Saint Mary’s College of California
Title IX Requirements Related to Sexual Harassment and Sexual Violence
Proposed Nondiscrimination Policy with Reporting and Investigation Procedures
REVISED DRAFT 5-4-12
Reporting Procedures and Resources for Addressing Reports of Discrimination,
Harassment (Including Sexual Harassment and Sexual Violence), and Retaliation
Saint Mary's has in place internal procedures for a prompt and effective response to
reports of discrimination, harassment (including sexual harassment, sexual violence and
sexual assault) and retaliation as described in College policy. These procedures are
intended to assure fairness and to maintain confidentiality in the process of responding to
complaints. All members of the College community are encouraged to report if they
observe or encounter conduct that may be subject to the College’s Policy Prohibiting
Discrimination, Harassment (including sexual harassment and sexual violence) and
Retaliation.
Reports of such possible policy violations involving staff, faculty or visitors to the College
(e.g., contractors, vendors, or non-student guests) should be brought promptly to the
Human Resources Director (the Title IX Compliance Coordinator) or to any manager or
supervisor. Reports involving students or student visitors should be brought promptly to
the Dean of Students (undergraduates) or the Vice Provost for Graduate and Professional
Studies (graduate and professional students) in addition to or instead of the Human
Resources Director. If the person to whom the incident normally would be reported is the
individual alleged to have violated the policy against discrimination or harassment, the
report may be made to another manager, supervisor or the Human Resources Director. All
managers and supervisors and other employees are required to notify the Human
Resources Director when a report of a possible policy violation is received. All members of
the Saint Mary’s community shall cooperate fully with the Director of Human Resources,
the Dean of Students and/or the Vice Provost for Graduate and Professional Studies in the
fulfillment of her/his responsibilities.
Reports of alleged violations shall be brought as soon as possible after the alleged conduct
occurs, optimally within one year. Prompt reporting will enable the College to investigate
the facts, determine the issues, and provide an appropriate remedy or disciplinary action.
The College shall respond to reports of sexual harassment brought after one year to the
extent possible, taking into account the amount of time that has passed since the alleged
conduct occurred.
Options for Resolution
Individuals making reports shall be informed about options including procedures for early
resolution, investigation, and filing complaints under applicable College procedures.
Individuals making reports also shall be informed about policies applying to
confidentiality of reports under this policy (see below). The College shall respond, to the
Page 1 of 5
Title IX Requirements Relating to Sexual Harassment and Sexual Violence 2
extent possible, to reports brought anonymously or brought by third parties. However, the
response to such reports may be limited if information contained in the report cannot be
verified by independent facts.
Individuals bringing reports shall be informed about the range of possible outcomes of the
report, including interim protections, remedies for the individual harmed by the
discrimination or harassment, and whether the matter has been referred for disciplinary
action against the respondent.
Procedures for Early Resolution
The goal of early resolution is to resolve concerns at the earliest stage possible, with the
cooperation of all parties involved. Early resolution may include an inquiry into the facts,
but typically does not include a full investigation. Early resolution includes options such as
mediating an agreement between the parties, separating the parties, referring the parties
to counseling programs, negotiating an agreement for disciplinary action, conducting
targeted educational and training programs, or providing remedies for the individual(s)
harmed by the discrimination or harassment. Early resolution may also include
conducting follow-up after a period of time to assure that the resolution has been
implemented effectively. Steps taken towards early resolution and agreements reached
through early resolution efforts must be documented and reported to the Human
Resources Director. While the College encourages early resolution, the College does not
require that parties participate in early resolution prior to the College's decision to
investigate. Some reports (for example, reports involving repeated or serious misconduct,
sexual harassment or sexual violence) are not appropriate for early resolution.
Procedures for Investigation
In cases where early resolution is not appropriate or not successful, the College may
conduct an investigation. In such cases, the individual making the report shall be
encouraged to file a written report, but a written report is not required. The wishes of the
individual making the report shall be considered, but are not determinative, in the
decision to initiate an investigation. In cases where there is no written request, the College
may initiate an investigation after making a preliminary inquiry into the facts to
determine whether an investigation is warranted.
Investigation of allegations under this policy shall incorporate the following standards:
a. The individual(s) accused of conduct violating the policy (the respondent) should
be given a statement of the report, and a copy of the applicable policy.
b. The individual(s) conducting the investigation shall have training or experience in
conducting investigations.
c. The investigation may include interviews with the parties if available, interviews
with other witnesses as needed and a review of relevant documents as appropriate.
Title IX Requirements Relating to Sexual Harassment and Sexual Violence 3
Disclosure of facts to parties and witnesses shall be limited to what is reasonably
necessary to conduct a fair and thorough investigation. Participants in an
investigation shall be advised that maintaining confidentiality is essential to
protect the integrity of the investigation.
d. At any time during the investigation, the investigator may recommend that interim
protections or remedies for the parties or witnesses be provided by appropriate
College officials. These protections or remedies may include separating the parties,
placing limitations on contact between the parties, or making alternative working
or student housing arrangements. Failure to comply with the terms of interim
protections may be considered a separate violation of College policy.
e. The investigation shall be completed as promptly as possible and in most cases
within 60 working days of the date the report was received by the Human
Resources Director. This deadline may be extended on approval by Human
Resources Director.
f. Generally, an investigation should result in a written report that at a minimum
includes a statement of the allegations, a summary of the evidence, the findings of
fact, and a determination by the investigator as to whether College policy has been
violated. The report shall be submitted to the Director of Human Resources, the
Dean of Students and/or the Vice Provost for Graduate and Professional Studies, as
appropriate. The individuals receiving the report may consider a wide range of
actions to resolve the concerns, including educational programs, remedies for the
parties, and a referral to applicable disciplinary procedures as appropriate.
g.
The parties shall be informed promptly in writing when the investigation is
completed and if there were findings that the policy was or was not violated. The
parties shall be informed of actions taken to resolve the situation, if any, that are
directly related to the individual, such as an order that the respondent not contact
that individual. In accordance with College policies protecting privacy, the parties
may be notified generally that the matter has been referred for disciplinary action,
but shall not be informed of the details of the recommended disciplinary action
without the consent of the respondent.
Remedies and Referral to Disciplinary Procedures
Findings of violations of the Policy Prohibiting Discrimination, Harassment (including
Sexual Harassment and Sexual Violence) and Retaliation may be considered in determining
remedies for individuals harmed by the violation and shall be referred to applicable
campus disciplinary procedures. Procedures under this policy will be coordinated with
applicable campus complaint resolution and disciplinary procedures to avoid duplication
in the fact-finding process whenever possible. Information contained in investigative
reports made pursuant to this policy may be used in subsequent complaint resolution and
disciplinary proceedings.
Title IX Requirements Relating to Sexual Harassment and Sexual Violence 4
Privacy
The College shall protect the privacy of individuals involved in a report under this policy
to the extent required by College policy. A report of sexual harassment may result in the
gathering of sensitive information about individuals in the College community. An
individual who has made a report may be advised of sanctions imposed against the
respondent when the individual needs to be aware of the sanction in order for it to be fully
effective (such as restrictions on communication or contact with the individual who made
the report). However, information regarding disciplinary action taken against the
respondent shall not be disclosed without the respondent's consent, unless it is necessary
to ensure compliance with the action or the safety of individuals.
Confidentiality of Reports
Reports to faculty, supervisors and other designated employees create an obligation to
respond, even if the individual making the report requests that no action be taken. An
individual's requests regarding the confidentiality of reports under this policy will be
considered in determining an appropriate response; however, such requests will be
considered in the dual contexts of the College's legal obligation to ensure a working and
learning environment free from discrimination and harassment and the rights of the
responding party to be informed of the allegations. Some level of disclosure may be
necessary to ensure a complete and fair investigation, although the College will comply
with requests for confidentiality to the extent possible.
Confidential resources provide members of the College community with a safe place to
discuss their concerns and learn about the procedures and potential outcomes involved.
Confidential resources include Student Health Services, Employee Assistance and the
Coordinator of Sexual Assault, Awareness, Outreach, and Education. Under limited
circumstances, reports to these resources do not serve as notice to the College to initiate
an investigation to address the alleged sexual harassment.
The Counseling Center
(925) 631-4364
Augustine Hall
Employee Assistance
(925) 631-4212
Filippi Hall
The Coordinator of Sexual Assault Awareness, Outreach, and Education
(925) 631-4193
The Women’s Resource Center, Mitty Hall
Retention of Records Regarding Reports of Sexual Harassment
Title IX Requirements Relating to Sexual Harassment and Sexual Violence 5
The office of the Human Resources Director (Title IX Compliance Coordinator) is
responsible for maintaining records relating to reports, investigations, and resolutions.
Records shall be maintained in accordance with College records policies, generally five
years after the date the matter is resolved. Records may be maintained longer at the
discretion of the Human Resources Director (Title IX Compliance Coordinator) in cases
where the parties have a continuing affiliation with the College. All records pertaining to
pending litigation shall be maintained in accordance with instructions from legal counsel.