Harvard Kennedy School I. Requests for

HARVARD UNIVERSITY – Harvard Kennedy School

Procedures Concerning Alleged Sexual or Gender-Based Harassment by HKS Faculty

The procedures for informal resolution and formal complaint with respect to alleged sexual or

gender- based harassment by an HKS Faculty member are described below. Academic Dean for

Teaching and Curriculum Suzanne Cooper is the HKS Title IX Coordinator for Faculty; she and

other appropriate HKS officers will work with the central University Office for Dispute Resolution

(“ODR”) to implement these procedures.

Harvard students, faculty, staff, other Harvard appointees, or third parties who believe they are

directly affected by the conduct of an HKS faculty member (collectively “Initiating Parties”)

may: request information or advice, including whether certain conduct may violate the Policy;

seek informal resolution; or file a formal complaint. These three options are described below.

Initiating Parties are encouraged to bring their concerns to the HKS Title IX Coordinator for

Faculty, the University’s Title IX Officer, or staff in ODR, but may, if they choose, contact

another School or University officer, who will refer the matter as appropriate.

As set forth below, interim measures designed to support and protect the Initiating Party or the

University community may be considered or implemented at any time, including during a request

for information or advice, informal resolution, or a formal complaint proceeding. Such interim

measures might include, among others: restrictions on contact; course-schedule or work-

schedule alteration; leaves of absence; or increased monitoring of certain areas of the campus.

These interim measures are subject to review and revision throughout the processes described

below.

Requests for Information or Advice

Initiating Parties seeking information or advice can expect to learn about resources available at

the University and elsewhere that provide counseling and support. They also will be advised

about the steps involved in pursuing an informal resolution or filing a formal complaint. In

addition, the HKS Title IX Coordinator for Faculty or the University Title IX Officer or other

staff in ODR may discuss with Initiating Parties whether any interim measures are appropriate at

this stage.

II.

Requests for Informal Resolution

Initiating Parties may make a request, either orally or in writing, for informal resolution to the

HKS Title IX Coordinator for Faculty, the University Title IX Officer, or the Director of ODR.

The request should identify the alleged harasser (if known) and describe the allegations with

specificity. The HKS Title IX Coordinator for Faculty,the University Title IX Officer, or the

Director of ODR in consultation with the Title IX Officer will assess the severity of the alleged

harassment and the potential risk of a hostile environment for others in the community to

determine whether informal resolution may be appropriate.

Upon determining that informal resolution is appropriate, the HKS Title IX Coordinator for

Faculty or (when the Initiating Party makes the request to the ODR) the University Title IX

Officer (or designee) or an ODR Investigator will consult further with the person initiating the

request, inform the person who is the subject of the allegations, and gather additional relevant

information as necessary from the parties and others, as indicated. The HKS Title IX

Coordinator for Faculty or the University Title IX Officer also may put in place any appropriate

interim measures to protect the educational and work environment. The Title IX Officer or

designee, the HKS Title IX Coordinator for Faculty, or the Investigator will attempt to aid the

parties in finding a mutually acceptable resolution. A matter will be deemed satisfactorily

resolved when both parties expressly agree to an outcome that is also acceptable to the HKS

Title IX Coordinator for Faculty.

When the allegations, if true, might constitute criminal conduct, the party against whom they are

brought is hereby advised to seek legal counsel before making any written or oral statements.

Those facing allegations may wish to obtain legal advice about how this process could affect any

criminal case in which they are or may become involved.

At any point prior to such resolution, the Initiating Party may withdraw the request for informal

resolution and initiate a formal complaint under these Procedures.

Ordinarily, the informal resolution process will be concluded within two to three weeks of the

date of the request.

III.

Procedures for Formal Complaints

Initiating a Complaint

An Initiating Party may file a formal complaint alleging a violation of the Policy. A complaint of

sexual or gender-based harassment against a faculty member should be filed directly with the

ODR. ODR will inform the HKS Title IX Coordinator for Faculty as well as the School or unit

Title IX Coordinator for the Complainant that a complaint has been received, and, if indicated,

the Title IX Coordinator(s) will put in place any appropriate interim measures.

A formal complaint must be in writing and signed and dated by a Complainant or a third party

filing on behalf of a potential Complainant (Reporter). It should state the name of the alleged

harasser (if known) and describe with reasonable specificity the incident(s) of alleged

harassment, including the date and place of such incident(s). The complaint must be in the

Complainant or Reporter’s own words, and may not be authored by others, including family

members, advisors, or attorneys. Attached to the complaint should be a list of any sources of

information (for example, witnesses, correspondence, records, and the like) that the Complainant

or Reporter believes may be relevant to the investigation. However, a complaint should not be

delayed if such sources of information are unknown or unavailable.

ODR will not investigate a new complaint if either ODR or HKS has already adjudicated a

formal complaint based on the same circumstances or if the parties and the HKS Title IX

Coordinator for Faculty, the Title IX Officer, or the Director of ODR in consultation with the

Title IX Officer already have agreed to an informal resolution based on the same circumstances.

Whether or not a complaint is filed with ODR, any person may file a complaint of discrimination

with Massachusetts Commission Against Discrimination, the U.S. Equal Employment

Opportunity Commission, the U.S. Department of Education Office of Civil Rights, or any other

state or federal agency having jurisdiction.

Timeframe for Filing a Complaint

The University does not limit the timeframe for filing a complaint. The University encourages

complaints to be filed as soon as reasonably possible following an alleged Policy violation

because the University’s ability to gather adequate information may be limited where a

significant length of time has elapsed between an incident and the filing of a complaint. Further,

the University’s ability to complete its processes may be limited with respect to Respondents

who are no longer employed by the University.

Initial Review

Once a complaint is received by the ODR, the Director of ODR will assign the case to an

Investigative Team for an initial review. Investigators will have appropriate training, so that they

have the specialized skill and understanding to conduct prompt and effective sexual and gender-

based harassment investigations.

The Investigative Team will contact the Complainant or Reporter in an attempt to gather a more

complete understanding of the allegations, as well as any related conduct that may implicate the

Policy. When a complaint is brought by a Reporter, the Investigative Team will endeavor to

meet with the person identified as the potential Complainant both to gather information and to

discuss his or her interest in participating in an investigation.

Based on the information gathered, the Investigative Team will determine whether the

information, if true, would constitute a violation of the Policy such that an investigation is

warranted or whether the information warrants an administrative closure. The Investigative

Team will convey this determination to: the Complainant (and the Reporter, if there is one); the

Director of ODR; the Title IX Officer; and the HKS Title IX Coordinator for Faculty. The

Investigative Team will work with the HKS Title IX Coordinator for Faculty to implement any

appropriate interim measures to be put in place by the School pending the completion of the case

(or to revise as necessary any measures already in place).

Ordinarily, the initial review will be concluded within one week of the date the complaint was

received.

Investigation

Following the decision to begin an investigation, the Investigative Team will notify the

Respondent in writing of the allegations and will provide a copy of the Policy and these

procedures. The Respondent will have one week in which to submit a written statement in

response to the allegations. This statement must be in the Respondent’s own words; Respondents

may not submit statements authored by others, including family members, advisors, or attorneys.

Attached to the statement should be a list of all sources of information (for example, witnesses,

correspondence, records, and the like) that the Respondent believes may be relevant to the

investigation.

If the decision is made to begin an investigation in a case where a Reporter filed the complaint,

and the Complainant is unwilling to participate but the School has assessed the severity of the

harassment and the potential risk of a hostile environment for others in the community and has

determined to proceed, then, for the purposes of these Procedures, the HKS Title IX Coordinator

(or a designee) will be considered the Complainant.

The Investigative Team will request individual interviews with the Complainant and the

Respondent, and, as appropriate, with other witnesses, which may include those identified by the

parties as well as relevant officers of the School or University or others. When identifying

potential witnesses, the parties should understand that the purpose of interviews is to gather and

assess information about the incident(s) at issue in the complaint, not to solicit general

information about a party’s character.

When a complaint involves allegations that, if true, also might constitute criminal conduct,

Respondents are hereby advised to seek legal counsel before making any written or oral

statements. The investigation process is not a legal proceeding, but Respondents might wish to

obtain legal advice about how this process could affect any criminal case in which they are or

may become involved.

After the collection of additional information is complete but prior to the conclusion of the

investigation, the Investigative Team will request individual follow-up interviews with the

Complainant and the Respondent to give each the opportunity to respond to the additional

information.

Personal Advisors

In cases of alleged domestic violence, dating violence, sexual assault, or stalking, both the

Complainant and the Respondent may bring a personal advisor to any interviews with the

Investigative Team. A personal advisor may not be related to anyone involved in the complaint

or have any other involvement in the process.

Personal advisors may view a redacted version of the complaint or other documents provided to

the parties, offer feedback on their advisee’s written statements, and provide general advice.

During interviews, personal advisors may not speak for their advisees, although they may ask to

suspend the interviews briefly if they feel their advisees would benefit from a short break.

Confidentiality

The ODR, personal advisors, and others at the University involved in or aware of the complaint

will take reasonable steps to protect the privacy of all involved. Once a complaint is filed, the

Complainant or Reporter, the Respondent, and any witnesses will be notified of the potential for

compromising the integrity of the investigation by disclosing information about the case and the

expectation that they therefore keep such information – including any documents they may

receive or review – confidential. They also will be notified that sharing such information might

compromise the investigation or may be construed as retaliatory. Retaliation of any kind is a

separate violation of the Policy and may lead to an additional complaint and consequences.

The parties remain free to share their own experiences, though to avoid the possibility of

compromising the investigation, it is generally advisable to limit the number of people in whom

they confide.

Coordination with Law Enforcement Authorities

In all cases, the Investigative Team will have completed the initial review without delay and, as

appropriate, will have proposed interim measures to the HKS Title IX Coordinator for Faculty.

In the event that an allegation includes behavior or actions that are under review by law-

enforcement authorities, the Investigative Team will, in light of status updates from law-

enforcement authorities and the Title IX Officer, assess and reassess the timing of the

investigation under the Policy, so that it does not compromise the criminal investigation.

Conclusion of the Investigation and Issuance of Final Report

At the conclusion of the investigation, the Investigative Team will make findings of fact,

applying a preponderance of the evidence standard, and determine based on those findings of

fact whether there was a violation of the Policy.

The Investigative Team will provide the Complainant and the Respondent with a written draft of

the findings of fact and analysis and will give both parties one week to submit a written response

to the draft. The Investigative Team will consider any written responses before finalizing these

sections of the report and the final section of the report, which will outline any recommended

measures to be taken by the School to eliminate any harassment, prevent its recurrence, and

address its effects. The Title IX Officer and the School will work jointly to put in place such

measures as they determine are appropriate. Consistent with School policies, measures imposed

at this stage might include, among others: restrictions on contact; course- or work-schedule

alteration; changes in housing; leaves of absence; or increased monitoring of certain areas of the

campus.

The investigation will be completed and the final report provided to the Complainant, the

Respondent, the HKS Title IX Coordinator for Faculty, and the HKS Dean, ordinarily within six

weeks of receipt of the complaint.

Appeal

Both the Respondent and the Complainant may appeal the decision of the Investigative Team to

the University Title IX Officer, who shall refer the appeal to a university panel of faculty and

administrators trained to hear appeals of ODR investigation decisions, based on the following

grounds:

A procedural error occurred, which may change the outcome of the decision; or

The appellant has substantive and relevant new information that was not available at the

time of investigation and that may change the outcome of the decision.

Disagreement with the Investigative Team’s findings or determination is not, by itself, a ground

for appeal.

Appeals of the Investigative Team’s decision must be received by the University Title IX Officer

or designee within one week of the date of the final report. Likewise, appeals of decisions to

administratively close a case or to deny a request to withdraw the complaint must be received by

the University Title IX Officer within one week of the date of decision under appeal. Ordinarily,

appeals will be decided within two weeks and the parties and the appropriate School or unit Title

IX Coordinators will be promptly informed of the outcome in writing.

Discipline and Sanctions

The administration of discipline in cases against HKS Faculty is subject to the authority of the

Dean of HKS. Having received the report from ODR in a case where a violation of the Policy

has been determined, (such violations may include acts of sexual and/or gender-based

harassment, submitting a complaint that is not in good faith, providing false or misleading

information, or retaliation against an individual for raising an allegation, for cooperating in an

investigation of such a complaint, or for opposing discriminatory practices), the Dean will

appoint a three-person faculty panel to advise on sanctions. The Dean will make the final

decision on sanctions. In the event that the sanction invokes the Third Statute of the University,

appropriate University processes to enact the sanction will be followed as appropriate. Sanctions

may range from reprimand to dismissal.

What Happens Following the Disposition of a Case

The HKS Title IX Coordinator for Faculty will ensure that any action or sanction determined by

the Dean or Dean’s designee is carried out. If the Policy was found to be violated, a written

record of the formal complaint process and its outcome will be retained by the Dean of the

Faculty.

Special Circumstances

Request for Anonymity

If a potential Complainant asks to remain anonymous, then the Investigative Team, the HKS

Title IX Coordinator for Faculty, or the Title IX Officer, as appropriate, will consider how to

proceed, taking into account the potential Complainant’s wishes, the University’s commitment to

provide a non-discriminatory environment, and the potential Respondent’s right to have specific

notice of the allegations. The Investigative Team, the HKS Title IX Coordinator for Faculty, or

the Title IX Officer may conduct limited fact finding to better understand the context of the

complaint. In some circumstances, a request for anonymity may mean an investigation cannot go

forward, or the Investigative Team, the HKS Title IX Coordinator for Faculty, or the Title IX

Officer may determine that further investigation is necessary, in which case the potential

Complainant will be informed that his or her identity will be disclosed as necessary for the

investigatory process. In other circumstances, the Investigative Team, the HKS Title IX

Coordinator for Faculty, or the Title IX Officer may determine that the matter can be

appropriately resolved without further investigation and without revealing the Complainant’s

identity.

ii.

Administrative Closure

If, after conducting the initial review of a formal complaint, the Investigative Team finds that the

allegation, if true, would not constitute a violation of the Policy, then the Director of ODR will

administratively close the case and notify the Complainant (and the Reporter, if there is one), the

Title IX Officer, and the HKS Title IX Coordinator for Faculty.

Where the Complainant is unwilling to participate in further investigation, the Director of ODR,

in consultation with the Title IX Officer, will assess the severity of the alleged harassment or the

potential risk of a hostile environment for others in the community and will determine whether

administrative closure is appropriate or whether the University should proceed with an

investigation.

Within one week of the decision to close a case administratively, the Complainant or Reporter

may request reconsideration on the grounds that there is substantive and relevant new

information that was not available at the time of the decision and that may change the outcome

of the decision. The Title IX Officer or designee will consider requests for reconsideration and

inform the Complainant or Reporter of the outcome, ordinarily within one week of the date of

the request.

In cases where the Director of ODR concludes that the alleged conduct, while not a violation of

the Policy, might implicate other School or University conduct policies, the Director of ODR

may refer the complaint to the appropriate School or University official.

iii.

Request to Withdraw the Complaint

While every effort will be made to respect the Complainant’s wishes to withdraw a formal

complaint, the University must be mindful of its overarching commitment to provide a non-

discriminatory environment. Thus, in certain circumstances, the Director of ODR may determine

that investigation is appropriate despite a Complainant’s request to withdraw the complaint or

failure to cooperate. Other circumstances also may result in a request to withdraw the complaint

being declined, where, for example, a request to withdraw is made after a significant portion of

the investigation has been completed and terminating the investigation would be inequitable.

iv.

Request for Informal Resolution After a Complaint has Been Filed

Once a complaint has been opened for investigation and before the final report has been provided

to the parties, a party may request informal resolution as an alternative to formal resolution of

the complaint, but that disposition requires agreement of the Complainant and the Respondent

and the approval of the Director of ODR in consultation with the Title IX Officer and HKS.

If such a request is approved, the timeframes will be stayed, and the Investigator or a designee

will take such steps as he or she deems appropriate to assist in reaching a resolution. If the

parties cannot reach an informal resolution within two weeks from receipt of the request, then

the Investigative Team will resume the investigation of the complaint in accordance with the

formal complaint procedures.

IV.

Resources

University Resources:

Office of Sexual Assault Prevention & Response

HUHS Behavioral Health Services

Bureau of Study Counsel

Harvard University Health Services

Harvard Chaplains

Harvard University Police Department

Employee Assistance Program

HKS Title IX Coordinator for Faculty:

Suzanne Cooper

University Title IX Officer:

Nicole Merhill

Director of the Office for Dispute Resolution (ODR):

William McCants

Outside Agencies:

U.S. Department of Education, Office for Civil Rights (OCR)

U.S. Equal Employment Opportunity Commission (EEOC)

Massachusetts Commission Against Discrimination (MCAD)