Equal Opportunity, Harassment, and Nondiscrimination Policy

This policy covers all forms of unlawful harassment, discrimination and retaliation prohibited under SUA’s Notice of Nondiscrimination and is intended to comply with the Title IX regulations effective August 01, 2024, and California SB 493 effective January 1, 2022.

1. Policy on Nondiscrimination

Soka University of America (SUA) does not discriminate on the basis of race, color, ancestry, national or ethnic origin, citizenship, religion, sex, gender identity, gender expression, sexual orientation, age, physical disability, mental disability, veteran or military status, status as a disabled veteran, marital status, medical condition, genetic information, pregnancy or related conditions, or any other characteristic protected under applicable federal, state, or local law including protections for those opposing discrimination or participating in grievance process within the institution, with the Equal Opportunity Commission, and/or other human/civil rights agency.

This policy covers nondiscrimination in both employment and access to educational opportunities. Therefore, any member of the SUA community whose acts deny, deprive, unreasonably interfere with or limit the educational or employment access, benefits, and/or opportunities of any member of the SUA community, guest, or visitor on the basis of that person’s actual or perceived membership in the protected classes listed above is in violation of SUA policy on nondiscrimination.

When brought to the attention of SUA, any such discrimination will be promptly and fairly addressed and remedied by SUA according to the appropriate grievance procedures described below.

This policy is intended to comply with the Title IX regulations effective August 01, 2024, and California SB 493 effective January 1, 2022.

Title IX of the 1972 Federal Education Amendments provides that “no person in the United States shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any education program or activity receiving Federal financial assistance.”

Definitions of terms used in this policy appear in Section 18 below.

2. Rationale for Policy

SUA is committed to providing a workplace and educational environment, as well as other benefits, programs, and activities that are free from discrimination based on protected characteristics, harassment, and retaliation for engaging in protected activity. To ensure compliance with federal and state civil rights laws and regulations, and to affirm its commitment to promoting the goals of fairness and equity in all aspects of the educational program or activity, SUA has developed internal policies and procedures that provide a prompt, fair, and impartial resolution for those involved in an allegation of discrimination or harassment on the basis of protected class status, and for allegations of retaliation. SUA values and upholds the equal dignity of all members of its community and strives to balance the rights of the parties in the resolution process during what is often a difficult time for all those involved.

3. Applicable Scope

SUA's primary concern is student and employee safety, and the core purpose of this policy is the prohibition of all forms of discrimination. Sometimes, discrimination involves exclusion from or different treatment in activities, such as admission, athletics, or employment. At other times, discrimination takes the form of harassment or, in the case of sex-based discrimination, it can encompass sexual harassment, sexual assault, stalking, sexual exploitation, dating violence or domestic violence. When an alleged policy violation is reported, the allegations are subject to resolution using SUA’s resolution process, as determined by the Title IX Coordinator, and as detailed below.

When the Respondent is a member of the SUA community, a grievance procedure may be available regardless of the status of the Complainant, who may or may not be a member of the SUA community. This community includes, but is not limited to, students, student organizations, faculty, administrators, staff, and third parties such as guests, visitors, volunteers, and invitees.

This Policy is only applicable to alleged incidents that occur on or after August 1, 2024. For alleged incidents of sex discrimination or sexual harassment occurring prior to August 1, 2024, the policy and procedures in place at the time of the alleged incident apply. Applicable versions of those policies and procedures are available from the Title IX Coordinator and at portal.soka.edu.

4. Title IX Coordinator

The Title IX Coordinator and ADA/504 Coordinator oversees implementation of SUA’s policy on equal opportunity, harassment, and nondiscrimination and disability compliance. The Title IX Coordinator has the primary responsibility for coordinating SUA’s efforts related to the intake, investigation, resolution, and implementation of supportive measures to stop, remediate, and prevent discrimination, harassment, and retaliation prohibited under this policy.

5. Independence and Conflict-of-Interest

The Title IX Coordinator manages the Title IX Team and acts with independence and authority free from bias and conflicts of interest. The Title IX Coordinator oversees all resolutions under this policy and these procedures. The members of the Title IX Team are vetted and trained to ensure they are not biased for or against any party in a specific case, or for or against Complainants and/or Respondents, generally.

Concerns of bias or a potential conflict of interest should be raised with the Title IX Coordinator. To raise any concern involving bias or conflict of interest by the Title IX Coordinator, contact the SUA President [949-480-4133; feasel@soka.edu]. Concerns should be raised as soon as possible in the process.

6. Administrative Contact Information

Complaints or notice of alleged policy violations, or inquiries about or concerns regarding this policy and procedures, may be made internally to:

Katherine King
Title IX and Section 504 Coordinator for Faculty, Staff and Others
1 University Drive
Founders 100/309
Aliso Viejo, CA 92656
(949) 480-4161
kking@soka.edu

Hyon Moon
Title IX and Section 504 Deputy Coordinator for Students
1 University Drive
Library 140/303
Aliso Viejo, CA 92656
(949) 480-4139
hmoon@soka.edu

Officials With Authority (OWA):

SUA has determined that the President, Executive Vice Presidents, and Deans are Officials with Authority to address and correct harassment, discrimination, and/or retaliation. In addition to the Title IX Team members listed above, these Officials with Authority may also accept notice or complaints on behalf of SUA.

SUA has also classified all employees (excluding non-supervisory student employees and Confidential Resources) as Mandated Reporters of any knowledge they have that a member of the community is experiencing harassment, discrimination, and/or retaliation. The section below on Mandated Reporting details which employees have this responsibility and their duties, accordingly.

Inquiries may be made externally to:

Office for Civil Rights (OCR)
U.S. Department of Education
400 Maryland Avenue, SW
Washington, D.C. 20202-1100
Customer Service Hotline #: (800) 421-3481
Facsimile: (202) 453-6012 
TDD#: (877) 521-2172
Email:  OCR@ed.gov
Web:  http://www.ed.gov/ocr

For complaints involving employee-on-employee conduct:

Equal Employment Opportunity Commission (EEOC):
http://eeoc.gov/
California Department of Fair Employment and Housing (DFEH): https://www.dfeh.ca.gov/complaintprocess/

7. Notice/Complaints of Discrimination, Harassment, and/or Retaliation

Notice or complaints of discrimination, harassment, and/or retaliation may be made by filing a report or Complaint with, or giving verbal notice to, the Title IX Coordinator, Title IX Deputy Coordinator or another Official with Authority. Such a report may be made at any time (including during non-business hours) by using the telephone number or email address below, or by mail to the office address of the Title IX Coordinator, Title IX Deputy Coordinator, or other Official With Authority, including the following:

Katherine King
Title IX and Section 504 Coordinator for Faculty Staff and Others
1 University Drive
Founders 100/309
Aliso Viejo, CA 92656
(949) 480-4161
kking@soka.edu

Hyon Moon
Title IX and Section 504 Deputy Coordinator for Students
1 University Drive
Library 140/303
Aliso Viejo, CA 92656
(949) 480-4161
hmoon@soka.edu

Anonymous reports are accepted but can give rise to a need to investigate to determine if the parties can be identified. Anonymous reports will be investigated to the extent possible, both to assess the underlying allegation(s) and to determine if supportive measures or remedies can be provided. However, anonymous notice typically limits SUA’s ability to investigate, respond, and provide remedies, depending on what information is shared. SUA tries to provide supportive measures to all Complainants, which may be impossible with an anonymous report where the Complainant cannot be identified.

Reporting carries no obligation to initiate a Complaint, and in most situations, SUA is able to respect a Complainant’s request to not initiate a resolution process. However, there may be circumstances, such as pattern behavior, allegations of severe misconduct, or a compelling threat to health and/or safety, where SUA may need to initiate a resolution process. If a Complainant does not wish to file a Complaint, SUA will maintain the privacy of information to the extent possible. The Complainant should not fear a loss of confidentiality by giving Notice that allows SUA to discuss and/or provide supportive measures, in most circumstances.

SUA recognizes that allegations under this Policy may include multiple forms of discrimination and harassment as well as violations of other SUA policies; may involve various combinations of students, employees, and other members of the SUA community; and may require the simultaneous attention of multiple SUA departments. Accordingly, all SUA departments will share information, combine efforts, and otherwise collaborate, to the maximum extent permitted by law and consistent with other applicable SUA policies, to provide uniform, consistent, efficient, and effective responses to alleged discrimination, harassment, or retaliation.

8. Resources & Support

If there is any immediate danger, call 911.

On Campus:

Title IX Coordinator (For Faculty, Staff and Others), Katherine King: kking@soka.edu (949) 480-4161
Deputy Title IX Coordinator (For Students), Hyon Moon: hmoon@soka.edu (949) 480-4139
Director of Student Services, Brian Durick: bdurick@soka.edu (949) 480-4018
Counseling Services (Students) (949) 480-4192
Health Services (Students): healthservices@soka.edu (949) 480-4143
Public Safety (24 hours): (949) 480-4100
Human Resources: humanresources@soka.edu (949) 480-4766
Residential Life Staff (24 hours) (949) 480-4658 or (949) 480-4664

Off Campus:

Sexual Assault Victim Services/Prevention Program (714) 957-2737
RAINN: National Sexual Assault Crisis Hotline (800) 656-4673
National Domestic Violence Hotline (800)799-7233
GLBT National Help Center (888) 843-4564
Trans Lifeline (877) 565-8860
24-Hour Crisis Hotline (949) 831-9110
Orange County Sheriff’s Department (949) 425-1800
Employee Assistance Program (AETNA) (800) 221-0945

Saddleback Medical Center
24451 Health Center Drive
Laguna Hills, CA 92653
(949) 837-4500

Mission Hospital
27700 Medical Center Road
Mission Viejo, CA 92691
(949) 364-1400

9. Prevention and Outreach Programs

SUA has implemented comprehensive prevention and outreach programs to address issues of sexual harassment, sexual violence, domestic violence, dating violence, and stalking. These programs include, but are not limited to, information about SUA’s policies and procedures, rights and responsibilities, the practical implications of an affirmative consent standard, empowerment programming, awareness raising campaigns, primary prevention, bystander intervention, and risk reduction programs. Prevention and outreach programs are included as part of incoming student and new employee orientation. In addition, all employees must complete ongoing prevention and intervention training and education.

10. Supportive Measures

SUA will offer and implement appropriate and reasonable supportive measures to the parties upon notice of alleged harassment, discrimination, and/or retaliation.

Supportive measures are non-disciplinary, non-punitive individualized services offered as appropriate, as reasonably available, and without fee or charge to the parties to restore or preserve access to SUA’s education program or activity, including measures designed to protect the safety of all parties or SUA’s educational environment, and/or deter harassment, discrimination, and/or retaliation.

The Title IX Coordinator promptly makes supportive measures available to the parties upon receiving notice of a complaint. At the time that supportive measures are offered, SUA will inform the Complainant, in writing, that they may file a complaint with SUA either at that time or in the future, if they have not done so already.¹ The Title IX Coordinator works with the Complainant to ensure that their wishes are considered with respect to the supportive measures that are planned and implemented.

SUA will maintain the confidentiality of the supportive measures, provided that confidentiality does not impair SUA’s ability to provide the supportive measures. SUA will act to ensure as minimal an academic/occupational impact on the parties as possible. SUA will implement measures in a way that does not unreasonably burden any party.

These actions may include, but are not limited to:

• Referral to counseling, medical, and/or other healthcare services
• Referral to the Employee Assistance Program
• Referral to community-based service providers
• Student financial aid counseling
• Education to the institutional community or community subgroup(s)
• Altering campus housing assignment(s)
• Altering work arrangements for employees or student-employees
• Safety planning
• Providing campus safety escorts
• Providing transportation assistance
• Implementing contact limitations (no contact orders) between the parties
• Academic support, extensions of deadlines, or other course/program-related adjustments
• Trespass, Persona Non Grata (PNG), or Be-On-the-Lookout (BOLO) orders
• Timely warnings
• Class schedule modifications, withdrawals, or leaves of absence
• Increased security and monitoring of certain areas of the campus
• Any other actions deemed appropriate by the Title IX Coordinator

When requested by a Complainant or otherwise determined to be appropriate, SUA will issue an interim no-contact directive prohibiting the Respondent from contacting the Complainant during the pendency of the investigation. The institution will not issue an interim mutual no-contact directive automatically, but instead will consider the specific circumstances of each situation to determine whether a mutual no-contact directive is necessary or justifiable to protect the noncomplaining party’s safety or well-being, or to respond to interference with an investigation. A no-contact directive issued after a decision of responsibility has been made as a remedy will be unilateral and only apply against the party found responsible.

Upon the issuance of a mutual no-contact directive, the institution will provide the parties with a written justification for the directive and an explanation of the terms of the directive. Upon the issuance of any no-contact directive, the institution will provide the parties with an explanation of the terms of the directive.

Violations of no contact orders or other restrictions may be referred to appropriate student or employee conduct processes for enforcement or added as collateral misconduct allegations to an ongoing complaint under this policy.

The Parties are provided with a timely opportunity to seek modification or reversal of SUA’s decision to provide, deny, modify, or terminate supportive measures applicable to them. A request to do so should be made in writing to the Title IX Coordinator. An impartial employee other than the employee who implemented the supportive measures, who has authority to modify or reverse the decision, will determine whether to provide, deny, modify, or terminate the supportive measures if they are inconsistent with the Title IX regulatory definition of supportive measures. SUA will also provide the Parties with the opportunity to seek additional modification or termination of supportive measures applicable to them if circumstances materially change. SUA typically renders decisions on supportive measures within seven (7) business days of receiving a request and provides a written determination to the impacted party(ies) and the Title IX Coordinator.

11. Emergency Removal/Interim Suspension of a Student/Placing an Employee on Leave

SUA can act to remove a student Respondent accused of Sex Discrimination or Sex-based harassment upon receipt of notice/knowledge, a complaint, or at any time during the Resolution Process entirely or partially from its education program or activities on an emergency basis when an individualized safety and risk analysis has determined that an imminent and serious threat to the health or safety of any student or other individual justifies removal. This risk analysis is performed by the Title IX Coordinator in conjunction with other appropriate offices. Student Respondents accused of other forms of discrimination (not sex) are subject to interim suspension, which can be imposed for safety reasons.

When an emergency removal or interim suspension is imposed, wholly or partially, the affected student will be given notice of the action, which will include a written rationale, and the option to challenge the emergency removal or interim suspension within two (2) business days of the notification. Upon receipt of the challenge, the Title IX Coordinator will meet with the student (and their Advisor), as soon thereafter as reasonably possible, for them to show cause why the action/removal should not be implemented or should be modified.

This meeting is not a hearing on the merits of the allegation(s), but rather is an administrative process intended to determine solely whether the emergency removal is appropriate. When this meeting is not requested within two (2) business days, objections to the emergency removal or interim suspension will be deemed waived. A student can later request a meeting to show why they are no longer an imminent and serious threat because conditions related to imminence or seriousness have changed. A Complainant and their Advisor may be permitted to participate in this meeting if the Title IX Coordinator determines it is equitable to do so. This section also applies to any restrictions that a coach or athletic administrator may place on a student-athlete arising from allegations related to Title IX. There is no appeal process for emergency removal or interim suspension decisions.

A Respondent may be accompanied by an Advisor of their choice when meeting with the Title IX Coordinator to show cause why the action/removal should not be implemented or should be modified. The Respondent will be given access to a written summary of the basis for the emergency removal prior to the meeting to allow for adequate preparation. The Respondent may provide information, including expert reports, witness statements, communications, or other documentation for consideration prior to or during the meeting. When applicable, a Complainant may provide information to the Title IX Coordinator for review.

The Title IX Coordinator has sole discretion under this policy to implement or modify an emergency removal or interim suspension and to determine the conditions and duration. Violation of an emergency removal or interim suspension under this policy will be grounds for discipline, which may include expulsion or termination.

SUA will implement the least restrictive emergency actions possible in light of the circumstances and safety concerns. As determined by the Title IX Coordinator, these actions could include, but are not limited to: removing a student from a residence hall, temporarily re-assigning an employee, restricting a student’s or employee’s access to or use of facilities or equipment, allowing a student to withdraw or take grades of incomplete without financial penalty, authorizing an administrative leave, and suspending a student’s participation in extracurricular activities, student employment, student organizational leadership, or intercollegiate/intramural/club athletics.

At the discretion of the Title IX Coordinator, alternative coursework options may be pursued to ensure as minimal an academic impact as possible on the parties.

Where the Respondent is an employee, or a student employee, accused of misconduct in the course of their employment, existing provisions for interim action are applicable instead of the above emergency removal process.

12. Promptness

All allegations are acted upon promptly by SUA once it has received notice or a complaint. Complaints typically take sixty to ninety (60-90) business days to resolve. There are always exceptions and extenuating circumstances that can cause a resolution to take longer, but SUA will avoid all undue delays within its control.

Any time the general timeframes for resolution outlined in SUA procedures will be delayed, SUA will provide written notice to the parties of the delay, the cause for the delay, and an estimate of the anticipated additional time that will be needed as a result of the delay.

13. Confidentiality/Privacy

Every effort is made by SUA to preserve the Parties’ privacy.² SUA will not share the identity of any individual who has made a report or complaint of harassment, discrimination, or retaliation; any Complainant, any individual who has been reported to be the perpetrator of discrimination, harassment or retaliation; any Respondent, or any witness, except as permitted by the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g; FERPA regulations, 34 CFR part 99; or as required by law; or to carry out the purposes of 34 CFR Part 106, including any investigation, or resolution proceeding arising under these policies and procedures.

SUA reserves the right to determine which SUA officials have a legitimate educational interest in being informed about incidents that fall within this policy, pursuant to the Family Educational Rights and Privacy Act (FERPA).

Only a small group of officials who need to know will typically be told about the complaint, including but not limited to: Counseling Office, Deans’ Offices, Public Safety and Employee’s supervisor. Information will be shared as necessary with Investigators, Decision-makers, witnesses, and the parties. The circle of people with this knowledge will be kept as tight as possible to preserve the parties’ rights and privacy.

SUA may contact parents/guardians to inform them of situations in which there is a significant and articulable health and/or safety risk, but will usually consult with the student first before doing so.

Confidentiality and mandated reporting are addressed more specifically below.

Unauthorized Disclosure of Information

Parties and Advisors are prohibited from disclosing information obtained by SUA through the Resolution Process, to the extent that information is the work product of SUA (meaning it has been produced, compiled, or written by SUA for purposes of its investigation and resolution of a Complaint), without authorization. It is also a violation of SUA Policy to publicly disclose institutional work product that contains a party or witness’s personally identifiable information without authorization or consent. Violation of this Policy is subject to significant sanctions.

14. Jurisdiction

This Policy applies to the SUA’s education programs and activities (defined as including locations, events, or circumstances in which SUA exercises substantial control over both the Respondent and the context in which the conduct occurred), circumstances where SUA has disciplinary authority, and to misconduct occurring within any building owned or controlled by a SUA-recognized student organization.

This Policy may also apply to the effects of off-campus misconduct that limit or deny a person’s access to SUA’s education program or activities. SUA may also extend jurisdiction to off-campus and/or to online conduct when the conduct affects a substantial SUA interest.

A substantial SUA interest includes:

1. Any action that constitutes a criminal offense as defined by law. This includes, but is not limited to, single or repeat violations of any local, state, or federal law.
2. Any situation in which it is determined that the Respondent poses an immediate threat to the physical health or safety of any student, employee, or other individual.
3. Any situation that significantly impinges upon the rights, property, or achievements of others, significantly breaches the peace, and/or causes social disorder.
4. Any situation that substantially interferes with SUA’s educational interests or mission.

For disciplinary action to be issued under this Policy, the Respondent must be a SUA faculty member, student, employee, or third party contractor subject to this Policy at the time of the alleged incident. If the Respondent is unknown or is not a member of the SUA community, the Title IX Coordinator will assist the Complainant in identifying appropriate campus and local resources and support options and/or, when criminal conduct is alleged, in contacting local or campus law enforcement if the individual would like to file a police report.

All vendors serving SUA through third-party contracts are subject to the policies and procedures of their employers and/or to these Policies and procedures to which their employer has agreed to be bound by their contracts.

When the Respondent is enrolled in or employed by another institution, the Title IX Coordinator can assist the Complainant in contacting the appropriate individual at that institution, as it may be possible to pursue action under that institution’s policies.

Similarly, the Title IX Coordinator may be able to assist and support a student or employee Complainant who experiences discrimination in an externship, study abroad program, or other environment external to SUA where sexual harassment or nondiscrimination policies and procedures of the facilitating or host organization may give recourse to the Complainant. If there are effects of that external conduct that impact a student or employee’s work or educational environment, those effects can often be addressed remedially by the Title IX Coordinator if brought to their attention.

15. Time Limits on Reporting

There is no time limitation on providing notice/complaints to the Title IX Coordinator. However, if the Respondent is no longer subject to SUA’s jurisdiction and/or significant time has passed, the ability to investigate, respond, and provide remedies may be more limited or impossible.

Acting on notice/complaints significantly impacted by the passage of time (including, but not limited to, the rescission or revision of policy) is at the discretion of the Title IX Coordinator, who may document allegations for future reference, offer supportive measures and/or remedies, and/or engage in informal or formal action, as appropriate.

When notice/complaint is affected by significant time delay, SUA will typically apply the policy in place at the time of the alleged misconduct and the procedures in place at the time of notice/complaint.

16. Online Harassment and Misconduct

SUA policies are written and interpreted broadly to include online manifestations of any of the behaviors prohibited below, when those behaviors occur in or have an effect on SUA’s education program and activities or when they involve the use of SUA networks, technology, or equipment.

Although SUA may not control websites, social media, and other venues through which harassing communications are made, when such communications are reported to SUA, it will engage in a variety of means to address and mitigate the effects. These means may include use of the Resolution Process to address off-campus conduct whose effects contribute to limiting or denying a person access to SUA’s education program or activity.

Members of the community are encouraged to be good digital citizens and to refrain from online misconduct, such as feeding anonymous gossip sites, sharing inappropriate content via social media, unwelcome sexual or sex-based messaging, distributing or threatening to distribute nude or semi-nude photos or recordings, breaches of privacy, or otherwise using the ease of transmission and/or anonymity of the Internet or other technology to harm another member of the SUA community.

Any online posting or other electronic communication by students, including cyber-bullying, cyber-stalking, cyber-harassment, etc., occurring completely outside of SUA’s control (e.g., not on SUA networks, websites, or between SUA email accounts) will only be subject to this policy when such online conduct can be shown to cause a substantial in-program disruption or infringement on the rights of others. Otherwise, such communications are considered speech protected by the First Amendment. Supportive measures for Complainants will be provided, but legally protected speech cannot be subjected to discipline.

17. Inclusion Related to Gender Identity/Expression

SUA strives to ensure that all individuals are safe, included, and respected in their education and employment environments, regardless of their gender identity or expression, including intersex, nonbinary, transgender, agender, two-spirit, and gender-diverse students and employees.

Discrimination and harassment on the basis of gender identity or expression are not tolerated by SUA. If a member of the SUA community believes they have been subjected to discrimination under this Policy, they should follow the appropriate reporting process described herein.

In upholding the principles of equity and inclusion, SUA supports the full integration and healthy development of those who are gender diverse and seeks to eliminate any stigma related to gender identity and expression.

SUA is committed to fostering a climate where all identities are valued, contributing to a more vibrant and diverse community. SUA will administratively address issues that some students and employees, including those identifying as intersex, transgender, agender, nonbinary, and gender diverse, may confront as they navigate systems originally designed around the assumption that gender is binary. As our society’s understanding of gender evolves, so do SUA’s processes and policies.

Concepts like misgendering and deadnaming may not be familiar to all but understanding them is essential to SUA’s goal of being as welcoming and inclusive a community as possible.

Misgendering or mispronouncing is the intentional or unintentional use of pronouns or identifiers that are different from those used by an individual. Unintentional misgendering is usually resolved with a simple apology if someone clarifies their pronouns for you. Intentional misgendering is inconsistent with the type of community SUA holds itself out to be and may constitute a Policy violation if the effect is greater than de minimis harm. Each community member has a right to determine their own gender identity and expression and does not get to choose or negate someone else’s.

Deadnaming, along with misgendering, can be very traumatic to a person who is transgender, transitioning, nonbinary, or gender diverse. Deadnaming means using someone’s birth-assigned (cisgender) name, rather than the name they have chosen.

To a person who is transgender, transitioning, nonbinary, or gender diverse, their cisgender identity may be something that is in their past — dead, buried, and behind them. To then revive their deadname could trigger issues, traumas, and experiences of the past that the individual has moved past, or is moving past, and can interfere with their health and well-being.

Again, unintentional deadnaming can often be addressed by a simple apology and an effort to use the person’s chosen name. Intentional deadnaming could be a form of bullying, outing, or otherwise harassing an individual, and thus should be avoided.

This Policy should be interpreted consistent with the goals of maximizing the inclusion of intersex, transgender, transitioning, agender, nonbinary, and gender-diverse students and employees, including:

• Maintaining the privacy of all individuals consistent with law
• Ensuring all students have equal access to educational programming, activities, and facilities, including restrooms and locker rooms
• Ensuring all employees have equal access to employment opportunities and work, service, or health-related facilities
• Providing professional development for employees and education for students on topics related to gender inclusion
• Encouraging all students and employees to respect the pronoun usage and identities of all members of the SUA community

SUA uses a number of interventions to address concerns that are raised related to gender-based harassment or discrimination, including problem-solving, intervention, confrontation, investigation, and Policy enforcement. When conflicts arise between the right of members of the community to be free from gender-identity discrimination and those exercising their right to religious freedom, SUA will try to balance rights and interests to find mutually agreeable outcomes or compromises. When that is not possible, SUA will offer remedial solutions or enforce its Policies while also respecting the rights of all members of its community.

18. Definitions

• Advisor means a person chosen by a party or appointed by SUA to accompany the party to meetings related to the resolution process and to advise the party on that process.
• Appeal Decision-maker means the person or panel who accepts or rejects a submitted appeal request, determines whether an error occurred that substantially affected the investigation or original determination, and directs corrective action, accordingly.
• Complainant means a student or employee who is alleged to have been subjected to conduct that could constitute discrimination, harassment, or retaliation under the Policy; or a person other than a student or employee who is alleged to have been subjected to conduct that could constitute discrimination or harassment under the Policy and who was participating or attempting to participate in the Recipient’s education program or activity at the time of the alleged discrimination, harassment or retaliation.
• Complaint means an oral or written request to SUA that objectively can be understood as a request for the recipient to investigate and make a determination about alleged discrimination under Title IX or its regulations.
• Confidential Resource means an employee who is not a Mandated Reporter of notice of harassment, discrimination, and/or retaliation (irrespective of Clery Act Campus Security Authority status).
• Day means a business day when SUA is in normal operation, if not otherwise specified. All references in the policy to days refer to business days unless specifically noted as calendar days.
• Decision-maker means the person or panel who hears evidence, determines relevance, and makes the final determination of whether this Policy has been violated and/or assigns sanctions.
• Education Program or Activity means locations, events, or circumstances where SUA exercises substantial control over both the Respondent and the context in which the harassment, discrimination, and/or retaliation occurs and also includes any building owned or controlled by a student organization that is officially recognized by SUA.
• Employee means a person employed by SUA either full or part-time, including student employees when acting within the scope of their employment.
• Final Determination: A conclusion by a preponderance of the evidence standard that the alleged conduct did or did not violate policy.
• Finding: A conclusion by a preponderance of the evidence standard that the conduct did or did not occur as alleged (as in a “finding of fact”).
• Informal Resolution is a complaint resolution agreed to by the parties and approved by the Title IX Coordinator that occurs instead of the Administrative Resolution process.
• Investigator means the person or persons authorized by SUA to gather facts about an alleged violation of this policy, assess relevance and credibility, synthesize the evidence, and compile this information into an investigation report and file.
• Mandated Reporter means an employee of SUA who is obligated by policy to share knowledge, notice, and/or reports of harassment, discrimination, and/or retaliation, and/or other prohibited conduct with the Title IX Coordinator or Deputy Title IX Coordinator.³ SUA has classified all employees (excluding non-supervisory student employees and Confidential Resources) as Mandated Reporters.
• Notice means that an employee, student, or third-party informs the Title IX Coordinator or other Official with Authority of the alleged occurrence of harassing, discriminatory, and/or retaliatory conduct.
• Official with Authority (OWA) means an employee of SUA who has responsibility to implement corrective measures for harassment, discrimination, and/or retaliation on behalf of SUA.
• Parties means the Complainant(s) and Respondent(s), collectively.
• Pregnancy or Related Conditions means pregnancy, childbirth, termination of a pregnancy, or lactation, medical conditions related thereto, or recovery therefrom.
• Relevant Evidence is evidence that may aid a decision-maker in determining whether the alleged discrimination, harassment, retaliation, or other prohibited conduct occurred, or in determining the credibility of the parties or witnesses.
• Remedies are post-finding actions directed to the Complainant and/or the community as mechanisms to address safety, prevent recurrence, and restore access to SUA’s educational program and activity.
• Resolution Process means the resolution process described in “Appendix A,” a method of resolution designated by SUA to address conduct that falls within the policies included below, and which complies with the requirements of the Title IX regulations (34 CFR §106.45-46). See Appendix A.
• Respondent means an individual who is alleged to have engaged in conduct that could constitute harassment or discrimination based on a protected characteristic; or retaliation for engaging in a protected activity under this policy, or other prohibited conduct.
• Resolution means the result of a Resolution Process.
• Sanction means a consequence imposed by SUA on a Respondent who is found to have violated this policy.
• Sexual Harassment is an umbrella category including the offenses of sexual harassment, sexual assault, stalking, dating violence and domestic violence. See below for greater detail.
• Student means any individual who has accepted an offer of admission, or who is registered or enrolled for credit or non-credit bearing coursework, and who maintains an ongoing educational relationship with SUA.
• SUA means Soka University of America.
• Title IX Coordinator is at least one official designated by SUA to ensure compliance with Title IX and SUA’s Title IX program. References to the Coordinator throughout this policy may also encompass a designee of the Coordinator for specific tasks.
• Title IX Team refers to the Title IX Coordinator, Deputy Coordinators, investigators, hearing officers, and appeal officers.

19. Policy on Disability Discrimination and Accommodation

SUA is committed to full compliance with the Americans with Disabilities Act of 1990 (ADA), as amended, and Section 504 of the Rehabilitation Act of 1973, which prohibit discrimination against qualified persons with disabilities, as well as other federal, state, and local laws and regulations pertaining to individuals with disabilities.

Under the ADA and its amendments, a person has a disability if they have a physical or mental impairment that substantially limits a major life activity. 

The ADA also protects individuals who have a record of a substantially limiting impairment or who are regarded as disabled by SUA, regardless of whether they currently have a disability. A substantial impairment is one that significantly limits or restricts a major life activity such as hearing, seeing, speaking, breathing, performing manual tasks, walking, or caring for oneself.

The Executive Vice President for University Community has been designated as SUA’s ADA/504 Coordinator for Faculty, Staff and Others, and the Dean of Students as Deputy ADA/504 Coordinator for Students, and they are responsible for overseeing efforts to comply with these disability laws, including responding to grievances and conducting investigations of any allegation of noncompliance or discrimination based on disability.

Grievances related to disability status and/or accommodations will be addressed using the procedures below. For details relating to disability accommodations in SUA’s resolution process, see below.

A. Students with Disabilities

SUA is committed to providing qualified students with disabilities with reasonable accommodations and support needed to ensure equal access to the academic programs, facilities, and activities of SUA.

All accommodations are made on an individualized basis. A student requesting any accommodation should first contact the Director of Student Services, who coordinates services for students with disabilities.

The Director of Student Services reviews documentation provided by the student and, in consultation with the student, determines which accommodations are appropriate for the student’s particular needs and academic program(s) in accordance with SUA’s applicable policies.

B. Employees with Disabilities

Pursuant to the ADA, SUA will provide reasonable accommodation(s) to all qualified employees with known disabilities when their disability affects the performance of their essential job functions, except when doing so would be unduly disruptive or would result in undue hardship to SUA.

An employee with a disability is responsible for submitting a request for an accommodation to the ADA/504 Coordinator and providing necessary documentation. The ADA/504 Coordinator will work with the employee’s supervisor to identify which essential functions of the position are affected by the employee’s disability and what reasonable accommodations could enable the employee to perform those duties in accordance with SUA’s applicable policies.

C. Accommodations and Support During the Resolution Process

Disability Accommodations

SUA is committed to providing reasonable accommodations and support to qualified students, employees, or others with disabilities to ensure equal access to SUA’s Resolution Process.

Anyone needing such accommodations or support should contact the Title IX Coordinator, who will work with disability support colleagues as appropriate to review the request and, in consultation with the person requesting the accommodation, determine which accommodations are appropriate and necessary for full process participation.

Other Support

SUA will also address reasonable requests for support for the Parties and witnesses, including:

• Language services/Interpreters
• Access and training regarding use of technology throughout the Resolution Process
• Other support as deemed reasonable and necessary to facilitate participation in the Resolution Process

20. Prohibited Conduct

Students, staff, administrators, and faculty are entitled to an employment and educational environment that is free of discrimination, harassment, and retaliation. This policy is not meant to inhibit or prohibit educational content or discussions inside or outside of the classroom that include germane but controversial or sensitive subject matters protected by academic freedom.

The sections below describe the specific forms of legally prohibited harassment that are also prohibited under SUA policy. When speech or conduct is protected by academic freedom and/or the First Amendment, it will not be considered a violation of SUA policy, though supportive measures will be offered to those impacted.

All offense definitions encompass actual and/or attempted offenses.

Any of the following offenses can be charged as or combined as pattern offenses, in which case the Notice of Investigation and Allegation (NOIA) will clearly indicate that both individual incidents and a pattern of conduct are being investigated. A pattern may exist and be charged when there is a potential substantial similarity to incidents where the proof of one could make it more likely that the other(s) occurred, and vice versa. Patterns may exist based on target selection, similarity of offense, or other factors. Where a pattern is found, it can be the basis to enhance sanctions, accordingly.

Violation of any other SUA policies may constitute discrimination or harassment when motivated by actual or perceived protected characteristic(s), and the result is a limitation or denial of employment or educational access, benefits, or opportunities.

A. Discrimination

Discrimination is different treatment with respect to a person’s employment or participation in an education program or activity based, in whole or in part, upon the person’s actual or perceived protected characteristic. Discrimination also includes allegations of a failure to provide reasonable accommodations as required by law or policy, such as for disability, religion, or creed.

Discrimination can take two primary forms:

• Disparate Treatment Discrimination:
  • Any intentional differential treatment of a person or persons that is based on a person’s actual or perceived protected characteristic and that:
    • Excludes a person from participation in;
    • Denies the person benefits of; or
    • Otherwise adversely affects a term or condition of a person’s participation in a SUA program or activity.
• Disparate Impact Discrimination:
  • Disparate impact occurs when policies or practices that appear to be neutral unintentionally result in a disproportionate impact on a protected group or person that:
    • Excludes a person from participation in;
    • Denies the person benefits of; or
    • Otherwise adversely affects a term or condition of a person’s participation in a SUA program or activity.

B. Discriminatory Harassment

Defined as unwelcome conduct by any member or group of the community on the basis of actual or perceived membership in a class protected by policy or law -- is a form of prohibited discrimination under SUA's policy.

SUA does not tolerate discriminatory harassment of any employee, student, visitor, or third party. SUA will act to remedy all forms of harassment when reported, whether or not the harassment rises to the level of creating a “hostile environment.” A hostile environment is one that unreasonably interferes with, limits, or effectively denies an individual’s educational or employment access, benefits, or opportunities.

This discriminatory effect results from harassing verbal, written, graphic, or physical conduct that is unwelcome on the basis of actual or perceived protected characteristics that based on the totality of circumstances, is subjectively and objectively offensive and is so severe and pervasive that it limits or denies a person’s ability to participate in or benefit from SUA’s educational program or activity.

When discriminatory harassment rises to the level of creating a hostile environment, SUA may impose sanctions on the Respondent through application of the appropriate grievance process below.

SUA reserves the right to address offensive conduct and/or harassment that 1) does not rise to the level of creating a hostile environment, or 2) that is of a generic nature and not based on a protected status. Addressing such conduct will not necessarily result in the imposition of discipline under SUA policy, but may be addressed through respectful conversation, remedial actions, education, effective Alternate Resolution, and/or other informal resolution mechanisms.

For assistance with Alternate Resolution and other informal resolution techniques and approaches, employees should contact the Executive Vice President for University Community, and students should contact the Director of Student Services.

C. Sexual Harassment and Sex-Based Harassment

The U.S. Department of Education’s Office for Civil Rights (OCR), the Equal Employment Opportunity Commission (EEOC), and the State of California regard sex-based harassment and sexual harassment, specific forms of discriminatory harassment, as unlawful discriminatory practices.

SUA has adopted the following definitions of sex-based harassment and sexual harassment to address the unique environment of an academic community. One definition is required by state law (sexual harassment under California law) and the other by federal law (Title IX sex-based harassment). Both definitions apply, and while they overlap, they are not identical.

Sexual Harassment Under California Law

Under California law, sexual harassment is defined as unwelcome sexual advances, requests for sexual favors, and other verbal, visual, or physical conduct of a sexual nature, made by someone from or in the work or educational setting, under any of the following conditions:

• Submission to the conduct is explicitly or implicitly made a term or a condition of an individual’s employment, academic status, or progress.
• Submission to, or rejection of, the conduct by the individual is used as the basis of employment or academic decisions affecting the individual.
• The conduct has the purpose or effect of having a negative impact upon the individual’s work or academic performance, or of creating an intimidating, hostile, or offensive work or educational environment.
• Submission to, or rejection of, the conduct by the individual is used as the basis for any decision affecting the individual regarding benefits and services, honors, programs, or activities available at or through the educational institution.

Under California law, sexual harassment includes sexual violence, rape, sexual battery and sexual exploitation, defined as follows:

Sexual Violence means physical sexual acts perpetrated against a person without the person's affirmative consent. Physical sexual acts include rape and sexual battery as follows:

Rape, defined as penetration, no matter how slight, of the vagina or anus with any part or object, or oral copulation of a sex organ by another person, without the consent of the victim.

Sexual battery, defined as the intentional touching of another person’s intimate parts without consent, intentionally causing a person to touch the intimate parts of another without consent, or using a person’s own intimate part to intentionally touch another person’s body without consent.

Sexual exploitation means a person taking sexual advantage of another person for the benefit of anyone other than that person without that person’s consent, including, but not limited to, any of the following acts:

• The prostituting of another person.
• The trafficking of another person, defined as the inducement of a person to perform a commercial sex act, or labor or services, through force, fraud, or coercion.
• The recording of images, including video or photograph, or audio of another person’s sexual activity or intimate parts, without that person’s consent.
• The distribution of images, including video or photograph, or audio of another person’s sexual activity or intimate parts, if the individual distributing the images or audio knows or should have known that the person depicted in the images or audio did not consent to the disclosure.
• The viewing of another person’s sexual activity or intimate parts, in a place where that other person would have a reasonable expectation of privacy, without that person’s consent, for the purpose of arousing or gratifying sexual desire.

Acts of sexual harassment may be committed by any person upon any other person, regardless of the sex, sexual orientation, and/or gender identity of those involved.

Sex-based harassment (Applicable under Title IX, Title VII, and the Fair Housing Act)

Sex-based harassment is a form of sex discrimination and means sexual harassment and other harassment on the basis of sex, including sex stereotypes, sex characteristics, pregnancy or related conditions, sexual orientation, and gender identity; sexual assault, dating violence, domestic violence, and stalking.

• Quid Pro Quo:
  • an employee, agent or other person authorized by SUA
  • to provide an aid, benefit, or service under SUA’s education program or activity,
  • explicitly or impliedly conditioning the provision of such aid, benefit, or service,
  • on an individual’s participation in unwelcome sexual conduct.
• Hostile Environment Harassment:
  • unwelcome sex-based conduct, that
  • based on the totality of the circumstances,
  • is subjectively and objectively offensive, and
  • is so severe or pervasive,
  • that it limits or denies a person’s ability to participate in or benefit from SUA’s education program or activity.⁴
• Sexual Assault, defined as:
  • Any sexual act⁵ directed against a Complainant without their consent⁶, or instances in which the Complainant is incapable of giving consent.
  • Incest:
    • Non-forcible sexual intercourse,
    • between persons who are related to each other,
    • within the degrees wherein marriage is prohibited by California law.  
  • Statutory Rape:
    • Non-forcible sexual intercourse,
    • with a person who is under the statutory age of consent (18 years of age in California).
• Dating Violence, defined as:
  • violence,
  • on the basis of sex,
  • committed by a person,
  • who is in or has been in a social relationship of a romantic or intimate nature with the Complainant.
    • The existence of such a relationship shall be determined based on the Complainant’s statement and with consideration of the length of the relationship, the type of relationship, and the frequency of interaction between the persons involved in the relationship. For the purposes of this definition—
    • Dating violence includes, but is not limited to, sexual or physical abuse or the threat of such abuse.
    • Dating violence does not include acts covered under the definition of domestic violence.
• Domestic Violence⁷, defined as:
  • violence,
  • on the basis of sex,
  • committed by a current or former spouse or intimate partner of the Complainant,
  • by a person with whom the Complainant shares a child in common,
  • or by a person who is cohabitating with, or has cohabitated with, the Complainant as a spouse, domestic partner, or intimate partner, or
  • by a person similarly situated to a spouse of the Complainant under the domestic or family violence laws of California, or
  • by any other person against an adult or youth Complainant who is protected from that person’s acts under the domestic or family violence laws of California.

To categorize an incident as Domestic Violence, the relationship between the Respondent and the Complainant must be more than just two people living together as roommates. The people cohabitating must be current or former spouses or have an intimate relationship.

• Stalking⁸, defined as:
  • engaging in a course of conduct,
  • on the basis of sex,
  • directed at the Complainant, that
    • would cause a reasonable person to fear for the person’s safety, or
    • the safety of others; or
    • suffer substantial emotional distress.

For the purposes of this definition—

• Course of conduct means two or more acts, including, but not limited to, acts in which the Respondent directly, indirectly, or through third parties, by any action, method, device, or means, follows, monitors, observes, surveils, threatens, or communicates to or about a person, or interferes with a person’s property.
• Reasonable person means a reasonable person under similar circumstances and with similar identities to the Complainant.
• Substantial emotional distress means significant mental suffering or anguish that may but does not necessarily require medical or other professional treatment or counseling.

SUA reserves the right to impose any level of sanction, ranging from a reprimand up to and including suspension or expulsion/termination, for any offense under this policy.

D. Force, Coercion, Consent, and Incapacitation⁹

As used in the offenses above, the following definitions and understandings apply:

Force: Force is the use of physical violence and/or physical imposition to gain sexual access. Force also includes threats, intimidation (implied threats), and coercion that is intended to overcome resistance or produce consent (e.g., “Have sex with me or I’ll hit you,” which elicits the response, “Okay, don’t hit me, I’ll do what you want.”).

Sexual activity that is forced is, by definition, non-consensual, but non-consensual sexual activity is not necessarily forced. Silence or the absence of resistance alone is not consent. Consent is not demonstrated by the absence of resistance. While resistance is not required or necessary, it is a clear demonstration of non-consent.

Coercion: Coercion is unreasonable pressure for sexual activity. Coercive conduct differs from seductive conduct based on factors such as the type and/or extent of the pressure used to obtain consent. When someone makes clear that they do not want to engage in certain sexual activity, that they want to stop, or that they do not want to go past a certain point of sexual interaction, continued pressure beyond that point can be coercive.

Affirmative Consent¹⁰ is:

• knowing, and
• voluntary, and
• clear permission
• by word or action
• to engage in sexual activity.

Individuals may perceive and experience the same interaction in different ways. Therefore, it is the responsibility of each party to determine that the other has consented before engaging in the activity.

If consent is not clearly provided prior to engaging in the activity, consent may be ratified by word or action at some point during the interaction or thereafter, but clear communication from the outset is strongly encouraged.

For consent to be valid, there must be a clear expression in words or actions that the other individual consented to that specific sexual conduct. Reasonable reciprocation can be implied consent. For example, if someone kisses an individual, the individual can kiss them back (if they want to) without the need to explicitly obtain their consent to being kissed back.

Consent can also be withdrawn once given, as long as the withdrawal is reasonably and clearly communicated. If consent is withdrawn, that sexual activity should cease within a reasonably immediate time.

Consent to some sexual contact (such as kissing or fondling) cannot be presumed to be consent for other sexual activity (such as intercourse). A current or previous intimate relationship is not sufficient to constitute consent. If an individual expresses conditions on their willingness to consent (e.g., use of a condom) or limitations on the scope of their consent, those conditions and limitations must be respected.

Proof of consent or non-consent is not a burden placed on either party involved in a complaint. Instead, the burden remains on SUA to determine whether its policy has been violated. The existence of consent is based on the totality of the circumstances evaluated from the perspective of a reasonable person in the same or similar circumstances, including the context in which the alleged misconduct occurred and any similar, previous patterns that may be evidenced.

Consent in relationships must also be considered in context. When parties consent to BDSM¹¹ or other forms of kink, non-consent may be shown by the use of a safe word. Resistance, force, violence, or even saying “no” may be part of the kink and thus consensual, so SUA’s evaluation of communication in kink situations should be guided by reasonableness, rather than strict adherence to policy that assumes non-kink relationships as a default.

Incapacitation: A person cannot consent if they are unable to understand what is happening or are disoriented, helpless, asleep, or unconscious for any reason, including due to alcohol or other drug consumption.

In the evaluation of complaints, it shall not be a valid defense that the Respondent believed that the Complainant affirmatively consented to the sexual activity if the Respondent knew or reasonably should have known that the Complainant was unable to consent to the sexual activity under any of the following circumstances:

• The Complainant was asleep or unconscious.
• The Complainant was incapacitated due to the influence of drugs, alcohol, or medication, so that the Complainant could not understand the fact, nature, or extent of the sexual activity.
• The Complainant was unable to communicate due to a mental or physical condition.

Thus, it is a defense to a sexual assault policy violation that the Respondent neither knew nor should have known the Complainant to be physically or mentally incapacitated. “Should have known” is an objective, reasonable person standard that assumes that a reasonable person is both sober and exercising sound judgment. In the evaluation of complaints, it shall not be a valid defense to alleged lack of affirmative consent that the Respondent believed that the Complainant consented to the sexual activity under either of the following circumstances:

• The Respondent’s belief in affirmative consent arose from the intoxication or recklessness of the Respondent.
• The Respondent did not take reasonable steps, in the circumstances known to the Respondent at the time, to ascertain whether the Complainant affirmatively consented.

Incapacitation occurs when someone cannot make rational, reasonable decisions because they lack the capacity to give knowing/informed consent (e.g., to understand the “who, what, when, where, why, and how” of their sexual interaction).

Incapacitation is determined through consideration of all relevant indicators of an individual’s state and is not synonymous with intoxication, impairment, blackout, and/or being drunk.

This policy also covers a person whose incapacity results from a temporary or permanent physical or mental health condition, involuntary physical restraint, and/or the consumption of incapacitating substances.

E. Other Civil Rights Offenses

In addition to the forms of sexual harassment described above, SUA additionally prohibits the following conduct that may constitute discrimination within or outside of Title IX when the act is based upon the Complainant’s actual or perceived protected characteristic.

• Threatening to cause or causing physical harm, extreme verbal, emotional, or psychological abuse, or other conduct which threatens or endangers the health or safety of any person
• Discrimination, defined as actions that deprive, limit, or deny other members of the community of educational or employment access, benefits, or opportunities
• Hazing, defined as acts likely to cause physical or psychological harm or social ostracism to any person within the SUA community, when related to the admission, initiation, pledging, joining, or any other group-affiliation activity
• Bullying, defined as repeated and/or severe aggressive behavior likely to intimidate or intentionally hurt, control, or diminish another person, physically and/or mentally, that is not speech or conduct otherwise protected by the First Amendment
• Unauthorized disclosure, defined as distributing or otherwise publicizing materials created or produced during an investigation or resolution process except as required by law or as expressly permitted by SUA; or publicly disclosing institutional work product that contains personally identifiable information without authorization or consent
• Failure to comply/process interference defined as intentional failure to comply with the reasonable directives of the Title IX Coordinator in the performance of their duties, including the terms of a no contact order, intentional failure to comply with emergency removal or interim suspension terms, intentional failure to comply with sanctions, intentional failure to adhere to the terms of an informal resolution agreement, intentional failure to comply with mandated reporting duties as defined in this policy
• Intentional interference with the resolution process, including but not limited to, destruction of or concealing evidence, actual or attempted solicitation of knowingly false testimony or providing false testimony or evidence, intimidating or bribing a witness or party

Violation of other SUA policies may constitute a Civil Rights Offense when a violation is motivated by actual or perceived membership in a protected category, and the result is a discriminatory limitation or denial of employment or educational access, benefits, or opportunities.

Sanctions for Civil Rights Offenses range from reprimand through expulsion/ termination.

21. Retaliation

Protected activity under this policy includes reporting alleged misconduct that may implicate this policy, participating in the resolution process, supporting a Complainant or Respondent, assisting in providing information relevant to an investigation, and/or acting in good faith to oppose conduct that constitutes a violation of this policy.

Acts of alleged retaliation should be reported immediately to the Title IX Coordinator and will be promptly investigated. SUA will take all appropriate and available steps to protect individuals who fear that they may be subjected to retaliation.

SUA and any member of SUA’s community are prohibited from taking or attempting to take materially adverse action by intimidating, threatening, coercing, harassing, or discriminating against any individual for the purpose of interfering with any right or privilege secured by law or policy, or because the individual has made a report or complaint, testified, assisted, or participated or refused to participate in any manner in an investigation, proceeding, or hearing under this policy and procedure.

The exercise of rights protected under the First Amendment does not constitute retaliation.

Pursuing a code of conduct violation against a party for making a materially false statement in bad faith in the course of a grievance proceeding under this policy and procedure does not constitute retaliation, provided that the determination of responsibility by itself is not sufficient to conclude that any party has made a materially false statement in bad faith.

22. Mandated Reporting

All SUA employees (faculty, staff, administrators) are expected to report actual or suspected discrimination, harassment, and/or retaliation to appropriate officials immediately, though there are some limited exceptions, e.g. non-supervisory student employees and Confidential Resources.

SUA has determined that the following administrators are Responsible Employees who have a duty to report sexual harassment, discrimination, and/or retaliation to an appropriate SUA official who has the authority to address and correct harassment, discrimination, and/or retaliation. Responsible Employees have received appropriate training and have been trained on how to report prohibited conduct under this policy.

• Residential advisors, while performing the duties of employment by the institution.
• Housing directors, coordinators, or deans.
• Student life directors, coordinators, or deans.
• Athletic directors, coordinators, or deans.
• Coaches of any student athletic or academic team or activity.
• Faculty and associate faculty, teachers, instructors, or lecturers.
• Graduate student instructors, while performing the duties of employment by the institution.
• Laboratory directors, coordinators, or principal investigators.
• Internship or externship directors or coordinators.
• Study abroad program directors or coordinators.

To make informed choices, it is important to be aware of confidentiality and mandatory reporting requirements when consulting institutional resources. Within the institution, some resources may maintain confidentiality and are not required to report actual or suspected harassment, discrimination or retaliation in a way that identifies the parties. They may offer options and resources without any obligation to inform an outside agency or institution official unless a Complainant has requested the information be shared.

If a Complainant expects formal action in response to their allegations, reporting to any Mandated Reporter can connect them with resources to report alleged crimes and/or policy violations, and these employees will immediately pass reports to the Title IX Coordinator (and/or police, if desired by the Complainant or required by law), who will act when an incident is reported to them.

The following sections describe the reporting options at SUA for a Complainant or third-party (including parents/guardians when appropriate):

A. Confidential Resources

If a Complainant would like the details of an incident to be kept confidential, the Complainant may speak with:

• On-campus licensed professional counselors (Students)
• On-campus health service providers (Students)
• Off-campus (Student, staff, and others):
  • Licensed professional counselors and other medical providers
  • Local rape crisis counselors
  • Domestic violence resources
  • Local or state assistance agencies
  • Clergy/Chaplains
  • Attorneys

All of the above-listed individuals will maintain confidentiality when acting under the scope of their licensure, professional ethics, professional credentials, or official designation, except in extreme cases of immediacy of threat or danger or abuse of a minor/elder/individual with a disability, or when required to disclose by law or court order.

Campus counselors (for Students) and/or the Employee Assistance Program (for Employees) are available to help free of charge and may be consulted on an emergency basis during normal business hours.

B. Mandated Reporters and Notice/Complaints

All employees of SUA, with the exception of non-supervisory student employees and those who are designated as Confidential Resources, are Mandated Reporters and must promptly share with the Title IX Coordinator all known details of a report made to them in the course of their employment.

Employees must also promptly share all details of behaviors under this policy that they observe or have knowledge of, even if not reported to them by a Complainant or third-party.

Complainants may want to carefully consider whether they share personally identifiable details with non-confidential Mandated Reporters, as those details must be shared with the Title IX Coordinator.

Generally, disclosures in climate surveys, classroom writing assignments or discussions, human subjects research, or at events such as “Take Back the Night” marches or speak-outs do not provide notice that must be reported to the Title IX Coordinator by employees, unless the Complainant clearly indicates that they desire a report to be made or a seek a specific response from SUA.

Supportive measures may be offered as the result of such disclosures without formal SUA action.

Failure of a Mandated Reporter, as described above in this section, to report an incident of harassment or discrimination of which they become aware is a violation of SUA policy and can be subject to disciplinary action for failure to comply/failure to report.

Though this may seem obvious, when a Mandated Reporter is engaged in harassment or other violations of this policy, they still have a duty to report their own misconduct, though SUA is technically not on notice simply because a harasser is also a Mandated Reporter unless the harasser does in fact report themselves.

Finally, it is important to clarify that a Mandated Reporter who is themselves a target of harassment or other misconduct under this policy is not required to report their own experience, though they are, of course, encouraged to do so.

23. Notice to Law Enforcement

There may be circumstances where SUA is obliged to report an incident of violent crime, hate crime, or sexual assault immediately, or as soon as practicably possible, to local law enforcement. SUA has a Memorandum of Understanding with the OC Sheriff's Department to enhance communication, coordination, and collaboration. The signatories of the MOU have instituted specialized, trauma-informed responses developed in consultation with campus and community-based victim advocates to remedy sexual assault and violence and hate crimes, and to respect the Complainant’s request for confidentiality.

Requests for Confidentiality

Complainants have the right to decide if they want to make a report to the police and/or speak with the police. SUA will honor requests for confidentiality. Local law enforcement agencies are prohibited from disclosing information about most sexual assaults if the Complainant requests anonymity. When information is shared with law enforcement, such reports will include (when the Complainant has consented to being identified):

• The name and characteristics of the alleged victim;
• The name and characteristics of the alleged perpetrator, if known;
• Description of the incident, including location and date and time; and
• Any report number assigned to the police incident report documenting the investigation being conducted by the jurisdictional agency.

Mandatory Reporting Requirements for Health Practitioners in California

Any licensed health care provider in the State of California providing services in a health facility, clinic or physician’s office is required to make a report if they are actively providing medical treatment for a physical condition to a patient whom they know or reasonably suspect is the victim of assaultive or abusive conduct or a firearm injury. The health practitioner is required to make a report by telephone as soon as practically possible and send a written report to a local law enforcement agency within two working days. The report must be made to the enforcement agency that has jurisdiction over the location in which the injury was sustained. This includes student health services.

24. When a Complainant Does Not Wish to Proceed

If a Complainant does not wish for their name to be shared, does not wish for an investigation to take place, or does not want a complaint to be pursued, they may make such a request to the Title IX Coordinator, who will evaluate that request in light of the duty to ensure the safety of the campus and to comply with state or federal law.

The Title IX Coordinator has ultimate discretion over whether SUA proceeds when the Complainant does not wish to do so, and the Title IX Coordinator may sign a complaint to initiate a grievance process upon completion of an appropriate violence risk assessment to help determine whether to proceed. The Title IX Coordinator may sign a Complaint to initiate a grievance process after reviewing any violence risk assessment results and weighing the following factors:

• Multiple or prior reports of sexual misconduct against the Respondent.
• The Respondent reportedly used a weapon, physical restraints, or engaged in battery.
• The Respondent is a faculty or staff member with oversight of students.
• There is a power imbalance between the Complainant and Respondent.
• The Complainant believes that the Complainant will be less safe if the Complainant’s name is disclosed, or an investigation conducted.
• The institution is able to conduct a thorough investigation and obtain relevant evidence in the absence of the Complainant’s cooperation.

In instances where the Complainant’s request for confidentiality or no investigation is granted, SUA will provide supportive measures to the Complainant and take reasonable steps to respond to the complaint, consistent with the request, to limit the effects of the alleged sexual harassment and prevent its recurrence without initiating formal action against the alleged Respondent or revealing the identity of the Complainant. These steps may include but are not limited to:

• Increased monitoring, supervision, or security at locations or activities where the alleged misconduct occurred
• Providing additional training and education materials for students and employees
• Conducting climate surveys regarding sexual violence

SUA will also take immediate steps to provide for the safety of the Complainant while keeping the Complainant’s identity confidential, as appropriate. These steps may include changing living arrangements or course schedules, assignments, or tests. The Complainant will be notified that the steps SUA will take to respond to the complaint will be limited by the request for confidentiality.

When the Title IX Coordinator executes the written complaint, they do not become the Complainant. The Complainant is the individual who is alleged to be the victim of conduct that could constitute a violation of this policy.

When SUA proceeds, the Complainant (or their Advisor) may have as much or as little involvement in the process as they wish. The Complainant retains all rights of a Complainant under this Policy irrespective of their level of participation. Typically, when the Complainant chooses not to participate, the Advisor may be appointed as proxy for the Complainant throughout the process, acting to ensure and protect the rights of the Complainant, though this does not extend to the provision of evidence or testimony. SUA will inform the Complainant prior to initiating the Grievance Process and take immediate steps to provide for the safety of the Complainant, where appropriate. In the event the Complainant requests that SUA inform the Respondent that the Complainant asked SUA not to investigate or seek discipline, SUA will honor this request.

Note that SUA’s ability to remedy and respond to notice may be limited if the Complainant does not want SUA to proceed with an investigation and/or grievance process. The goal is to provide the Complainant with as much control over the process as possible, while balancing SUA’s obligation to protect its community.

In cases in which the Complainant requests confidentiality/no formal action and the circumstances allow SUA to honor that request, SUA will offer informal resolution options (see below), supportive measures, and remedies to the Complainant and the community, but will not otherwise pursue formal action.

If the Complainant elects to take no action, they can change that decision if they decide to pursue a complaint at a later date. Upon making a complaint, a Complainant has the right, and can expect, to have allegations taken seriously by SUA, and to have the incidents investigated and properly resolved through these procedures. Please consider that delays may cause limitations on access to evidence, or present issues with respect to the status of the parties.

25. Federal Timely Warning Obligations

SUA must issue timely warnings for reported incidents that pose a serious or continuing threat of bodily harm or danger to members of the campus community.

SUA will ensure that a Complainant’s name and other identifying information is not disclosed, while still providing enough information for community members to make safety decisions in light of the potential danger.

26. False Allegations and Evidence

Deliberately false and/or malicious accusations under this policy are a serious offense and will be subject to appropriate disciplinary action. This does not include allegations that are made in good faith but are ultimately shown to be erroneous or do not result in a policy violation determination.

Additionally, witnesses and parties knowingly providing false evidence, tampering with or destroying evidence, or deliberately misleading an official investigating can be subject to discipline under SUA policy.

27. Amnesty for Complainants and Witnesses

The SUA community encourages the reporting of misconduct and crimes by Complainants and witnesses. Sometimes, Complainants or witnesses are hesitant to report to SUA officials or participate in resolution processes because they fear that they themselves may be in violation of certain policies, such as underage drinking or use of illicit drugs at the time of the incident. Respondents may hesitate to be forthcoming during the process for the same reasons.

It is in the best interests of the SUA community that Complainants choose to report misconduct to SUA officials, that witnesses come forward to share what they know, and that all parties be forthcoming during the process.

To encourage reporting and participation in the process, SUA maintains a policy of offering parties and witnesses amnesty from minor policy violations – such as underage consumption of alcohol or the use of illicit drugs – related to the incident.

Amnesty does not apply to more serious allegations such as physical abuse of another or illicit drug distribution. The decision not to offer amnesty is based on neither sex nor gender, but on the fact that collateral misconduct is typically addressed for all students within a progressive discipline system, and the rationale for amnesty – the incentive to report serious misconduct – is rarely applicable to Respondent with respect to a Complainant.

Students: Sometimes, students are hesitant to assist others for fear that they may get in trouble themselves (for example, an underage student who has been drinking or using marijuana might hesitate to help take an individual who has experienced sexual assault to university support staff).

SUA maintains a policy of amnesty for students who offer help to others in need. Although policy violations cannot be overlooked, SUA may provide purely educational options with no official disciplinary finding, rather than punitive sanctions, to those who offer their assistance to others in need.

Employees: Sometimes, employees are hesitant to report harassment, discrimination or retaliation they have experienced for fear that they may get in trouble themselves. For example, an employee who has violated the consensual relationship policy and is then assaulted in the course of that relationship might hesitate to report the incident to SUA officials.

SUA may, at its discretion, offer employee Complainants amnesty from such policy violations (typically more minor policy violations) related to the incident. Amnesty may also be granted to Respondents and witnesses on a case-by-case basis.

28. Federal Statistical Reporting Obligations

Certain institutional officials – those deemed Campus Security Authorities – have a duty to report the following for federal statistical reporting purposes (Clery Act):

• All “primary crimes,” which include criminal homicide, rape, fondling, incest, statutory rape, robbery, aggravated assault, burglary, motor vehicle theft, and arson
• Hate crimes, which include any bias-motivated primary crime as well as any bias motivated larceny or theft, simple assault, intimidation, or destruction/damage/vandalism of property
• Violence Against Women Act (VAWA-based crimes),which include sexual assault, domestic violence, dating violence, and stalking
• Arrests and referrals for disciplinary action for weapons-related law violations, liquor-related law violations, and drug law violations

All personally identifiable information is kept private, but statistical information must be shared with Public Safety regarding the type of incident and its general location (on or off-campus or in the surrounding area, but no addresses are given) for publication in the Annual Security Report and daily campus crime log.

Campus Security Authorities include: student affairs/student conduct staff, public safety, local police, coaches, athletic directors, residential life staff, student activities staff, human resources staff, advisors to student organizations, and any other official with significant responsibility for student and campus activities.

29. Preservation of Evidence

The preservation of evidence in incidents of sexual assault and stalking is critical to potential criminal prosecution and to obtaining restraining/protective orders, and is particularly time-sensitive. SUA will inform the Complainant of the importance of preserving evidence by taking the following actions such as the following:

Sexual Assault

• Seek forensic medical assistance at a hospital, ideally within 96 hours of the incident (sooner is better).
• Avoid urinating, showering, bathing, washing hands or face, or douching, if possible, but evidence may still be collected even if you do.
• If oral sexual contact took place, refrain from smoking, eating, drinking, or brushing teeth.
• If clothes are changed, place soiled clothes in a paper bag (plastic destroys evidence) or secure evidence container.
• Seeking medical treatment can be essential even if it is not for the purposes of collecting forensic evidence.

Stalking

• Evidence in the form of text and voice messages will be lost in most cases if the Complainant changes their phone number.
  • Make a secondary recording of any voice messages and/or save the audio files to a cloud server.
  • Take screenshots and/or a video recording of any text messages or other electronic messages (e.g., Instagram, Snapchat, Facebook).
• Save copies of e-mail or social media correspondence, including notifications related to account access alerts.
• Take timestamped photographs of any physical evidence including notes, gifts, etc. in place when possible.
• Save copies of any messages, including those showing any request for no further contact.
• Obtain copies of all call logs showing the specific phone number being used rather than a saved contact name if possible.

During the initial meeting between the Complainant and the Title IX Coordinator, the importance of taking these actions will be reiterated, if timely.

BASED ON THE ATIXA 2024 ONE POLICY, ONE PROCEDURE (1P1P) MODEL ©2024 ATIXA. USED WITH PERMISSION.

APPENDIX A: RESOLUTION PROCESS

1.Overview

SUA will act on any notice/complaint of violation of the policy on Equal Opportunity, Harassment, and Nondiscrimination (“the Policy”) that is received by the Title IX Coordinator¹² or any other Official with Authority by applying the following procedures known as the “Resolution Process.”

The procedures below may be used to address collateral misconduct arising from the investigation of or occurring in conjunction with reported misconduct (e.g., vandalism, physical abuse of another). All other allegations of misconduct unrelated to incidents covered by the Policy will be addressed through procedures described in the student, faculty, and/or staff handbooks.

2. Notice/Complaint

Upon receipt of a complaint or notice of an alleged policy violation, the Title IX Coordinator initiates a prompt initial assessment to determine the next steps SUA needs to take. The Title IX Coordinator will contact the Complainant to offer supportive measures and determine whether the Complainant wishes to proceed with a Complaint. This contact with Complainant will include the following information:

• SUA has received a report that the Complainant may have been subjected to sex-based harassment, sexual harassment, or other conduct covered by the Policy.
• A statement that retaliation for filing a complaint or participating in a complaint process, or both, is prohibited.
• Counseling resources within the institution or the community.
• Notice that the Complainant has the right, but not the obligation, to report the matter to law enforcement.
• SUA’s investigation procedures.
• A list of potential supportive measures, such as no-contact directives, housing changes, and academic schedule changes.
• The importance of preserving evidence.
• A request for Complainant to meet with the Title IX Coordinator to discuss options for responding to the report.
• Information on how SUA responds to reports of sexual harassment and a description of potential disciplinary consequences.

The Title IX Coordinator will then generally initiate at least one of three responses:

1. Offer supportive measures (e.g., if the Complainant does not want to file a Complaint)
2. Informal resolution
3. Administrative Resolution Process including an investigation and administrative decision

SUA uses the Administrative Resolution Process described below to determine whether or not its Policy has been violated for complaints that fall within the jurisdiction of Title IX. SUA will promptly implement effective remedies designed to ensure that it is not deliberately indifferent to harassment or discrimination, their potential recurrence, and/or their effects.

If the Title IX Coordinator receives notice from a third party who is not the actual Complainant, the Coordinator will take appropriate steps to address and remedy any potential hostile environment, to the extent possible based on the information received.

3. Initial Assessment

Following receipt of notice or a complaint of an alleged violation of this Policy, the Title IX Coordinator¹³ engages in an initial assessment, typically within one to five business days. The steps in an initial assessment can include:

• The Title IX Coordinator seeks to determine if the person impacted wishes to proceed with a Complaint, and will assist them to do so, if desired.
  • If they do not wish to do so, the Title IX Coordinator determines whether to initiate a complaint because a violence risk assessment indicates a compelling threat to health and/or safety.
• If a Complaint is received, the Title IX Coordinator assesses its sufficiency and works with the Complainant to make sure all necessary information is included in the Complaint.
• The Title IX Coordinator reaches out to the Complainant to offer supportive measures.
• The Title IX Coordinator works with the Complainant to ensure they are aware of the right to have an Advisor.
• The Title IX Coordinator works with the Complainant to determine whether the Complainant prefers a supportive and remedial response, an informal resolution option, or an administrative resolution process.
  • If a supportive and remedial response is preferred, the Title IX Coordinator works with the Complainant to identify their wishes, assesses the request, and implements accordingly. No Administrative Resolution Process is initiated, though the Complainant can elect to initiate one later, if desired.
  • If an Informal Resolution option is preferred, the Title IX Coordinator assesses whether the complaint is suitable for Informal Resolution and may seek to determine if the Respondent is also willing to engage in Informal Resolution.
  • If an Administrative Resolution Process is preferred, the Title IX Coordinator determines if the alleged misconduct falls within the scope of Title IX:
    • If it does, the Title IX Coordinator will initiate the formal investigation and grievance process, directing the investigation to address, based on the nature of the complaint:
      • an incident, and/or
      • a pattern of alleged misconduct, and/or
      • a culture/climate issue, based on the nature of the complaint.
    • If alleged misconduct does not fall within the scope of Title IX, the Title IX Coordinator determines that Title IX does not apply (and may “dismiss” that aspect of the complaint, if any), assesses which policies may apply, which resolution process is applicable, and will refer the matter accordingly. Please note that dismissing a complaint under Title IX is solely a procedural determination under Title IX, and does not limit SUA’s authority to address a complaint with an appropriate process and remedies.

A. Violence Risk Assessment

In some cases, the Title IX Coordinator may determine that a Violence Risk Assessment (VRA) should be conducted as part of the initial assessment. A VRA can aid in ten critical and/or required determinations, including:

1. Emergency removal of a Respondent on the basis of immediate threat to an individual or the community’s physical health/safety
2. Whether the Title IX Coordinator should pursue/sign a Complaint absent a willing/able Complainant
3. Whether the scope of the investigation should include an incident, and/or pattern of misconduct, and/or climate of hostility/harassment
4. To help identify potential predatory conduct
5. To help assess/identify grooming behaviors
6. Whether it is reasonable to try to resolve a complaint through Informal Resolution, and if so, what approach may be most successful
7. Whether to permit a voluntary withdrawal by the Respondent
8. Whether to impose transcript notation or communicate with a transfer Recipient about a Respondent
9. Assessment of appropriate sanctions/remedies (to be applied post-hearing)
10. Whether a Clery Act Timely Warning/Trespass order/Persona-non-grata is needed

Threat assessment is the process of evaluating the actionability of violence by an individual against another person or group following the issuance of a direct or conditional threat. A VRA is a broader term used to assess any potential violence or danger, regardless of the presence of a vague, conditional, or direct threat.

VRAs require specific training and are typically conducted by but not limited to psychologists, clinical counselors, social workers, case managers, law enforcement officers and student conduct officers. Where a VRA is required by the Title IX Coordinator, a Respondent refusing to cooperate may result in a charge of failure to comply within the appropriate student or employee conduct process.

A VRA is not an evaluation for an involuntary behavioral health hospitalization (e.g., 5150 in California), nor is it a psychological or mental health assessment. A VRA assesses the risk of actionable violence, often with a focus on targeted/predatory escalations, and is supported by research from the fields of law enforcement, criminology, human resources, and psychology.

B. Dismissal

SUA may dismiss a Complaint if, at any time during the investigation or resolution process, one or more of the following grounds are met:

1. SUA is unable to identify the Respondent after taking reasonable steps to do so;
2. The Respondent is not participating in SUA’s education program or activity and is not employed by SUA;
3. The Complainant voluntarily withdraws any or all of the allegations in the complaint, the Title IX Coordinator declines to initiate a complaint, and SUA determines that, without the Complainant’s withdrawn allegations, the conduct that remains alleged in the complaint, if any, would not constitute sex discrimination under Title IX even if proven; or
4. SUA determines the conduct alleged in the complaint, even if proven, would not constitute sex discrimination under Title IX. Before dismissing the complaint, SUA will make reasonable efforts to clarify the allegations with the Complainant.

Upon dismissal, SUA will promptly notify the Complainant of the basis for the dismissal. If the dismissal occurs after the Respondent has been notified of the allegations, then SUA 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.

SUA 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 SUA will also notify the Respondent that the dismissal may be appealed.

Dismissals may be appealed on the following bases:

1. Procedural irregularity that would change the outcome;
2. New evidence that would change the outcome and that was not reasonably available when the dismissal was made; and
3. 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.

If the dismissal is appealed, SUA will:

1. Notify the parties of any appeal, including notice of the allegations, if notice was not previously provided to the Respondent;
2. Implement appeal procedures equally for the parties;
3. Ensure that the decisionmaker for the appeal did not take part in an investigation of the allegations or dismissal of the complaint;
4. Ensure that the decisionmaker for the appeal has been trained consistent with the Title IX regulations;
5. Provide the parties a reasonable and equal opportunity to make a statement in support of, or challenging, the outcome; and
6. Notify the parties of the result of the appeal and the rationale for the result.

When a complaint is dismissed, SUA will, at a minimum:

1. Offer supportive measures to the Complainant as appropriate;
2. If the Respondent has been notified of the allegations, offer supportive measures to the Respondent as appropriate; and
3. Take other prompt and effective steps, as appropriate, through the Title IX Coordinator to ensure that sex discrimination does not continue or recur within SUA’s education program or activity.

4. Counterclaims

SUA is obligated to ensure that the grievance process is not abused for retaliatory purposes, thus counterclaims made with retaliatory intent will not be permitted. SUA permits the filing of counterclaims but uses an initial assessment, described above, to assess whether the allegations in the counterclaim are made in good faith.

Counterclaims determined to have been reported in good faith will be processed using the grievance procedures below. Investigation of such claims may take place after resolution of the underlying complaint, in which case a delay may occur.

Counterclaims may also be resolved through the same investigation as the underlying complaint, at the discretion of the Title IX Coordinator. When counterclaims are not made in good faith, they will be considered retaliatory and may constitute a violation of this policy.

5. Right to an Advisor

The parties may each have an Advisor¹⁴ of their choice present with them for all meetings, interviews, and hearings within the resolution process, if they so choose. The parties may select whoever they wish to serve as their Advisor as long as the Advisor is eligible and available.¹⁵

Choosing an Advisor who is also a witness in the process creates potential for bias and conflict-of-interest. A party who chooses an Advisor who is also a witness can anticipate that issues of potential bias will be explored by the hearing Decision-maker(s).

A. Who Can Serve as an Advisor

The Advisor may be a friend, mentor, family member, attorney, or any other individual a party chooses to advise, support, and/or consult with them throughout the resolution process. The parties may choose Advisors from inside or outside of the SUA community.

The Title IX Coordinator will also offer to assign a trained Advisor for any party if the party so chooses. If the parties choose an Advisor offered by SUA, the Advisor will be trained by SUA and be familiar with SUA’s resolution process. SUA may use the services of one or more external sources for an Advisor, such as external dispute resolution service provider JAMS.

If the parties choose an Advisor outside of those identified by SUA, the Advisor may not have been trained by SUA and may not be familiar with SUA policies and procedures.

Parties also have the right to choose not to have an Advisor in the initial stages of the resolution process, prior to a hearing.

B. Advisor’s Role in Meetings and Interviews

The parties may be accompanied by their Advisor in all meetings and interviews at which the party is entitled to be present, including intake and interviews. Advisors should help the parties prepare for each meeting and are expected to advise ethically, with integrity, and in good faith.

SUA cannot guarantee equal Advisory rights, meaning that if one party selects an Advisor who is an attorney, but the other party does not or cannot afford an attorney, SUA is not obligated to provide an attorney.

C. Advisor's Role in Questioning

Under the Title IX regulations, a form of indirect questioning is required during the process, but must be conducted by the parties’ Advisors. The parties are not permitted to directly question each other or any witnesses. If a party does not have an Advisor, SUA will appoint a trained Advisor for the limited purpose of conducting any questioning of the other party and witnesses.

A party may reject this appointment and choose their own Advisor, but they may not proceed without an Advisor. If the party’s Advisor will not conduct questioning, SUA may appoint an Advisor who will do so thoroughly, regardless of the participation or non-participation of the advised party in the hearing itself. Extensive questioning of the parties and witnesses may also be conducted by the Decision-maker(s) during the hearing.

D. Pre-Interview Meetings

Advisors and their advisees may request to meet with the investigator(s) conducting interviews/meetings in advance of these interviews or meetings. This pre-meeting allows Advisors to clarify and understand their role and SUA’s policies and procedures.

E. Advisor Violations of SUA Policy

All Advisors are subject to the same SUA policies and procedures, whether they are attorneys or not, and whether they are selected by a party or assigned by SUA. Advisors are expected to advise their advisees without disrupting proceedings. Advisors should not address SUA officials or investigators in a meeting or interview unless invited to do so (e.g., asking procedural questions). The Advisor may not make a presentation or represent their advisee during any meeting or proceeding and may not speak on behalf of the advisee to the Investigator(s) or other Decision-maker(s), except during a hearing proceeding, during questioning.

The parties are expected to ask and respond to questions on their own behalf throughout the investigation phase of the resolution process. Although the Advisor generally may not speak on behalf of their advisee, the Advisor may consult with their advisee, either privately as needed, or by conferring or passing notes during any resolution process meeting or interview. For longer or more involved discussions, the parties and their Advisors should ask for breaks to allow for private consultation.

Any Advisor who oversteps their role as defined by this Policy, or who refuses to comply with the SUA’s established rules of decorum for the hearing, will be warned. If the Advisor continues to disrupt or otherwise fails to respect the limits of the Advisor role, the meeting/interview/hearing may be ended, or other appropriate measures implemented, including SUA requiring the party to use a different Advisor or providing a different SUA-appointed Advisor. Subsequently, the Title IX Coordinator will determine how to address the Advisor’s non-compliance and future role.

F. Sharing Information with the Advisor

SUA expects that the parties may wish to have SUA share documentation and evidence related to the allegations with their Advisors. Parties may share this information directly with their Advisor or other individuals if they wish. Doing so may help the parties participate more meaningfully in the resolution process.

SUA provides a consent form that authorizes SUA to share such information directly with their Advisor. The parties must either complete and submit this form to the Title IX Coordinator or provide similar documentation demonstrating consent to a release of information to the Advisor before SUA is able to share records with an Advisor.

If a party requests that all communication be made through their attorney Advisor, SUA will comply with that request at the discretion of the Title IX Coordinator.

G. Privacy of Records Shared with Advisor

Advisors are expected to maintain the privacy of the records shared with them. These records may not be shared with third parties, disclosed publicly, or used for purposes not explicitly authorized by SUA. SUA may seek to restrict the role of any Advisor who does not respect the sensitive nature of the process or who fails to abide by SUA’s privacy expectations.

H. Expectations of an Advisor

SUA generally expects an Advisor to adjust their schedule to allow them to attend SUA meetings, interviews, or hearings when planned, but may change scheduled meetings, interviews, or hearings to accommodate an Advisor’s inability to attend, if doing so does not cause an unreasonable delay. SUA may also make reasonable provisions to allow an Advisor who cannot be present in person to attend a meeting, interview, or hearing by telephone, video conferencing, or other similar technologies as may be convenient and available.

I. Expectations of the Parties with Respect to Advisors

A party may elect to change Advisors during the process and is not obligated to use the same Advisor throughout. The parties are expected to inform the Investigator(s) of the identity of their Advisor at least two (2) business days before the date of their first meeting with Investigators (or as soon as possible if a more expeditious meeting is necessary or desired).

The parties are expected to provide timely notice to the Title IX Coordinator if they change Advisors at any time. It is assumed that if a party changes Advisors, consent to share information with the previous Advisor is terminated, and a release for the new Advisor must be secured. Parties are expected to inform the Title IX Coordinator of the identity of their hearing Advisor at least two (2) business days before the hearing.

J. Assistance in Securing an Advisor

For representation, Respondents may wish to contact organizations such as:

• FACE (http://www.facecampusequality.org)
• SAVE (http://www.saveservices.org).

Complainants may wish to contact organizations such as:

• The Victim Rights Law Center (http://www.victimrights.org),
• The National Center for Victims of Crime (http://www.victimsofcrime.org), which maintains the Crime Victim’s Bar Association.
• The Time’s Up Legal Defense Fund: https://nwlc.org/times-up-legal-defense-fund/

6. Resolution Proceedings

Resolution proceedings are private. All persons present at any time during the resolution process are expected to maintain the privacy of the proceedings in accordance with SUA policy. Although there is an expectation of privacy around what investigators share with the parties, the parties have discretion to share their own knowledge and evidence with others if they so choose, except for information the parties agree not to disclose as part of an Informal Resolution. SUA encourages parties to discuss any sharing of information with their Advisors before doing so.

A. Informal Resolution

Three options for Informal Resolution are detailed in this section.

• Supportive Resolution. When the Title IX Coordinator can resolve the matter informally by providing supportive measures (only) to remedy the situation.
• Alternative Resolution. When the parties agree to resolve the matter through an alternate resolution mechanism as described below, including mediation, restorative practices, facilitated dialogue, etc., usually before a formal investigation takes place; see discussion in 6.B., below.
• Accepted Responsibility. When the Respondent accepts responsibility for violating policy, and desires to accept the recommended sanction(s) and end the resolution process (similar to above, but usually occurs post-investigation); see discussion in 6.C., below.

To initiate Informal Resolution, a Complainant needs to submit a Complaint, as discussed above. A Respondent who wishes to initiate Informal Resolution should contact the Title IX Coordinator. The parties may agree, as a condition of engaging in Informal Resolution, that statements made, or evidence shared, during the Informal Resolution process will not be considered in any Administrative Resolution Process unless all parties consent.

It is not necessary to pursue Informal Resolution first in order to pursue an Administrative Resolution Process, and any party participating in Informal Resolution can stop the process at any time and begin or resume the Administrative Resolution Process. The Title IX Coordinator has discretion to determine if an investigation will be paused during Informal Resolution, or if it will be limited, or will continue during the Informal Resolution process.

Prior to implementing Informal Resolution, SUA will provide the parties with written notice of the reported misconduct and any sanctions or measures that may result from participating in such a process, including information regarding any records that will be maintained or shared by SUA.

SUA will obtain voluntary, written confirmation that all parties wish to resolve the matter through Informal Resolution before proceeding and will not pressure the parties to participate in Informal Resolution.

B. Alternate Resolution

Alternate Resolution is an informal approach, including mediation or restorative practices, etc. by which the parties reach a mutually agreed upon resolution of a complaint. All parties must consent to the use of an Alternate Resolution approach.

The Title IX Coordinator may look to the following factors to assess whether Alternate Resolution is appropriate, or which form of Alternate Resolution may be most successful for the parties:

• The parties’ amenability to Alternate Resolution
• Likelihood of potential resolution, considering any power dynamics between the parties
• The nature and severity of the alleged misconduct
• The parties’ motivation to participate
• Civility of the parties
• Results of a violence risk assessment/ongoing risk analysis
• Disciplinary history of the Respondent
• Whether an emergency removal is needed
• Skill of the Alternate Resolution facilitator with this type of complaint
• Complaint complexity
• Emotional investment/capability of the parties
• Rationality of the parties
• Goals of the parties
• Adequate resources to invest in Alternate Resolution (time, staff, etc.)

The ultimate determination of whether Alternate Resolution is available or successful is to be made by the Title IX Coordinator. The Title IX Coordinator is authorized to facilitate a resolution that is acceptable to all parties, and/or to accept a resolution that is proposed by the parties, usually through their Advisors, including terms of confidentiality, release, and non-disparagement.

The Title IX Coordinator maintains records of any resolution that is reached, and failure to abide by the resolution agreement may result in appropriate responsive/disciplinary actions (e.g., referral for formal resolution, referral to the conduct process for failure to comply). Results of complaints resolved by Informal Resolution or Alternate Resolution are not appealable.

C. Respondent Accepts Responsibility for Alleged Violations

The Respondent may accept responsibility for all or part of the alleged policy violations at any point during the resolution process. If the Respondent indicates an intent to accept responsibility for all of the alleged misconduct, the formal process will be paused, and the Title IX Coordinator will determine whether Informal Resolution can be used according to the criteria above.

If Informal Resolution is applicable, the Title IX Coordinator will determine whether all parties and SUA are able to agree on responsibility, restrictions, and/or remedies. If so, the Title IX Coordinator implements the accepted finding that the Respondent is in violation of SUA policy and implements agreed-upon restrictions and/or remedies, and determines the appropriate sanctions(s) in coordination with other appropriate administrator(s), as necessary.

This result is not subject to appeal once all parties indicate their written assent to all agreed upon resolution terms. When the parties cannot agree on all resolution terms, the Formal Grievance Process will resume at the same point where it was paused.

When a resolution is accomplished, the appropriate sanction or responsive actions are promptly implemented to effectively stop the harassment or discrimination, prevent its recurrence, and remedy the effects of the discriminatory conduct, both on the Complainant and the community.

D. Negotiated Resolution

The Title IX Coordinator, with the consent of the parties, may negotiate and implement an agreement to resolve the allegations that satisfies all parties and SUA. Negotiated Resolutions are not appealable.

7. Administrative Resolution Process

The Administrative Resolution Process is used for all Complaints of discrimination on the basis of protected characteristics, harassment, retaliation, and other prohibited behaviors (as defined in Policy) when another process is inapplicable or unsuccessful, e.g., when Informal Resolution is either not elected or is unsuccessful.

The Administrative Resolution Process consists of an investigation, followed by the hand-off of an investigation report and relevant evidence to the Decision-maker to make findings and determine sanctions (if applicable). As discussed below, in some instances, the Investigator and Decision-maker may be the same person, and may include the Title IX Coordinator in one or both roles.

At the discretion of Title IX Coordinator, the assigned Decision-maker will be a trained individual or individuals either internal or external to the institution. Once the Decision-maker receives and reviews the file, they can recommend dismissal to the Title IX Coordinator, if they believe the grounds are met.

SUA may use the services of one or more external dispute resolution services, such as JAMS, to carry out the process, or to carry out various duties under the process, including conducting an investigation, acting as Decision-maker, or in addressing any appeal. If SUA uses the services of an external dispute resolution service, the individuals involved will be trained in SUA policies and procedures. References to administrators in this policy include individuals who are associated with such external dispute resolution services who serve in such roles.

A. Administrator Roles

Administrators are trained annually and can serve in the following roles, at the direction of the Title IX Coordinator:

• To provide appropriate intake of and initial guidance pertaining to complaints
• To act as an Advisor to the parties
• To serve in a facilitation role in Informal Resolution or Alternate Resolution if appropriately trained in appropriate resolution approaches (e.g., mediation, restorative practices, facilitated dialogue)
• To perform or assist with initial assessment
• To serve as a hearing facilitator (process administrator, no decision-making role)
• To investigate complaints
• To serve as a Decision-maker regarding the complaint
• To serve as an Appeal Decision-maker

B. Administrator Training

Administrators receive comprehensive, trauma-informed annual training based on their respective roles. This training includes, but is not limited to:

• The scope of SUA’s Equal Opportunity, Harassment and Nondiscrimination Policy
• How to conduct investigations and review processes that protect the safety of Complainants and Respondents, and promote accountability
• Implicit bias and racial inequities, both broadly and in school disciplinary processes
• Disparate treatment
• Reporting, confidentiality, and privacy requirements
• Applicable laws, regulations, and federal regulatory guidance
• How to implement appropriate and situation-specific remedies
• How to investigate in a thorough, reliable, timely and impartial manner
• How to conduct a sex-based harassment and/or sexual harassment investigation
• Trauma-informed investigatory and hearing practices that help ensure an impartial and equitable process
• How to uphold fairness, equity, and due process
• How to weigh evidence
• How to conduct questioning
• How to assess credibility
• Impartiality and objectivity
• How to render findings and generate clear, concise, evidence-based rationales
• The definitions of all offenses
• How to apply definitions used by SUA with respect to consent (or the absence or negation of consent) consistently, impartially, and in accordance with policy
• How to conduct an investigation and grievance process including appeals and informal resolution processes
• How to serve impartially by avoiding prejudgment of the facts at issue, conflicts of interest, and bias against Respondents and/or Complainants, and on the basis of sex, race, religious, and other protected characteristics
• Any technology to be used during the process
• Issues of relevance of questions and evidence
• Issues of relevance to create an investigation report that fairly summarizes relevant evidence
• How to determine appropriate sanctions in reference to all forms of harassment, discrimination, and/or retaliation allegations
• Recordkeeping
• Statistics on the prevalence of sexual harassment and sexual violence in the educational setting, and the differing rates at which students experience sexual harassment and sexual assault in the educational setting based on their race, sexual orientation, disability, gender, and gender identity.

Specific training is also provided for Decision-makers, Appeal Decision-makers, intake personnel, Advisors (only those who are SUA employees), Chairs, and other SUA employees responsible for carrying out the procedures of this Policy. The materials used to train administrators are publicly posted.

8. Administrative Resolution Process: Notice of Investigation and Allegations

The Title IX Coordinator will provide written notice of the investigation and allegations (the “NOIA”) to the Respondent upon commencement of the Administrative Resolution Process. This facilitates the Respondent’s ability to prepare for the interview and to identify and choose an Advisor to accompany them. The NOIA is also copied to the Complainant, who is to be given advance notice of when the NOIA will be delivered to the Respondent.

The NOIA will include:

• A meaningful summary of all of allegations
• The identity of the involved parties (if known)
• The precise misconduct being alleged
• The date and location of the alleged incident(s) (if known)
• The specific policies implicated
• A description of the applicable procedures
• A statement of the potential sanctions/responsive actions that could result
• A statement that SUA presumes the Respondent is not responsible for the reported misconduct unless and until the evidence supports a different determination
• A statement that the investigation and hearing are not adversarial processes between Complainant(s), Respondent(s), and witnesses, but rather a process SUA uses to comply with its obligations under existing law
• A statement that the Complainant does not have the burden to prove, nor does the Respondent have a burden to disprove, the underlying allegations(s) of misconduct. It is SUA’s burden to gather and present evidence regarding the claims at issue
• A statement that any evidence available but not disclosed during the investigation might not be considered at a subsequent hearing if intentionally withheld
• A statement that determinations of responsibility are made at the conclusion of the process and that the parties will be given an opportunity during the review and comment period to inspect and review all relevant evidence obtained during the review and comment period
• A statement about SUA’s policy on retaliation
• Information about the confidentiality of the process
• Information on the options for each party to have an Advisor of their choosing and suggestions for ways to identify an Advisor
• A statement informing the parties that SUA’s policy prohibits knowingly making false statements, including knowingly submitting false information during the resolution process
• Detail on how the party may request disability accommodations during the resolution process
• Notice to student parties regarding appropriate counseling resources developed and maintained by the institution
• A copy of this Policy and/or other information relevant to alleged sexual harassment
• The name(s) of the Investigator(s), along with a process to identify, in advance of the interview process, to the Title IX Coordinator any conflict of interest that the Investigator(s) may have
• An instruction to preserve any evidence that is directly related to the allegations

Amendments and updates to the NOIA may be made as the investigation progresses and more information becomes available regarding the addition or dismissal of various allegations.

Notice will be made in writing and may be delivered by one or more of the following methods: in person, mailed to the local or permanent address(es) of the parties as indicated in official SUA records, or emailed to the parties’ SUA-issued email or designated accounts. Once mailed, emailed, and/or received in-person, notice will be presumptively delivered.

9. Resolution Timeline

SUA will make a good faith effort to complete the resolution process within a sixty-to-ninety (60-90) business day time period, including appeal, if any, which can be extended as necessary for good cause by the Title IX Coordinator, who will provide written notice and rationale for any extensions or delays to the parties as appropriate, as well as an estimate of how much additional time will be needed to complete the process.

SUA will not unreasonably deny a student party’s request for an extension of a deadline related to a complaint during periods of examinations or school closures.

10. Commencing the Investigation

Once the decision to commence an investigation is made, the Title IX Coordinator and/or his or her designee appoints the investigator(s), usually within two (2) business days of determining that an investigation should proceed. Investigators may include the Title IX Coordinator, Deputy Title IX Coordinator, Director of Student Services, Executive Vice President for University Community, an external investigator, and/or one or more other individuals designated by the Title IX Coordinator.

11. Ensuring Impartiality

Any individual materially involved in the administration of the resolution process including the Title IX Coordinator, Investigator(s), and Decision-maker(s) may neither have nor demonstrate a conflict of interest or bias for a party generally, or for a specific Complainant or Respondent.

The Title IX Coordinator will ensure impartiality by ensuring there are no actual or apparent conflicts of interest or disqualifying biases. The parties may, at any time during the resolution process, raise a concern regarding bias or conflict of interest, and the Title IX Coordinator will determine whether the concern is reasonable and supportable. If so, the Title IX Coordinator will assign another trained administrator. If the source of the conflict of interest or bias is the Title IX Coordinator, concerns should be raised with the University President.

The Resolution Process involves an objective evaluation of all available relevant and not otherwise impermissible evidence obtained, including evidence that supports that the Respondent engaged in a policy violation and evidence that supports that the Respondent did not engage in a policy violation. Credibility determinations may not be based solely on an individual’s status or participation as a Complainant, Respondent, or witness. All parties have a full and fair opportunity, through the investigation process, to suggest witnesses and questions, to provide evidence, and to receive a written investigation report that accurately summarizes this evidence.

SUA operates with the presumption that the Respondent is not responsible for the reported misconduct unless and until the Respondent is determined to be responsible for a policy violation by the applicable standard of proof.

12. Investigation Timeline

Investigations should be completed expeditiously, normally within sixty (60) business days, though some investigations may take many weeks or even months, depending on the nature, extent, and complexity of the allegations, availability of witnesses, law enforcement involvement, etc. SUA will make a good faith effort to complete investigations as promptly as circumstances permit and will communicate regularly with the parties to update them on the progress and timing of the investigation.

13. Delays in the Investigation Process and Interactions with Law Enforcement

SUA may undertake a short delay in its investigation (several days to a few weeks) if circumstances require. Such circumstances include, but are not limited to: a request from law enforcement to temporarily delay the investigation, the need for language assistance, the absence of parties and/or witnesses, and/or health conditions.

SUA will communicate in writing the anticipated duration of the delay and reason to the parties, and provide the parties with status updates if necessary. SUA will promptly resume its investigation and resolution process as soon as feasible. During such a delay, SUA will implement supportive measures as deemed appropriate.

SUA action(s) or processes are not typically altered or precluded on the grounds that civil or criminal charges involving the underlying incident(s) have been filed or that criminal charges have been dismissed or reduced.

14. Steps in the Investigation Process

All investigations should be thorough, reliable, trauma-informed, impartial, prompt, and fair. Investigations involve interviews with all available relevant parties and witnesses; obtaining available, relevant evidence; and identifying sources of expert information, as necessary.

All parties have a full and fair opportunity, through the investigation process, to suggest witnesses and questions, to provide evidence and expert witnesses, and to fully review and respond to all evidence on the record.

At the discretion of the Title IX Coordinator, investigations can be combined when complaints implicate a pattern, collusion, and/or other shared or similar actions.

The Investigator(s) typically take(s) the following steps, if not already completed earlier in the process (and not necessarily in this order):

• Determine the identity and contact information of the Complainant
• Identify all policies implicated by the alleged misconduct and notify the Complainant and Respondent of all of the specific policies implicated
• Assist the Title IX Coordinator, if needed, with conducting a prompt initial assessment to determine if the allegations indicate a potential policy violation
• Commence a thorough, reliable, and impartial investigation by identifying issues and developing a strategic investigation plan, including a witness list, evidence list, intended investigation timeframe, and order of interviews for the parties and witnesses
• Meet with the Complainant to finalize their interview/statement, if necessary
• Work with the Title IX Coordinator, as necessary, to prepare the initial Notice of Investigation and Allegations (NOIA). Notice should inform the parties of their right to have the assistance of an Advisor. The NOIA may be amended with any additional or dismissed allegations
• Provide each interviewed party and witness an opportunity to review and verify the Investigator’s summary notes (or audio, video, or transcript) of the relevant evidence/testimony from their respective interviews and meetings
• Make good faith efforts to notify each party of any meeting or interview involving another party, in advance when possible
• When participation of a party is expected, provide that party with written notice of the date, time, and location of the meeting, as well as the expected participants and purpose
• Interview all available, relevant witnesses and conduct follow-up interviews as necessary
• Allow each party the opportunity to suggest witnesses and questions they wish the Investigator(s) to ask of another party and/or witnesses, and document in the report which questions were asked, with a rationale for any changes or omissions
• Complete the investigation promptly and without unreasonable deviation from the intended timeline
• Provide regular status updates to the parties throughout the investigation
• Prior to the conclusion of the investigation, provide the parties and their respective Advisors (if so desired by the parties) with a list of witnesses whose information will be used to render a finding
• Write a comprehensive investigation report fully summarizing the investigation, all witness interviews, and addressing all relevant evidence. Appendices including relevant physical or documentary evidence will be included
• Gather, assess, and synthesize evidence, but make no conclusions, engage in no policy analysis, and render no recommendations as part of their report
• Prior to the conclusion of the investigation, provide the parties and their respective Advisors (if so desired by the parties) a secured electronic or hard copy of the draft investigation report as well as an accurate description or summary of the relevant evidence, with an option to request access to the relevant evidence, for a ten (10) business-day review and comment period so that each party may meaningfully respond to the evidence. The parties may elect to waive the full ten (10) days. Each copy of the materials may be watermarked on each page with the role of the person receiving it (e.g., Complainant, Respondent, Complainant’s Advisor, Respondent’s Advisor)
• Elect to respond in writing in the investigation report to the parties’ submitted responses and/or to share the responses between the parties for additional responses
• Incorporate relevant elements of the parties’ written responses into the investigation report, include any additional relevant evidence, make any necessary revisions. The Investigator(s) should document all rationales for any changes made after the review and comment period
• Share the report with the Title IX Coordinator for review and feedback
• Incorporate any relevant feedback, and share the report with all parties and their Advisors through secure electronic transmission or hard copy at least ten (10) business days prior to any Decision-maker meeting. The parties and Advisors are also provided with a file of the relevant evidence.
• At the conclusion of the investigation, the investigation report and file will be provided to the Decision-maker, who will proceed with the decision-making process, discussed below

15. Role and Participation of Witnesses in the Investigation

Witnesses (as distinguished from parties) who are employees of SUA are strongly encouraged to cooperate with and participate in SUA’s investigation and resolution process. Student witnesses and witnesses from outside the SUA community are encouraged to cooperate with SUA investigations and to share what they know about a complaint.

Although in-person interviews for parties and all potential witnesses are preferable, circumstances (e.g., study abroad, summer break) may require individuals to be interviewed remotely. Skype, Zoom, Microsoft Teams, FaceTime, WebEx, or similar technologies may be used for interviews if the Investigator(s) determine that timeliness, efficiency, or other reasons dictate a need for remote interviewing. SUA will take appropriate steps to reasonably ensure the security/privacy of remote interviews.

Witnesses may also provide written statements in lieu of interviews or choose to respond to written questions, if deemed appropriate by the Investigator(s), though not preferred.

16. Recording of Interviews

For complaints of sex-based harassment involving a student party that are subject to the Administrative Resolution Process (e.g., other than Informal Resolution meetings), meetings with an investigator or Decision-maker to question parties and witnesses to adequately assess a party’s or witness’s credibility, when credibility is in dispute and relevant, should be recorded pursuant to federal law.

In such cases, the parties will be provided with an audio or audiovisual recording or transcript with enough time for the party to have a reasonable opportunity to propose follow-up questions. No unauthorized audio or video recording of any kind is permitted during investigation meetings. If an Investigator(s) elects to audio and/or video record any interviews, all involved individuals should be made aware of audio and/or video recording.

17. Evidentiary Considerations in the Investigation

Neither the Investigator nor any Decision-maker will consider: 1) incidents not relevant or not directly related to the possible violation, unless they evidence a pattern, or 2) questions and evidence about the Complainant’s sexual predisposition, or (3) questions and evidence about the Complainant’s prior or subsequent sexual behavior, 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 or subsequent sexual behavior with respect to the Respondent and are offered to prove consent.

Within the boundaries stated above, the investigation and the hearing can consider character evidence generally, if offered, but that evidence is unlikely to be relevant unless it is fact evidence or relates to a pattern of conduct.

18. Referral to Decision-maker

After the investigation report is completed, the Title IX Coordinator will refer the case to a Decision-maker for further proceedings and a determination.

The Title IX Coordinator will select an appropriate Decision-maker or Decision-makers. The Title IX Coordinator may select as a Decision-maker the investigator who conducted the investigation. The decision will take into account the availability of individuals on the Title IX Team, the nature of the claim(s), and the input of the Parties.

In matters between students, or when the student is the Respondent, the Decision-maker will generally be a different person than the investigator.

In matters between faculty and/or staff, or when the Respondent is a member of faculty and/or staff, the Decision-maker will generally be the investigator who conducted the investigation.

Allegations involving student-employees in the context of their employment will be directed to the appropriate Decision-maker depending on the context and nature of the alleged misconduct.

SUA may use the services of one or more external dispute resolution services, such as JAMS, to serve as Decision-maker or Decision-makers, and/or to serve in any other roles under this policy.

After being selected, the Decision-maker will conduct any necessary meetings with the Parties to assist in rendering a decision. The Decision-maker may have the investigator conduct follow-up questioning in investigator-led questioning meetings, or engage in questioning the Parties directly, as discussed below.

Investigator-led Questioning Meetings

• The Title IX Coordinator generally provides the draft Investigation Report to the Decision-maker and the Parties simultaneously for review. The Decision-maker can then provide the Investigator with a list of relevant questions to ask the Parties or any witnesses.
  • To the extent credibility is in dispute and relevant to one or more of the allegations, the questions provided by the Decision-maker may also explore credibility.
• The Investigator will also ask each of the Parties to provide a proposed list of questions to ask the other Parties and any witnesses.
  • To the extent credibility is in dispute and relevant to one or more of the allegations, questions proposed by the Parties may also explore credibility.
  • All party questions must be posed during this phase of the process and cannot be posed later unless authorized by the Decision-maker.
  • The Investigator will share all party-proposed questions with the Decision-maker, who will finalize the list with the Investigator to ensure all questions are both relevant and permissible.
• The Investigator will then hold individual meetings with the Parties and witnesses to ask the questions posed by the Decision-maker, as well as the questions proposed by the Parties that have been deemed relevant and not duplicative, including questions intended to assess credibility. For complaints involving a student party, these meetings will be recorded and/or transcribed.
  • For any question deemed not relevant or duplicative, the Investigator will provide a rationale for not asking the question, either during the meeting, or in writing (typically as an Appendix to the report).
• Typically, within three (3) business days of the last of these meetings, summaries, recordings or transcripts of them, as appropriate, will be provided to the Parties for their review. The Parties will then have five (5) business days to review the summaries, recordings or transcripts, and propose follow-up questions to be asked by the Investigator.
• The Investigator will review the proposed questions with the Decision-maker, to determine relevance and permissibility. If deemed necessary, the Investigator will then meet individually with the Parties or witnesses for whom there are relevant, and not duplicative, follow-up questions. For complaints involving a student party, these follow-up meetings will also be recorded, and the Parties will receive the recordings or transcripts of these meetings. This final round of questioning is the last such round permitted, unless leave is granted to extend, by the Decision-maker.
• The Investigator will then incorporate any new, relevant evidence and information obtained through the Parties’ review of the Draft Investigation Report, the questioning, and follow-up meetings into a Final Investigation Report.
• The Investigator will also respond in writing (typically within the final Investigation Report) to the relevant elements of the Parties’ responses to the draft Investigation Report and incorporate relevant elements of the Parties’ written responses, additional relevant evidence, and any necessary revisions into the final Investigation Report.
• The Investigator will then share the investigation report with the Title IX Coordinator and/or legal counsel for their review and feedback.
• The Final Investigation Report and investigation file will then be provided to the Title IX Coordinator.

The Decision-maker’s Determination

• The Title IX Coordinator will provide the Decision-maker with the Final Investigation Report and investigation file, including the evidence and information obtained through any Investigator-led Questioning meetings.
• The Decision-maker will review the investigation report, all appendices, and the investigation file.
• If the record is incomplete, the Decision-maker may direct a re-opening of the investigation, or may direct or conduct any additional inquiry necessary, including informally meeting with the Parties or any witnesses, if needed.
• Upon reviewing the relevant evidence, the Decision-maker may also choose to pose additional questions:
  • To the extent credibility is in dispute and relevant to one or more of the allegations, the Decision-maker may meet individually with the Parties and witnesses to question them in order to assess their credibility. For complaints involving a student party, these meetings will be recorded and/or transcribed and shared with the Parties.
  • At their discretion, the Decision-maker may also meet with any party or witness to ask additional relevant questions that will aid the Decision-maker in making their findings. For complaints involving a student party, these meetings will be recorded and/or transcribed and shared with the Parties.
• The Decision-maker will then apply the preponderance of the evidence standard to make a determination on each of the allegations and, if applicable, any attendant sanctions.
• Timeline. The Decision-maker’s determination process typically takes approximately ten (10) business days, but this timeframe can vary based on a number of factors and variables. The Parties should be notified in writing of any delays.
• Impact Statements. Prior to a determination, the Title IX Coordinator will also provide the Parties an opportunity to submit a written impact and/or mitigation statement. The Title IX Coordinator will review these statements upon receipt to determine whether there are any immediate needs, issues, or concerns, but will otherwise hold them until after the Decision-maker has made determinations on the allegations. If there are any findings of a Policy violation, the Decision-maker will request the Impact Statements from the Title IX Coordinator and review them prior to finalizing sanctions in coordination with the Title IX Coordinator. They will also be exchanged between the Parties at that time.

If it is later determined that a party or witness intentionally provided false or misleading information, that action could be grounds for re-opening a Resolution Process at any time, and/or referring that information to another process for resolution.

19. Notice of Outcome

Within ten (10) business days of the conclusion of the Administrative Resolution Process, the Title IX Coordinator provides the Parties with a written outcome notification. The outcome notification will specify the finding for each alleged Policy violation, any applicable sanctions that SUA is permitted to share pursuant to state or federal law, and a detailed rationale, written by the Decision-maker, supporting the findings to the extent the Recipient is permitted to share under federal or state law.

The notification will also detail the Parties’ equal rights to appeal, the grounds for appeal, the steps to take to request an appeal, and when the determination is considered final if neither party appeals.

The Administrator will provide the Parties with the outcome notification simultaneously, or without significant time delay between notifications. The written outcome notification may be delivered by one or more of the following methods: in person, mailed to the local or permanent address of the Parties as indicated in official Recipient records, or emailed to the Parties’ SUA-issued or designated email account. Once mailed, emailed, and/or received in person, the outcome notification is presumptively delivered.

20. Sanctions

Factors considered when determining a sanction/responsive action may include, but are not limited to:

• The nature, severity of, and circumstances surrounding the violation(s)
• The Respondent’s disciplinary history
• The need for sanctions/responsive actions to bring an end to the discrimination, harassment, and/or retaliation
• The need for sanctions/responsive actions to prevent the future recurrence of discrimination, harassment, and/or retaliation
• The need to remedy the effects of the discrimination, harassment, and/or retaliation on the Complainant and the community
• The impact on the parties
• Any other information deemed relevant by the Decision-maker(s)

The sanctions will be implemented as soon as is feasible, either upon the outcome of any appeal or the expiration of the window to appeal without an appeal being requested.

The sanctions described in this Policy are not exclusive of, and may be in addition to, other actions taken or sanctions imposed by external authorities. If it is later determined that a party or witness intentionally provided false or misleading information, that action could be grounds for re-opening a grievance process at any time, and/or referring that information to another process for resolution.

A. Student Sanctions

The following are common sanctions¹⁶ that may be imposed upon students or organizations singly or in combination:

• Warning: A formal statement that the conduct was unacceptable and a warning that further violation of any SUA policy, procedure, or directive will result in more severe sanctions/responsive actions.
• Required Counseling: A mandate to meet with and engage in either SUA-sponsored or external counseling to better comprehend the misconduct and its effects.
• Probation: A written reprimand for violation of institutional policy, providing for more severe disciplinary sanctions in the event that the student or organization is found in violation of any institutional policy, procedure, or directive within a specified period of time. Terms of the probation will be articulated and may include denial of specified social privileges, exclusion from co-curricular activities, exclusion from designated areas of campus, no-contact orders, and/or other measures deemed appropriate.
• Suspension: Termination of student status for a definite period of time not to exceed two years and/or until specific criteria are met. Students who return from suspension are automatically placed on probation through the remainder of their tenure as a student at SUA.
• Expulsion: Permanent termination of student status and revocation of rights to be on campus for any reason or to attend SUA-sponsored events. This sanction will be noted permanently as a Conduct Expulsion on the student’s official transcript, subject to any applicable expungement policies.
• Withholding Diploma: SUA may withhold a student’s diploma for a specified period of time and/or deny a student participation in commencement activities as a sanction if the student is found responsible for violating policy.
• Revocation of Degree: SUA reserves the right to revoke a degree previously awarded from SUA for fraud, misrepresentation, and/or other violation of SUA policies, procedures, or directives in obtaining the degree, or for other serious violations committed by a student prior to graduation.
• Other Actions: In addition to or in place of the above sanctions, SUA may assign any other sanctions as deemed appropriate.

B. Student Group and Organization Sanctions

The following are the common sanctions that may be imposed upon student organizations singly or in combination in appropriate situations, e.g., if an individual is charged for violating the Policy relating to their role in organization misconduct:

• Warning: A formal statement that the conduct was unacceptable and a warning that further violation of any SUA Policy, procedure, or directive will result in more severe sanctions/responsive actions.
• Probation: An official sanction for violation of institutional Policy, providing for more severe disciplinary sanctions in the event that the group or organization is found in violation of any institutional Policy, procedure, or directive within a specified period of time. Terms of the probation will be articulated and may include denial of specified social and event privileges, denial of SUA funds, ineligibility for honors and awards, restrictions on new member recruitment, no-contact orders, and/or other measures deemed appropriate.
• Suspension: Termination of student group or organization recognition and/or institutional support for a definite period of time not to exceed two years and/or until specific criteria are met. During the suspension period, a student group or organization may not conduct any formal or informal business or participate in SUA-related activities, whether they occur on- or off-campus. Re-recognition is possible but not guaranteed and will only be considered after the end of the suspension period and based on meeting all re-recognition criteria and obtaining clearance from SUA.
• Expulsion: Permanent termination of student group organization recognition and revocation of the privilege to congregate and conduct business on campus as an organization for any reason.
• Loss of Privileges: Restricted from accessing specific SUA privileges for a specified period of time.
• Other Actions: In addition to or in place of the above sanctions, SUA may assign any other sanctions as deemed appropriate.

C. Employee Sanctions/Responsive Actions

Responsive actions for an employee who has engaged in harassment, discrimination, and/or retaliation include:

• Warning – Verbal or Written
• Performance Improvement Plan/Management Process
• Enhanced supervision, observation, or review
• Required Counseling
• Required Training or Education
• Probation
• Denial of Pay Increase/Pay Grade
• Loss of Oversight or Supervisory Responsibility
• Demotion
• Transfer
• Reassignment
• Delay of (or referral for delay of) tenure track progress
• Assignment to new supervisor
• Restriction of stipends, research, and/or professional development resources
• Suspension/Administrative Leave with pay
• Suspension/Administrative Leave without pay
• Termination
• Other Actions: In addition to or in place of the above sanctions/responsive actions, SUA may assign any other responsive actions as deemed appropriate

21. Withdrawal or Resignation While Charges Pending

A. Students

If a student Respondent decides not to participate in the resolution process, the process proceeds absent their participation to a reasonable resolution.

If a student Respondent permanently withdraws from SUA, the resolution process typically ends with a dismissal, as SUA loses primary disciplinary jurisdiction over the withdrawn student. However, SUA may continue the resolution process when, at the direction of the Title IX Coordinator, doing so may be necessary to address safety and/or remedy any ongoing effects of the alleged harassment, discrimination and/or retaliation.

Regardless of whether the complaint is dismissed or pursued to completion of the resolution process, SUA will continue to address and remedy any systemic issues or concerns that may have contributed to the alleged violation(s), and any ongoing effects of the alleged harassment, discrimination, and/or retaliation.

A student who withdraws or leaves while the process is pending may generally not return to SUA in any capacity, except upon the sole discretion and with the express written permission of the Title IX Coordinator. Admissions and Human Resources will be notified, accordingly. Such exclusion applies to all SUA locations and/or events.

If the student Respondent withdraws or takes a leave for a specified period of time (e.g., one semester or term), the resolution process may continue remotely and, if found in violation, that student is not permitted to return to SUA unless and until all sanctions, if any, have been satisfied.

B. Employees

Should an employee Respondent resign with unresolved allegations pending, the resolution process typically ends with a dismissal, as SUA loses primary disciplinary jurisdiction over the resigned employee. However, SUA may continue the resolution process when, at the discretion of the Title IX Coordinator, doing may be necessary to address safety and/or remedy any ongoing effects of the alleged harassment, discrimination, and/or retaliation.

Regardless of whether the matter is dismissed or pursued to completion of the resolution process, SUA will continue to address and remedy any systemic issues or concerns that contributed to the alleged violation(s), and any ongoing effects of the alleged harassment, discrimination, and/or retaliation.

An employee who resigns with unresolved allegations pending is generally not eligible for academic admission or rehire with SUA or any SUA location, and the records retained by the Title IX Coordinator will reflect that status.

All SUA responses to future inquiries regarding employment references for that individual will include that the former employee resigned during a pending disciplinary matter.

22. Appeals

Any party may submit a written request for appeal (“Request for Appeal”) to the Title IX Coordinator within five (5) business days of the delivery of the Notice of Outcome.

A single Appeal Decision-maker will review the appeal. No appeal Decision-maker will have been involved in the process previously, including any dismissal appeal that may have been heard earlier in the process. SUA may use the services of one or more external dispute resolution services, such as JAMS, to resolve any appeal.

The Request for Appeal will be forwarded to the Appeal Decision-maker for consideration to determine if the request meets the grounds for appeal (a Review for Standing).

This review is not a review of the merits of the appeal, but solely a determination as to whether the request meets the grounds and is timely filed.

A. Grounds for Appeal

Appeals are limited to the following grounds:

1. A procedural irregularity that affected the outcome of the matter
2. New evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made, that could affect the outcome of the matter
3. The Title IX Coordinator, Investigator(s), or Decision-maker(s) had a conflict of interest or bias for or against Complainants or Respondents generally or the specific Complainant or Respondent that affected the outcome of the matter

If any of the grounds in the Request for Appeal do not meet the grounds in this Policy, that request will be denied by the Appeal Decision-maker and the parties and their Advisors will be notified in writing of the denial and the rationale.

If any of the grounds in the Request for Appeal meet the grounds in this Policy, then the Appeal Decision-maker will notify the other party(ies) and their Advisors, the Title IX Coordinator, and, when appropriate, the Investigators and/or the original Decision-maker(s).

All other party(ies) and their Advisors, the Title IX Coordinator, and, when appropriate, the Investigator(s) and/or the original Decision-maker(s) will be mailed, emailed, and/or provided a hard copy of the Request for Appeal with the approved grounds and then be given ten (10) business days to submit a response to the portion of the appeal that was approved and involves them. All responses will be forwarded by the Appeal Decision-maker to all parties for review and comment.

The non-appealing party (if any) may also choose to appeal at this time. If so, that will be reviewed to determine if it meets the grounds in this Policy by the Appeal Decision-maker and either denied or approved. If approved, it will be forwarded to the party who initially requested an appeal, the Title IX Coordinator, Investigator(s) and/or original Decision-maker(s), as necessary, who will submit their responses, if any, within ten (10) business days. Any such responses will be circulated for review and comment by all parties. If not approved, the parties will be notified accordingly, in writing.

Neither party may submit any new requests for appeal after this time period. The Appeal Decision-maker will collect any additional information needed and all documentation regarding the approved grounds for appeal and the subsequent responses and the Appeal Decision-maker will render a decision in no more than five (5) business days, barring exigent circumstances. All decisions apply the preponderance of the evidence standard.

A Notice of Appeal Outcome will be sent to all parties simultaneously. The Notice of Appeal Outcome will specify the finding on each ground for appeal, any specific instructions for remand or reconsideration, any sanction(s) that may result which SUA is permitted to share according to state or federal law, and the rationale supporting the essential findings to the extent SUA is permitted to share under state or federal law.

Notification will be made in writing and may be delivered by one or more of the following methods: in person, mailed to the local or permanent address of the parties as indicated in official institutional records, or emailed to the parties’ SUA-issued email or otherwise approved account. Once mailed, emailed and/or received in-person, notice will be presumptively delivered.

B. Sanctions Status During the Appeal

Any sanctions imposed as a result of the hearing are stayed (i.e., not implemented) during the appeal process. Supportive measures may be reinstated, subject to the same supportive measure procedures above.

If any of the sanctions are to be implemented immediately post-hearing, but pre-appeal, then the emergency removal procedures (detailed above) for a show cause meeting on the justification for doing so must be permitted within 48 hours of implementation.

SUA may still place holds on official transcripts, diplomas, graduations, and course registration pending the outcome of an appeal when the original sanctions included separation.

C. Appeal Considerations

• Appeals are not intended to provide for a full re-hearing (de novo) of the allegation(s). In most cases, appeals are confined to a review of the written documentation or record of the original hearing and pertinent documentation regarding the specific grounds for appeal.
• Decisions on appeal are to be deferential to the original determination, making changes to the finding(s) only when there is clear error and to the sanction(s)/responsive action(s) only if there is a compelling justification to do so.
• An appeal is not an opportunity for Appeal Decision-maker to substitute their judgment for that of the original Decision-maker(s) merely because they disagree with the finding and/or sanction(s).
• The Appeal Decision-maker(s) may consult with the Title IX Coordinator and/or legal counsel on questions of procedure or rationale, for clarification, if needed. Documentation of all such consultation will be maintained.
• Appeals granted should normally be remanded to the original Investigator(s) and/or Decision-maker(s) for reconsideration.
• Once an appeal is decided, the outcome is final: further appeals are not permitted, even if a decision or sanction is changed on remand (except in the case of a new hearing).
• In rare cases where an error cannot be cured by the original Decision-maker(s) (as in cases of bias), the Appeal Decision-maker may order a new investigation and/or a new hearing with new Investigator(s) and/or new Decision-maker(s).
• The results of a remand to a Decision-maker(s) cannot be appealed. The results of a new hearing can be appealed, once, on any of the three available appeal grounds.
• In cases that result in reinstatement to SUA or resumption of privileges, all reasonable attempts will be made to restore the Respondent to their prior status, recognizing that some opportunities lost may be irreparable in the short term.

23. Long-Term Remedies/Other Actions

Following the conclusion of the resolution process, and in addition to any sanctions implemented, the Title IX Coordinator may implement additional long-term remedies or actions with respect to the parties and/or the institutional community that are intended to stop the harassment, discrimination, and/or retaliation, remedy the effects, and prevent reoccurrence.

These remedies/actions may include, but are not limited to:

• Referral to counseling and health services
• Referral to the Employee Assistance Program
• Education to the individual and/or the community
• Permanent alteration of housing assignments
• Permanent alteration of work arrangements for employees
• Provision of campus safety escorts
• Climate surveys
• Policy modification and/or training
• Provision of transportation assistance
• Implementation of long-term contact limitations between the parties
• Implementation of adjustments to academic deadlines, course schedules, etc.

At the discretion of the Title IX Coordinator, certain long-term support or measures may also be provided to the parties even if no policy violation is found.

When no policy violation is found, the Title IX Coordinator will address any remedies SUA owes to the Respondent to ensure no effective denial of educational access.

SUA will maintain the confidentiality of any long-term remedies/actions/measures, provided confidentiality does not impair SUA’s ability to provide these services.

24. Failure to Comply with Sanctions and/or Responsive Actions

All Respondents are expected to comply with the assigned sanctions, responsive actions, and/or corrective actions within the timeframe specified by the final Decision-maker(s) (including the Appeal Decision-maker(s)).

Failure to abide by the sanction(s)/action(s) imposed by the date specified, whether by refusal, neglect, or any other reason, may result in additional sanction(s)/action(s), including suspension, expulsion, and/or termination from SUA and may be noted on a student’s official transcript. Supervisors are expected to enforce completion of sanctions/responsive actions for their employees.

A suspension will only be lifted when compliance is achieved to the satisfaction of the Title IX Coordinator.

25. Recordkeeping

SUA will maintain for a period of at least seven (7) years records of:

1. Each sexual harassment investigation including any determination regarding responsibility and any audio or audiovisual recording or transcript required under federal regulation.
2. Any disciplinary sanctions imposed on the Respondent.
3. Any remedies provided to the Complainant designed to restore or preserve equal access to SUA’s education program or activity.
4. Any appeal and the result therefrom.
5. Any Informal Resolution and the result therefrom.
6. All materials used to train Title IX Coordinators, Investigators, Decision-makers, and any person who facilitates an Informal Resolution process. SUA will make these training materials publicly available on SUA’s website.
7. Any actions, including any supportive measures, taken in response to a report or Complaint of sex-based harassment, including:
   1. The basis for all conclusions that the response was not deliberately indifferent.
   2. Any measures designed to restore or preserve equal access to SUA’s education program or activity.
   3. If no supportive measures were provided to the Complainant, document the reasons why such a response was not clearly unreasonable in light of the known circumstances.

SUA will also maintain any and all records in accordance with state and federal laws.

26. Revision of this Policy and Procedures

This Policy and these procedures supersede any previous policies and procedures addressing harassment, sexual misconduct, discrimination, and/or retaliation, including under Title IX, though previous policies and procedures remain in force for incident occurring before August 01, 2024. The Title IX Coordinator reviews and updates these policies and procedures regularly. SUA reserves the right to make changes to this document as necessary, and once those changes are posted online, they are in effect.

During the resolution process, the Title IX Coordinator may make minor modifications to procedures that do not materially jeopardize the fairness owed to any party, such as to accommodate summer schedules. The Title IX Coordinator may also vary procedures materially with notice (on the institutional website, with the appropriate effective date identified) upon determining that changes to law or regulation require policy or procedural alterations not reflected in this Policy and procedures.

If government laws or regulations change – or court decisions alter – the requirements in a way that impacts this document, this document will be construed to comply with the most recent government laws or regulations or court holdings.

This document does not create legally enforceable protections beyond the protections of the background state and federal laws which frame such policies and codes, generally.

This Policy and these procedures are effective August 01, 2024.

APPENDIX B: POLICY EXAMPLES

Some examples of potential sexual harassment include:

• A professor offers for a student to have sex or go on a date with them in exchange for a good grade. This may constitute sexual harassment regardless of whether the student agrees to the request and irrespective of whether a good grade is promised or a bad grade is threatened.
• A student repeatedly sends graphic, sexually-oriented jokes and pictures to hundreds of other students via social media. Many don’t find it funny and ask them to stop, but they do not. Because of these jokes, one student avoids the sender on campus and in the residence hall in which they both live, eventually asking to move to a different building and dropping a class they had together.
• A professor engages students in class in discussions about the students’ past sexual experiences, yet the conversations are not in any way germane to the subject matter of the class. The professor inquires about explicit details and demands that students answer them, though the students are clearly uncomfortable and hesitant. 
• An ex-partner widely spreads false stories about their sex life with their former partner to the clear discomfort and frustration of the former partner, turning the former partner into a social pariah on campus.
• Chris has recently transitioned from male to nonbinary, but primarily expresses as a female. Since their transition, Chris has noticed that their African Studies professor, Dr. Mukembo, pays them a lot more attention. Chris is sexually attracted to Professor Mukembo and believes the attraction is mutual. Chris decides to act on the attraction. One day, Chris visits Dr. Mukembo during office hours, and after a long conversation about being nonbinary, Chris kisses Dr. Mukembo. Dr. Mukembo is taken aback, stops the kiss, and tells Chris not to do that. Dr. Mukembo explains to Chris that they are not interested in Chris sexually or romantically. Chris takes it hard, crying to Dr. Mukembo about how hard it is to find someone who is interested in them now based on their gender identity. Dr. Mukembo feels sorry for Chris and softens the blow by telling them that no matter whether they like Chris or not, faculty-student relationships are prohibited by the university. Chris takes this as encouragement. One night, Chris goes to a gay bar some distance from campus and sees Dr. Mukembo at the bar. Chris tries to buy Dr. Mukembo a drink and, again, tries to kiss Dr. Mukembo. Dr. Mukembo leaves the bar abruptly. The next day, Chris makes several online posts that out Dr. Mukembo as gay and raise questions about whether they are sexually involved with students. Dr. Mukembo contacts the Title IX Office and alleges that Chris is sexually harassing him.

Examples of Potential Stalking

• Students A and B were “friends with benefits.” Student A wanted a more serious relationship, which caused student B to end the relationship. Student A could not let go, and relentlessly pursued Student B. Student B obtained a campus no-contact order. Subsequently, Student B discovered their social media accounts were being accessed, and things were being posted and messaged as if they were from them, but they were not. Whoever accessed their account posted a picture of a penis, making it look as if Student B had sent out a picture of themselves, though it was not their penis. This caused them considerable embarrassment and social anxiety. They changed their passwords, only to have it happen again. Seeking help from the Title IX Coordinator, Student B met with the IT department, which discovered an app on their phone and a keystroke recorder on their laptop, both of which were being used to transmit their data to a third party.
• A graduate student working as an on-campus tutor received flowers and gifts delivered to their office. After learning the gifts were from a student they recently tutored, the graduate student thanked the student and stated that it was not necessary and they would appreciate it if the gift deliveries stopped. The student then started leaving notes of love and gratitude on the tutor’s car, both on-campus and at home. Asked again to stop, the student stated by email, “You can ask me to stop, but I’m not giving up. We are meant to be together, and I’ll do anything to make you have the feelings for me that I have for you.” When the tutor did not respond, the student emailed again, “You cannot escape me. I will track you to the ends of the earth. If I can’t have you, no one will.”

Examples of Potential Sexual Assault:

• Amanda and Bill meet at a party. They spend the evening dancing and getting to know each other. Bill convinces Amanda to come up to his room. From 11:00 p.m. until 3:00 a.m., Bill uses every line he can think of to convince Amanda to have sex with him, but she adamantly refuses. Despite her clear communications that she is not interested in doing anything sexual with him, Bill keeps at her, questions her religious convictions, and accuses her of being “a prude.” He brings up several rumors that he has heard about how she performed oral sex on a number of other guys. Finally, it seems to Bill that her resolve is weakening, and he convinces her to “jerk him off” (hand to genital contact). Amanda would have never done it but for Bill's incessant coercion.
• Jiang is a junior. Beth is a sophomore. Jiang comes to Beth’s residence hall room with some mutual friends to watch a movie. Jiang and Beth, who have never met before, are attracted to each other. After the movie, everyone leaves, and Jiang and Beth are alone. They hit it off, soon become more intimate, and start to make out. Jiang verbally expresses his desire to have sex with Beth. Beth, who was abused by a babysitter at the age of five and avoids sexual relations as a result, is shocked at how quickly things are progressing. As Jiang takes her by the wrist over to the bed, lays her down, undresses her, and begins to have intercourse with Beth, Beth has a severe flashback to her childhood trauma. She wants to tell Jiang to stop but cannot. Beth is stiff and unresponsive during the intercourse.
• Kevin and John are at a party. Kevin is not sure how much John has been drinking, but he is pretty sure it’s a lot. After the party, he walks John to his apartment, and John comes on to Kevin, initiating sexual activity. Kevin asks John if he is really up to this, and John says yes. They remove each other’s clothes, and they end up in John’s bed. Suddenly, John runs for the bathroom. When he returns, his face is pale, and Kevin thinks he may have thrown up. John gets back into bed, and they begin to have sexual intercourse. Kevin is having a good time, though he can’t help but notice that John seems pretty groggy and passive, and he thinks John may have even passed out briefly during sex, but he came to again. When Kevin runs into John the next day, he thanks him for the great night. John remembers nothing and decides to make a report to the Dean.

Examples of Potential Retaliation:

• A student-athlete alleges sexual harassment by a coach; the coach subsequently cuts the student-athlete’s playing time without a legitimate justification.
• A faculty member alleges gender inequity in pay within her department; the Department Chair then revokes approval for the faculty member to attend a national conference, citing the faculty member’s allegations.
• A student from Organization A participates in a sexual harassment investigation as a witness whose testimony is damaging to the Respondent, who is also a member of Organization A; the student is subsequently removed as a member of Organization A because of their participation in the investigation.

APPENDIX C: STATISTICS ON THE PREVALENCE OF SEXUAL HARASSMENT AND SEXUAL ASSAULT IN THE EDUCATION SETTING

SUA provides training under its Policy that includes the following information and statistics:

1. Sex discrimination, including sexual harassment and violence, harms all students, undermines students’ physical safety, impedes students’ ability to learn, and can reinforce social inequality throughout a student’s lifetime.
2. Sexual harassment and violence in higher education is pervasive. According to research published by the American Association of University Women, during college, 62 percent of women and 61 percent of men experience sexual harassment. The Association of American Universities (AAU) survey of students shows that more than 1 in 5 women and nearly 1 in 18 men are sexually assaulted in college.
3. Historically marginalized and underrepresented groups are more likely to experience sexual harassment than their peers. Research from GLSEN and the Centers for Disease Control and Prevention show that more than one-half of LGBTQ students 13 to 21 years of age, inclusive, are sexually harassed at school. An AAU survey indicates that nearly one in four transgender and gender-nonconforming students are sexually assaulted during college. According to a National Women’s Law Center (NWLC) report, students with disabilities are 2.9 times more likely than their peers to be sexually assaulted.
4. Sexual harassment occurs both on campus and in off-campus spaces associated with school. Nationwide, nearly 9 in 10 college students live off campus and 41 percent of college sexual assaults involve off-campus parties. Research by the Rape, Abuse & Incest National Network indicates that only 8 percent of all sexual assaults occur on school property.
5. Survivors generally underreport instances of sexual harassment and assault. The NWLC reports that only 12 percent of college survivors report sexual assault to their schools or the police.
6. Research published in the Journal of College Student Retention: Research, Theory & Practice demonstrates that 34 percent of sexual harassment and violence survivors drop out of college.

APPENDIX D: PREGNANCY AND RELATED CONDITIONS AND PARENTING STUDENT POLICY

Non-Discrimination Statement

SUA does not discriminate in its education program or activity against any applicant for admission, student, applicant for employment, or employee on the basis of current, potential, or past pregnancy or related conditions as mandated by Title IX of the Education Amendments of 1972 (Title IX). SUA prohibits members of the SUA community from adopting or implementing any policy, practice, or procedure which treats an applicant for admission, student, applicant for employment, or employee differently on the basis of current, potential, or past parental, family, or marital status.¹⁷ This policy and its pregnancy-related protections apply to all pregnant persons, regardless of gender identity or expression.

Definitions

• Familial Status. The configuration of one’s family or one’s role in a family.
• Marital Status. The state of being married or unmarried.
• Parental Status. The status of a person who, with respect to another person who is under the age of 18,¹⁸ is a biological, adoptive, foster, or stepparent; a legal custodian or guardian; in loco parentis with respect to such a person; or actively seeking legal custody, guardianship, visitation, or adoption of such a person.
• Pregnancy and Related Conditions. The full spectrum of processes and events connected with pregnancy, including pregnancy, childbirth, termination of pregnancy, or lactation; related medical conditions; and recovery therefrom.¹⁹
• Reasonable Modifications. Individualized modifications to SUA’s policies, practices, or procedures that do not fundamentally alter SUA’s education program or activity.

Information Sharing Requirements

Any SUA employee who becomes aware of a student’s pregnancy or related condition is required to provide the student with the Title IX Coordinator’s contact information and communicate that the Coordinator can help take specific actions to prevent discrimination and ensure equal access to the SUA’s education program and activity. If the employee has a reasonable belief that the Title IX Coordinator is already aware of the pregnancy or related condition, the employee is not required to provide the student with the Title IX Coordinator’s contact information.

Upon notification of a student’s pregnancy or related condition, the Title IX Coordinator will contact the student and inform the student of SUA’s obligations to:

• Prohibit sex discrimination.
• Provide reasonable modifications.
• Allow access, on a voluntary basis, to any separate and comparable portion of the institution’s education program or activity.
• Allow a voluntary leave of absence.
• Ensure lactation space availability.
• Maintain a Resolution Process for alleged discrimination.
• Treat pregnancy as comparable to other temporary medical conditions for medical benefit, service, plan, or policy purposes.

The Title IX Coordinator will also notify the student of the process to file a complaint for alleged discrimination, harassment, or retaliation, as applicable.

Reasonable Modifications for Students

Students who are pregnant or are experiencing related conditions are entitled to Reasonable Modifications to prevent sex discrimination and ensure equal access to SUA’s education program and activity. Any student seeking Reasonable Modifications must contact the Title IX Coordinator to discuss appropriate and available Reasonable Modifications based on their individual needs. Students are encouraged to request Reasonable Modifications as promptly as possible, although retroactive modifications may be available in some circumstances. Reasonable Modifications are voluntary, and a student can accept or decline the offered Reasonable Modifications. Not all Reasonable Modifications are appropriate for all contexts.

Reasonable Modifications may include:

• Breaks during class to express breast milk, breastfeed, or attend to health needs associated with pregnancy or related conditions, including eating, drinking, or using the restroom
• Intermittent absences to attend medical appointments
• Access to online or homebound education
• Changes in schedule or course sequence
• Time extensions for coursework and rescheduling of tests and examinations
• Allowing a student to sit or stand, or carry or keep water nearby
• Counseling
• Changes in physical space or supplies (for example, access to a larger desk or a footrest)
• Elevator access
• A larger uniform or other required clothing or equipment
• Other changes to policies, practices, or procedures determined by the Title IX Coordinator

In situations such as clinical rotations, performances, labs, and group work, the institution will work with the student to devise an alternative path to completion, if possible. In progressive curricular and/or cohort-model programs, medically necessary leaves are sufficient cause to permit the student to shift course order, substitute similar courses, or join a subsequent cohort when returning from leave. Students are encouraged to work with their faculty members and SUA’s support systems to devise a plan for how to best address the conditions as pregnancy progresses, anticipate the need for leaves, minimize the academic impact of their absence, and get back on track as efficiently and comfortably as possible. The Title IX Coordinator will assist with plan development and implementation as needed.

Supporting documentation for Reasonable Modifications will only be required when it is necessary and reasonable under the circumstances to determine which Reasonable Modifications to offer to determine other specific actions to take to ensure equal access.

Information about pregnant students’ requests for modifications will be shared with faculty and staff only to the extent necessary to provide the Reasonable Modification.

Students experiencing pregnancy-related conditions that manifest as a temporary disability under the Americans with Disabilities Act (ADA) or Section 504 of the Rehabilitation Act are eligible for reasonable accommodations just like any other student with a temporary disability. The Title IX Coordinator will consult with disability staff to ensure the student receives reasonable accommodations for their disability as required by law.

Certification to Participate

All students should be informed of health and safety risks related to participation in academic and co-curricular activities, regardless of pregnancy status. A student may not be required to provide health care provider or other certification that the student is physically able to participate in the program or activity, unless:

• The certified level of physical ability or health is necessary for participation;
• The institution requires such certification of all students participating; and
• The information obtained is not used as a basis for pregnancy-related discrimination.

Lactation Space Access

SUA provides students and employees with access to lactation spaces that are functional, appropriate, and safe. Such spaces are regularly cleaned, shielded from view, and free from the intrusion of others.

Lactation spaces are located in the following locations:
For students: Ikeda - 311
For employees: Varies, please contact Human Resources

Leaves of Absence

Students

Students are permitted to take a voluntary leave of absence for a reasonable time as deemed medically necessary by their healthcare provider because of pregnancy and/or the birth, adoption, or placement of a child. The leave term may be extended in the case of extenuating circumstances or medical necessity. Students who elect to take leave under this policy may register under an “on leave/inactive” status to continue their eligibility for certain benefits. While registered under that status, students who choose to take a leave of absence under this policy can elect to keep their health insurance coverage and continue residing in SUA housing, subject to the payment of applicable fees.

To the extent possible, SUA will take reasonable steps to ensure that students who take a leave of absence or medical leave return to the same position of academic progress that they were in when they took leave, including access to the same or an equivalent course catalog that was in place when the leave began.

Continuation of students’ scholarships, fellowships, or similar SUA-sponsored funding during the leave term will depend on student registration status and the policies of the funding program regarding registration status. Students will not be negatively impacted by or forfeit their future eligibility for their scholarship, fellowship, or similar SUA-supported funding by exercising their rights under this policy.

The disability services office can and will advocate for students with respect to financial aid agencies and external scholarship providers in the event that a leave of absence places eligibility into question.

In order to initiate a leave of absence, the student must contact the Title IX Coordinator at least 30 calendar days prior to the initiation of leave, or as soon as practicable. The Coordinator will assist the student in completing any necessary paperwork.

Employees

Information on employment leave can be found in the applicable faculty or employee handbook.

If an employee, including a student-employee, is not eligible for leave under the aforementioned leave policy because they either (1) do not have enough leave time available under that policy, or (2) have not been employed long enough to qualify for leave under that policy, they may be eligible for pregnancy or related condition leave under Title IX. Pregnancy and related conditions will generally be regarded as a justification for a leave of absence without pay for a reasonable period of time.

Employees who take leave under Title IX must be reinstated to the status held when leave began or a comparable position without a negative effect on any employment privilege or right.

Policy Dissemination and Training

A copy of this policy will be made available to faculty and employees in annually required training and posted on the SUA website. The SUA will alert all new students about this policy and the location of this policy as part of orientation. The disability services office will make educational materials available to all members of the SUA community to promote compliance with this policy and familiarity with its procedures.

Footnotes

 

¹ Throughout this policy, the pronouns “they,” “them” and “their” are used intentionally to be inclusive of all genders and gender identities.

² For the purpose of this policy, privacy and confidentiality have distinct meanings. Privacy means that information related to a complaint will be shared with a limited number of SUA employees who “need to know” in order to assist in the assessment, investigation, and resolution of the report. All employees who are involved in SUA’s response to notice under this policy receive specific training and guidance about sharing and safeguarding private information in accordance with state and federal law. The privacy of student education records will be protected in accordance with the Family Educational Rights and Privacy Act (“FERPA”), as outlined in SUA’s Student Records Policy. The privacy of employee records will be protected in accordance with Human Resources policies. Confidentiality exists in the context of laws that protect certain relationships, including those who provide services related to medical and clinical care, mental health providers, counselors, and ordained clergy. The law creates a privilege between certain health care providers, mental health care providers, attorneys, clergy, spouses, and others, with their patients, clients, parishioners, and spouses. SUA has designated individuals who have the ability to have privileged communications as Confidential Resources. For more information about Confidential Resources, see below. When information is shared by a Complainant with a Confidential Resource, the Confidential Resource cannot reveal the information to any third party except when an applicable law or a court order requires or permits disclosure of such information. For example, information may be disclosed when: (i) the individual gives written consent for its disclosure; (ii) there is a concern that the individual will likely cause serious physical harm to self or others; or (iii) the information concerns conduct involving suspected abuse or neglect of a minor under the age of 18, elders, or individuals with disabilities. Non-identifiable information may be shared by Confidential Resources for statistical tracking purposes as required by the federal Clery Act. Other information may be shared as required by law.

³ Not to be confused with those mandated by state law to report child abuse, elder abuse, and/or abuse of individuals with disabilities to appropriate officials, though these responsibilities may overlap with those who have mandated reporting responsibility in this policy.

⁴ Unwelcomeness is subjective and determined by the Complainant (except when the Complainant is younger than the age of consent, which is 18 in California). Severity, pervasiveness, and objective offensiveness are evaluated based on the totality of the circumstances from the perspective of a reasonable person in the same or similar circumstances (“in the shoes of the Complainant”), including the context in which the alleged incident occurred and any similar, previous patterns that may be evidenced. This definition is broad enough to potentially encompass forms of sex-based disparate treatment, even if not harassing in nature.

⁵ A "sexual act" is specifically defined by federal regulations to include one or more of the following: 

Rape:

• Penetration, no matter how slight, of the vagina or anus with any body part or object, or oral penetration by a sex organ of another person,
• without their consent,
• including instances where they are incapable of giving consent because of age or because of temporary or permanent mental or physical incapacity.

Sodomy:

• Oral or anal sexual intercourse with a Complainant,
• forcibly,
• against their will (non-consensually), or
• not forcibly nor against their will in instances in which the Complainant is incapable of giving consent because of age or because of temporary or permanent mental or physical incapacity.

Sexual Assault with an Object:

• The use of an object or instrument to penetrate,
• however slightly,
• the genital or anal opening of the body of the Complainant,
• forcibly,
• against their will (non-consensually), or
• not forcibly nor against their will in instances in which the Complainant is incapable of giving consent because of age or because of temporary or permanent mental or physical incapacity.

Fondling:

• The touching of the private body parts of the Complainant (buttocks, groin, breasts),
• for the purpose of sexual gratification,
• forcibly,
• against their will (non-consensually), or
• not forcibly nor against their will in instances in which the Complainant is incapable of giving consent because of age or because of temporary or permanent mental or physical incapacity.

⁶ This would include having another person touch you sexually, forcibly, or without your consent.

⁷ California defines “domestic violence” as abuse committed against an adult or a minor who is a spouse, former spouse, cohabitant, former cohabitant, or person with whom the suspect has had a child or is having or has had a dating or engagement relationship. In California, dating violence is included within the definition of domestic violence.

⁸ Under California law, “any person who willfully, maliciously, and repeatedly follows or willfully and maliciously harasses another person and who makes a credible threat with the intent to place that person in reasonable fear for his or her safety, or the safety of his or her immediate family is guilty of the crime of stalking,” which is applicable to criminal prosecutions, but may differ from the definition used on campus to address policy violations.

⁹ The state definition of consent is “positive cooperation in act or attitude pursuant to the exercise of free will. The person must act freely and voluntarily and have knowledge of the nature of the act and the transaction involved.” A current or previous dating or marital relationship shall not be sufficient to constitute consent where consent is an issue. This definition of consent is applicable to criminal prosecutions for sex offenses in California but may differ from the definition used on campus to address policy violations.

¹⁰ California Education Code Section 67386 /SB 967 establishes an affirmative consent standard in the determination of whether consent was given by both parties to sexual activity.

¹¹ Bondage, discipline/dominance, submission/sadism, and masochism.

¹² Anywhere this procedure indicates “Title IX Coordinator,” SUA may substitute a trained designee.

¹³ If circumstances require, the President or Title IX Coordinator will designate another person to oversee the process below should an allegation be made about the Coordinator or the Coordinator be otherwise unavailable, unable to fulfill their duties, or have a conflict of interest.

¹⁴ This could include an attorney, advocate, or support person. The law permits one Advisor for each party (witnesses are not entitled to Advisors within the process, though they can be advised externally).

¹⁵ “Available” means the party cannot insist on an Advisor who simply doesn’t have inclination, time, or availability. Also, the Advisor cannot have institutionally conflicting roles, such as being a Title IX administrator who has an active role in the matter, or a supervisor who must monitor and implement sanctions.

¹⁶ SUA policies on transcript notation will apply to these proceedings.

¹⁷ “Title IX does not prohibit discrimination based on marital status per se, as discrimination based on marital status does not necessarily require consideration of a person’s sex. Title IX does, however, prohibit SUA from applying rules concerning marital status that treat individuals differently on the basis of sex (e.g., treating married women more or less favorably than married men, treating an unmarried mother worse than a married mother based on sex stereotypes, treating a man who is married to a man worse than a woman who is married to a man).” Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance, 89 F.R. 33474, April 29, 2024, codified at 34 C.F.R. 106.

¹⁸ Or a person who is 18 or older but who is incapable of self-care because of a mental or physical disability.

¹⁹ “[T]he Department interprets ‘termination of pregnancy’ to mean the end of pregnancy in any manner, including, miscarriage, stillbirth, or abortion.” Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance, 89 F.R. 33474, April 29, 2024, codified at 34 C.F.R. 106.