appeal the decision to the Title IX Coordinator, or in cases where a conflict arises, the Associate Vice Chancellor of Human Resources or designee.

Administrative Leave (Employees)

UMass Lowell retains the authority to place a non-student employee Respondent on administrative leave during the Title IX Grievance Procedure, consistent with applicable collective bargaining agreements, and/or non-unit policies.

Note on student employees: when a Complainant or Respondent is both a student and an employee of UMass Lowell, UMass Lowell must make a fact-specific inquiry to determine whether these procedures apply to that student employee. If the Complainant or Respondent’s primary relationship with UMass Lowell is to receive an education, and whether the alleged sex-based harassment occurred while the Party was performing employment-related work. The decision as to standing will be made by the Title IX Coordinator or designee and is final.

Title IX Grievance Procedure for Filing a Complaint

Filing of a Complaint

The following people have a right to make a Complaint of sex discrimination, including Complaints of sex-based harassment, requesting that UMass Lowell investigate and make a determination about alleged discrimination under Title IX:

  • A “Complainant,” which includes: a student or employee of UMass Lowell who is alleged to have been subjected to conduct that could constitute sex discrimination under Title IX; or
  • A person other than a student or employee of UMass Lowell who is alleged to have been subjected to conduct that could constitute sex discrimination under Title IX at a time when that individual was participating or attempting to participate in UMass Lowell’s Education Program or Activity;
  • A parent, guardian, or other authorized legal representative with the legal right to act on behalf of a Complainant; or
  • UMass Lowell’s Title IX Coordinator.

With respect to Complaints of sex discrimination other than sex-based harassment, in addition to the people listed above, the following persons have a right to make a Complaint:

  • Any student or employee of UMass Lowell, or
  • Any person other than a student or employee who was participating or attempting to participate in UMass Lowell’s Education Program or Activity at the time of the alleged sex discrimination.

Types of Complaints that may be addressed under these Sex Discrimination Grievance Procedures include, but are not limited to, sex discrimination other than sex-based harassment, such as:

  • Complaints of retaliation;
  • Complaints of sex discrimination that do not involve sex-based harassment;
  • Complaints regarding failure to make reasonable modifications to policies, practices, or procedures as necessary to ensure equal access and prevent sex discrimination on the basis of parental, family or marital status, including pregnancy or related conditions; or
  • Complaints that UMass Lowell’s policies or procedures discriminate on the basis of sex.

Complaints may be submitted in person, by mail, by telephone, or by electronic mail, using the contact information listed for the Title IX Coordinator, or by any other means that results in the Title IX Coordinator receiving the person’s verbal or written report.

Contact Information for the Title IX Coordinator at UMass Lowell:

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

Title IX Coordinator initiated Complaints: In the absence of a Complaint or the withdrawal of any or all of the allegations in a Complaint, and in the absence or termination of an informal resolution process, the Title IX Coordinator must determine whether to initiate a Complaint of sex-based harassment. This determination is fact- specific, and the Title IX Coordinator must consider:

  • The Complainant’s request not to proceed with the initiation of a Complaint;
  • The Complainant’s reasonable safety concerns regarding initiation of a Complaint;
  • The risk that additional acts of sex-based harassment would occur if a Complaint were not initiated;
  • The severity of the alleged sex-based harassment, including whether the sex- based harassment, if established, would require the removal of a Respondent from campus or imposition of another disciplinary sanction to end the sex-based harassment and prevent its recurrence;
  • The age and relationship of the Parties, including whether the Respondent is an employee of the recipient;
  • The scope of the alleged sex-based harassment, including information suggesting a pattern, ongoing sex-based harassment, or sex-based harassment alleged to have impacted multiple individuals;
  • The availability of evidence to assist a decisionmaker in determining whether sex-based harassment occurred; and
  • Whether UMass Lowell could end the alleged sex-based harassment and prevent its recurrence without initiating these grievance procedures.

If, after considering these and other relevant factors, the Title IX Coordinator determines that the conduct as alleged presents as an imminent and serious threat to the health or safety of the Complainant or other person, or that the conduct as alleged prevents UMass Lowell from ensuring equal access on the basis of sex to its Education Program or Activity, the Title IX Coordinator may initiate a Complaint.

If the Title IX Coordinator does initiate the Complaint after making this determination, the Title IX Coordinator must notify the Complainant prior to doing so and appropriately address reasonable concerns about the Complainant’s safety or the safety of others, including by providing supportive measures as listed within these Procedures.

Format of Complaint

As defined in these Sex Discrimination (Title IX) Grievance Procedures, a Complaint must be a written request to UMass Lowell that objectively can be understood as a request for UMass Lowell to investigate and make a determination about alleged sex discrimination at the institution.

Complaints may be made directly to the Title IX Coordinator via the Office of Equal Opportunity and Outreach.

Any employee of UMass Lowell not considered confidential is expected to report Sex Discrimination, including sexual harassment, to the Title IX Coordinator.

Confidential employees are not required to report Sex Discrimination, but must refer and provide contact information for the Title IX Coordinator to the party reporting the information.

Consolidation of Complaints

UMass Lowell may consolidate Complaints of sex discrimination against more than one Respondent, or by more than one Complainant against one or more Respondents, or by one Party against another Party, when the allegations of sex discrimination arise out of the same facts or circumstances. When more than one Complainant or more than one Respondent is involved, references below to a Party, Complainant, or Respondent include the plural, as applicable.

Allegations falling under two policies

If the alleged conduct, if true, includes conduct that would constitute covered sexual harassment and conduct that would not constitute covered sexual harassment, the Sex  Discrimination Grievance Procedure will be applied in the investigation and resolution of all allegations.

Notice of Investigation and Allegations (“NOIA”)

Upon initiation of UMass Lowell’s Title IX grievance procedure, UMass Lowell will notify the Parties of the following:

  • UMass Lowell’s Title IX grievance procedure and any informal resolution process;
  • Sufficient information available at the time to allow the Parties to respond to the allegations, including the identities of the Parties involved in the incident(s), the conduct alleged to constitute sex discrimination, and the date(s) and location(s) of the alleged incident(s);
  • That Retaliation is prohibited; and
  • The Parties are entitled to an equal opportunity to access the relevant and not otherwise impermissible evidence or an accurate description of this evidence.

If, in the course of an investigation, UMass Lowell decides to investigate additional allegations of sex discrimination by the Respondent toward the Complainant that are not included in the notice provided or that are included in a Complaint that is consolidated, UMass Lowell will notify the Parties of the additional allegations.

Investigation

Investigation principles: Neutral, trained Investigator(s) will conduct a timely unbiased and impartial review, considering the accounts and documentation provided by both the Complainant and the Respondent. They assess the reported facts and may conduct preliminary interviews to determine whether the allegations, if true, could constitute a finding that Sexual Harassment occurred. 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. The Investigator will provide both parties with periodic status updates. The Investigator’(s’) findings will be based on the preponderance of the evidence standard, that is, whether it is more likely than not that the conduct occurred.

First steps in investigation: Prior to interviewing either party, the Investigator will provide each party with the UMass Lowell Nondiscrimination Guidelines, this Grievance Procedure, and written notice of the allegations potentially constituting Sexual Harassment. The written notice will also inform both parties of their right to an advisor of their choice, the prohibition on providing false information, and the presumption that the respondent is not responsible for the alleged conduct until a determination regarding responsibility is made at the conclusion of the grievance process.

Dismissal prior to conclusion of investigation: If the allegations, if true, could not constitute a finding that sexual harassment occurred, the formal (written) complaint will be dismissed from this Grievance Procedure, and may be referred to either the Office of Human Resources, Office of Equal Opportunity and Outreach, or the Office of Student Conduct for their review under other applicable university guidelines or policies. A formal (written) complaint or any allegations therein may also be dismissed if at any time during the grievance process, the Complainant notifies the Title IX Coordinator in writing that the complainant would like to withdraw the formal (written) complaint or any allegations; if the respondent is no longer enrolled or employed by the university; or if specific circumstances prevent the university from gathering evidence sufficient to reach a determination as to the formal (written) complaint or allegations therein. When a formal (written) complaint is dismissed, referrals to other resources will be provided as appropriate.

Where allegations of a formal (written) complaint are dismissed, or the complaint is dismissed as described in the preceding sentence, the complainant has the right to inquire as to the reason for the dismissal, and the university shall provide the complainant with a written explanation and reasons for such dismissal. The parties may appeal a dismissal as described in Section IX.

Next steps in the investigation process: 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.

Each party may also 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 accounts of character witnesses. All relevant documentation is kept as part of the Equal Opportunity and Outreach or Student Conduct investigative file.

The Investigator(s) must send to each party and the party’s advisor, if any, the evidence gathered during the investigation for their inspection and review in an electronic format or a hard copy. After receiving the evidence, the parties will have ten (10) calendar days to submit a written response to the evidence.

After the parties have an opportunity to respond to the evidence, the Investigator(s) will prepare an investigative report that fairly summarizes relevant evidence, including inculpatory and exculpatory evidence. The Investigator(s) will send the investigative report to each party and the party’s advisor, if any, in an electronic format or a hard copy, for their review and written response. They shall have 10 days to respond. The Title IX Coordinator or designee will assist in ensuring that the Live Hearing is scheduled at least 10 days after the investigative report is sent to them. After receiving the written responses, the Investigator will provide the report and the parties’ written responses to the Hearing Officer(s) and to the parties.

Impermissible Evidence

The following types of evidence, and questions seeking that evidence, are impermissible (for example: will not be accessed or considered, except by UMass Lowell to determine whether one of the exceptions listed below applies; will not be disclosed; and will not otherwise be used), regardless of whether they are relevant:

  • Evidence that is protected under a privilege recognized by Federal or State law or evidence provided to a confidential employee, unless the person to whom the privilege or confidentiality is owed has voluntarily waived the privilege or confidentiality;
  • A Party’s or witness’s records that are made or maintained by a physician, psychologist, or other recognized professional or paraprofessional in connection with the provision of treatment to the Party or witness, unless UMass Lowell obtains that Party’s or witness’s voluntary, written consent for use in its grievance procedure; and
  • Evidence that relates to the Complainant’s sexual interests or prior sexual conduct, unless evidence about the Complainant’s prior sexual conduct is offered to prove that someone other than the Respondent committed the alleged conduct or is evidence about specific incidents of the Complainant’s prior sexual conduct with the Respondent that is offered to prove consent to the alleged sex-based harassment. The fact of prior consensual sexual conduct between the Complainant and Respondent does not by itself demonstrate or imply the Complainant’s consent to the alleged sex discrimination or preclude a determination that sex discrimination occurred.

Resolution Processes

Following the conclusion of the Evidentiary Review, the Investigator will finalize the Investigation Report, and notify the parties as to the Investigation Report, granting the parties the ability to review the Investigation Report.

Complaints involving sex discrimination and not sexual harassment as defined by regulations (for example: pregnancy discrimination, wage disparity, or equity in athletics and more...) do not require a live hearing and will be resolved by an administrative review.

Complaints involving sexual harassment as defined by regulations (for example: sexual harassment, sexual assault, dating violence, domestic violence, stalking) shall require a live hearing with cross examination.

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 of the Evidence Standard and issue a final determination within seven (7) days in the form of a Notice of Outcome contemporaneously to the Complainant and Respondent.

Live Hearing

After reviewing the investigative report and all the evidence, the Hearing Officer(s) will facilitate a live hearing, which will be presided over by the Hearing Officer or a panel of Hearing Officers, each of whom has received relevant training and does not have bias or conflict of interest related to the particular case.

At the live hearing, both parties have the opportunity to present their position to the Hearing Officer(s). The Hearing Officer(s) will ask any relevant questions to the parties and witnesses. During the hearing, the Hearing Officer(s) must permit each party’s advisor to ask both parties and any witnesses all relevant questions, including those challenging credibility. Such examination at the Live Hearing must be conducted directly, orally, and in real time by the party’s advisor and never by a party personally. Before a complainant, respondent, or witness answers a question posed by the advisor of the other party, the Hearing Officer(s) must first determine whether the question is relevant and explain any decision to exclude a question as not relevant.

The decision maker(s) may rely on any statement of any party or witness in reaching a determination regarding responsibility. If a party or witness chooses not to answer questions, including questions from the other party's advisor, or is absent from the live hearing, the decision maker(s) cannot draw an inference about responsibility based solely on the refusal to answer questions or based solely on their absence from the live hearing. There may be restrictions on evidence considered by the Hearing Officer(s), such as, for example, evidence related to prior sexual activity, and accounts of character witnesses. Questions and evidence about the complainant’s sexual predisposition or prior sexual behavior are not relevant, unless such questions and evidence about the complainant’s prior sexual behavior are offered to prove that someone other than the respondent committed the conduct alleged by the complainant, or if the questions and evidence concern specific incidents of the complainant’s prior sexual behavior with respect to the respondent and are offered to prove consent. Neither the Hearing Officer(s) nor the advisor may request or demand that either party provide evidence that is subject to a legal privilege, unless the party has waived the privilege.

At the request of either party, the university will provide for the Live Hearing to occur with the parties located in separate rooms with technology enabling the Hearing Officer(s) and parties to simultaneously see and hear the party or the witness answering questions. During the Live Hearing, both parties and their advisors will have access to all the evidence gathered during the investigative process for their reference. During the Live Hearing, either party may request a break at any time to confer with their advisor, and/or to examine the evidence. The Live Hearing will be recorded or transcribed, and such recording or transcription will be made available to both parties.

 The Hearing Officer(s)’ findings of fact, conclusion, and determinations must be based on the preponderance of the evidence standard and should be the result of an evaluation of all evidence, including inculpatory and exculpatory evidence. Determinations regarding credibility may not be based on a person’s status as a complainant, respondent, or witness.

After the Live Hearing, the Hearing Officer(s) will provide a final written report to the parties simultaneously within seven business days after the conclusion of the Live Hearing. The written report will include: the allegations potentially constituting sexual harassment; the procedural steps taken from the receipt of the formal (written) complaint through the determination; findings of fact supporting the determination, conclusions regarding the application of the Nondiscrimination Guidelines to the facts; a statement of, and rationale for, the result as to each allegation; a determination regarding responsibility; and whether remedies designed to restore or preserve equal access to the university’s program or activity will be provided to the complainant. For employee- related matters, the Hearing Officer will share the draft of the report with the relevant administrators or supervisors for them to determine the applicable disciplinary sanctions, if any. The final report will also include procedures and permissible bases for appeal of the Hearing Officer(s)’ determination.

Final Determination and Notice of Outcome

The Administrative Reviewer and/or Decision maker 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:

  • Summary of the Complaint
  • Findings of Fact
  • Resolution of Disputed Facts
  • Assessment of Credibility
  • Findings of violations of Policy and/or Guidelines using the Preponderance Standard
  • Referral to the appropriate sanctioning body if findings of Policy Violation and/or referral of other Policy Violations
  • Students shall be referred to Student Conduct
  • Employees shall be referred to Human Resources
  • Appeals Procedures and How to Appeal

Appeals of Final Determinations

Either party, Complainant or Respondent, may submit an appeal to a final determination, or Notice of Outcome. Appeals should be submitted within seven (7) days to the Title IX Coordinator or designee, barring extenuating circumstances. Appeals will be considered when they meet one of the following criteria.

  • Procedural irregularity that would change the outcome;
  • New evidence that would change the outcome and that was not reasonably available when the dismissal was made; and
  • The Title IX Coordinator, investigator, or decision maker had a conflict of interest or bias for or against Complainants or Respondents generally or the individual Complainant or Respondent that would change the outcome.

The parties must submit the appeal, which must be in writing and signed, within ten calendar days of the determination to the Title IX Coordinator. The Title IX Coordinator will assign the appeal to a trained Appeal Officer who will then review and make a determination. The Appeal Officer must provide both parties with a copy of the appeal. The party who did not file the appeal will then have ten (10) calendar days to submit any written responses to the appeal. The Appeal Officer, after reviewing all the information provided, will then issue a written decision, including the rationale for their findings on appeal to both parties simultaneously. The decision of the Appeal Officer is final.

Sanctioning and Referral

In the event that a Respondent is found responsible for violation of the Policy and/or 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.

Matters investigated by 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 Rights and Responsibilities for review. That is, even if the Office of Equal Opportunity and Outreach concludes that a violation of the Policy and/or 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.

Dismissal of a Title IX Complaint

Mandatory Dismissal

A Title IX Coordinator must dismiss a formal complaint if the conduct does not meet Title IX definitions of sexual harassment, occurred outside the school's educational program or activity (including areas under substantial control or controlled by student organizations), or did not happen within the United States

Permissive Dismissal

A Title IX Coordinator may discretionarily dismiss a complaint during an investigation or hearing if the complainant requests a withdrawal in writing, the respondent is no longer enrolled or employed by the school, or specific circumstances prevent gathering sufficient evidence.

Notice of Dismissal

Upon dismissal of a formal complaint as a Title IX matter, UMass Lowell will promptly notify the Complainant of the basis for the dismissal, and whether the complaint has been referred to the Office of Student Rights and Responsibilities for review and possible adjudication under the Code of Student Conduct. If the dismissal occurs after the Respondent has been notified of the allegations, then UMass Lowell will also notify the Respondent of the dismissal and the basis for the dismissal promptly following notification to the Complainant, or simultaneously if notification is in writing.

UMass Lowell will notify the Complainant that a dismissal may be appealed and will provide the Complainant with an opportunity to appeal the dismissal of a Complaint. If the dismissal occurs after the Respondent has been notified of the allegations, then UMass Lowell will also notify the Respondent that the dismissal may be appealed. Dismissals may be appealed on the following bases:

  • Procedural irregularity that would change the outcome;
  • New evidence that would change the outcome and that was not reasonably available when the dismissal was made; and
  • The Title IX Coordinator, Investigator, or Decisionmaker had a conflict of interest or bias for or against Complainants or Respondents generally or the individual Complainant or Respondent that would change the outcome.

Please refer to the sections on Appeals of Dismissals and Determinations for the specific procedures that will be followed when an appeal is filed.

Retaliation

UMass Lowell prohibits retaliation, including peer retaliation, in its Educational Programs or Activities. Upon receiving a Complaint alleging retaliation or upon receiving information about conduct that reasonably may constitute retaliation under Title IX, UMass Lowell will initiate its grievance procedure or, as appropriate, an informal resolution process.

Informal Resolution

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 not available in cases in which an employee is alleged to have engaged in sexual misconduct affecting a student.

The university may facilitate informal resolution when:

  • All parties have been informed in writing of the allegations of the formal (written) complaint and this Grievance Procedure as it applies to both the adjudication of a formal (written) complaint and informal resolution.
  • All parties have consented in writing to participate in the informal resolution process.
  • The Title IX Coordinator has determined that informal resolution is appropriate.

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.

Upon determining that informal resolution is appropriate, the Title IX Coordinator will assign the informal resolution to a facilitator(s) who has been trained in the impartial informal resolution of sexual harassment complaints. The facilitator(s) will attempt to assist the parties in finding a mutually acceptable resolution.

Before a resolution is reached, the process will change to the formal process described in section VIII below if:

  • Either party may decide to move to the formal process at any time.
  • The Title IX Coordinator determines that the formal process should be followed, at any time.
  • An informal resolution has not been reached within thirty (30) days, except for good cause.
  • A matter will be deemed satisfactorily resolved when both parties expressly agree to an outcome that is also acceptable to the university. At any point prior to such an express agreement, either party may withdraw from the informal resolution process, and the grievance of the formal (written) complaint will proceed.

If an informal resolution agreement is reached and the matter is deemed satisfactorily resolved, a written informal resolution agreement will be signed by and provided to the Complainant, the Respondent, and the Title IX Coordinator, and the formal (written) complaint will be dismissed. The Title IX Coordinator will maintain the informal resolution agreement for seven (7) years and will share it only to the extent necessary to carry out the purposes of the informal resolution agreement.

Ordinarily, the parties will have ten (10) calendar days from the date that a facilitator(s) is assigned to reach an informal resolution agreement. This timeframe may be extended for good cause by the facilitator or Title IX Coordinator, and written notice of such extensions shall be provided to each party.

Participation in informal resolution is voluntary and will not be a condition of either party’s enrollment or employment.

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.

If no resolution is reached, or either party withdraws from Informal Resolution, the Sex Discrimination Grievance Procedures will commence from where they left off.

If an Informal Resolution is reached, but a party alleges violation of the Informal Resolution Agreement, the violation will be referred to Student Conduct in the case of students, or Human Resources in the case of employees, for disciplinary action. The Office of Equal Opportunity & Outreach may commence the Sex Discrimination Grievance Procedures and investigation from where it left off.

UMass Lowell offers the following informal resolution procedures for addressing Complaints filed under the EO Complaint Procedure and/or Title IX Sex Discrimination Grievance Procedure.

Administrative Resolution

Should the Parties mutually determine to enter the informal resolution process, and the Respondent elects to accept responsibility for the allegations of the Complaint at any point during the informal resolution process, the institution may administratively resolve the Complaint. The Respondent is required to sign a consent for Administrative Resolution prior to the commencement of this process.

For matters arising from the Sex Discrimination Procedures

Where the Respondent admits responsibility, the Parties will receive simultaneous written notification of the acceptance of responsibility, and the matter will be referred to the appropriate sanctioning body, Student Conduct for Students, or Human Resources for Employees. The appropriate administrator will provide an opportunity for the Parties to be heard at a sanctions hearing, including, without limitation, the submission of impact statements or statements of mitigation, and the Parties may be accompanied by their Advisor, subject to applicable policies; however, questioning of the Parties or witnesses will not be permitted. The Parties will receive simultaneous written notification of the decision, subject to applicable policies, regarding sanctions and Remedies, which may be appealed in accordance with the Appeals Procedures outlined in the Sex Discrimination Grievance Procedures.

Quasi-Mediation (and/or Mediation)

Quasi-Mediation (and/or Mediation) are confidential. No information disclosed and/or obtained during a mediation shall be provided to the Investigator and/or Decision Maker as part of the Sex Discrimination Grievance Procedure.

Parties may choose to enter into an informal resolution, even when the Respondent does not accept responsibility. Such matters will be referred to a neutral mediator, not the Investigator, who will work with both parties to identify points of agreement and appropriate Remedies to address them. This process will only be used with the consent of both parties. The Parties must sign a consent to Mediation agreement prior to the commencement of this process.

During mediation, a facilitator will guide a discussion between the Parties. In circumstances where the Parties do not wish to meet face to face, either Party may request “caucus” mediation, and the facilitator will conduct separate meetings. Whether or not the Parties agree to meet face to face, each Party will be permitted to bring an advisor of their choice to any meetings who may be, but is not required to be, an attorney.

Either Party may terminate the mediation process at any time, thereby reinstituting the Grievance procedure from where it left off. A mediation will also be considered failed if a resolution is not reached within twenty-one (21) days. Extension to the timeframe may be granted, when it the Mediator reasonably believes a resolution may be reached.

If an agreement is reached, it will be signed by both Parties and the Mediator. A copy of the agreement will be placed in the file, and the matter closed. The Title IX Coordinator or designee will monitor the adherence to the proposed agreement, and close the matter when compliance is satisfactory.

If either party alleges violation of the agreement and/or the Title IX Coordinator determines that the conditions of the agreement were not met, the original Complaint and Sex Discrimination Grievance Procedures may be reinstituted. The alleged violation of the agreement will be referred to Student Conduct for Students, or Human Resources for Employees.

Restorative Justice

Restorative Justice resolutions are confidential. No information disclosed and/or obtained during a restorative justice resolution shall be provided to the Investigator and/or Decision Maker as part of the Sex Discrimination Grievance Procedure.

Restorative Justice is an alternative resolution that allows for the addressing of sex discrimination and/or sexual harassment under Title IX. In such settings, the Respondent may recognize some harm was done (the Respondent need not admit to a policy violation), and the parties seek a developmental approach that addresses needs, promotes accountability, and provides support for healing for the Parties.

Either Party may terminate the restorative justice process at any time, thereby reinstituting the Grievance procedure from where it left off. A restorative justice resolution will also be considered failed if a resolution is not reached within twenty-one (21) days. Extension to the timeframe may be granted, when the Mediator reasonably believes a resolution may be reached.

If an agreement is reached it will be signed by both Parties and the Facilitator. A copy of the agreement will be placed in the file, and the matter closed. The Title IX Coordinator or designee will monitor the adherence to the proposed agreement, and close the matter when compliance is satisfactory.

If either party alleges violation of the agreement, and/or the Title IX Coordinator determines that the conditions of the agreement were not met, the original Complaint and Sex Discrimination Grievance Procedures may be reinstituted. The alleged violation of the agreement will be referred to Student Conduct for Students, or Human Resources for Employees.