2022-2023 Academic Year Report
Discrimination and Harassment Prevention and Response Including Sexual Misconduct
Introduction
The University of Rochester is committed to providing a safe environment for the University community to work, learn, live, and socialize together. The purpose of this report is to educate the University community about what the University does to prevent discrimination and harassment in the academic environment and in the workplace—including but not limited to sexual harassment, sexual assault, and other forms of sexual misconduct—and how the University responds to reports of this nature. The information in this report focuses on the University’s Policy against Discrimination and Harassment (PADH or the Policy), the Student Sexual Misconduct Policy (SSMP), and the Title IX Policy, which together prohibit discrimination and harassment based on membership in a protected class, and all types of sexual misconduct, including sexual assault.
1. Discrimination and Harassment: Prevention and Response Across the University
The Civil Rights Compliance Team (CRCT or Team) in the Office of Equity and Inclusion currently includes the Associate Vice President for Civil Rights Compliance and Title IX Coordinator, the Associate Director for Sexual Misconduct Prevention Education and Response, the Director of EO Investigations, the Associate Director of EO Investigations, the Lead EO/Title IX Investigator, three EO/Title IX Investigators, and a Department Coordinator. In addition to these full-time staff positions, the University Title IX Coordinator is supported by school-based Deputy Title IX Coordinators. These individuals hold academic and administrative positions at the University and, as such, are an important in-house Title IX resource at each of the academic units, graduate and professional schools, and the Department of Athletics and Recreation.
The University’s Title IX Office is responsible for educating the University community on University policies and procedures related to sexual misconduct, as well as ensuring that allegations of sex-based harassment are attended to in accordance with University policy and federal and state laws. Additionally, the Director of EO Investigation, Associate Director of EO Investigations, and the investigators regularly educate the community on the PADH, reporting obligations, and the investigation process.
The CRCT ensures that reports of discrimination, harassment, and/or sexual misconduct are evaluated and handled promptly and equitably, with fairness to everyone involved. The Team makes certain that everyone with whom they interact as part of the process understands the applicable policies and has the information they need to determine how to proceed and about their participation.
1.1 Relevant Policies
The University’s Policy against Discrimination and Harassment
The PADH specifically prohibits discrimination or harassment because of an individual’s or a group’s personal traits, characteristics, and/or beliefs, referred to in the Policy as “protected status” or “protected class.” Protected statuses are determined by applicable federal, state, and local laws.
- Age
- Color
- Disability
- Domestic violence status
- Ethnicity
- Gender identity
- Gender expression
- Genetic information
- Marital status
- Familial status or an individual’s reproductive health decision making
- Military/veteran status
- National origin
- Race (including hair style)
- Religion/creed (including religious attire and facial hair)
- Sex
- Sexual orientation
- Citizenship status
- Non-pending arrest or conviction record
- and “any other status protected by law”
The Policy also specifically prohibits retaliation against anyone who complains of or opposes perceived discrimination or harassment as defined in the policy.
The Policy applies to faculty, staff, residents, fellows, postdoctoral appointees, student employees, interns (paid or unpaid), volunteers, and all visitors (including patients, contractors, and vendors) to any University campus, facility, and/or property and to University-sponsored activities and events, whether on University premises or not.
Student complaints against faculty, staff, or vendors are handled under this Policy. However, the Policy is not intended to be used for complaints against students, with the exception of student employees when engaging in discrimination and/or harassment within the scope of their employee role. For complaints against students, the Title IX Policy, Student Sexual Misconduct Policy, and/or Standards of Student Conduct and related procedures may apply.
Even behavior that does not meet the standards of discrimination or harassment as defined in the Policy may be deemed unacceptable or inappropriate. Conduct that may not violate the Policy may still fall short of the values expressed in our vision and values statement: Meliora, Equity, Leadership, Integrity, Openness, Respect, and Accountability. The University can and does take steps to address conduct that could, if continued, meet the Policy definition of discrimination or harassment. The University also can and does take action to address misconduct that does not violate the Policy but is otherwise significant enough to merit disciplinary action.
The Policy Against Discrimination and Harassment can be found on the University’s policies site.
The University’s Title IX Policy and Student Sexual Misconduct Policy
Two additional policies that address issues of sex-based misconduct are the Title IX Policy, which applies to all members of the University community, subject to certain threshold jurisdictional requirements, and the Student Sexual Misconduct Policy, which applies if the accused party is a student and Title IX thresholds would not be met even if the allegations were substantiated.
These University policies set forth thorough, reliable, and impartial investigation and adjudication processes for complaints of sex-based harassment, as well as opportunities for informal resolution. Except in very limited circumstances, a complainant’s wishes regarding initiation of a formal process are given deference when possible.
Information regarding the University’s policies related to sexual misconduct can be found on the University’s sexual misconduct website.
1.2 Education and Awareness Programs
Education and training on the subjects of diversity, inclusion, and equity, as well as sexual misconduct, including prevention and response to sexual misconduct, are an essential part of building awareness and a cohesive work and academic environment and are offered throughout the calendar year. These skill-building opportunities are designed to inspire sensitivity and increase awareness.
Discrimination and Harassment
The CRCT—in conjunction with partners both on campus and in the Rochester community—regularly provide training to faculty, staff, and students regarding how to identify and respond to discrimination and harassment, as well as information about resources, supportive services, grievance processes, and reporting options. All employees are required to take online harassment and discrimination prevention training on an annual basis.
Sexual Misconduct
All new and transfer students at the University are required to participate in training regarding sexual misconduct during their orientation to the University. In addition to requirements for new students, all student leaders must participate in supplemental training required by the New York State Education Law and, for student-athletes, required by both NYS law and National Collegiate Athletic Association (NCAA) policy.
The Prevention and Education team is responsible for envisioning, designing, and implementing evidence-based programming, trainings, and outreach on the topics of sexual misconduct prevention, awareness, and Title IX compliance in collaboration with University and community partners to undergraduate and graduate students. Prevention and Education staff create sexual misconduct prevention programs and projects, tailoring the content to fit each school’s educational needs within the University’s pedagogical standards, frameworks, and value statement. Additional information regarding available training on these topics can be found online.
In addition to our educational prevention measures, the University’s Department of Public Safety (DPS) provides prevention-related security services for all University campuses. These include regular security patrols by Public Safety officers, the utilization of residence hall access restriction systems and protocols, the use of security cameras, and the provision of emergency phones throughout the campuses. Public Safety also provides transportation services to students concerned about their safety and uses “UR Alert,” an emergency notification system that all members of the community can sign up for to receive information about health or safety issues. More detailed information regarding prevention-related security measures as well as data regarding reported crimes are described in the University’s Think Safe report, which is published annually.
A climate survey focusing on sexual assault and misconduct is delivered to all students at the University biennially. The iteration of this survey relevant to this 2022-2023 annual report launched in April 2021. The deidentified results from the 2021 Campus Climate Survey are located on the University’s sexual misconduct website. OEI launched a new iteration of the survey in Spring 2023. Results of that survey can be found by visiting the 2023 Campus Climate Survey Results Report.
1.3 Reporting and Response
PADH Reporting and Response
Concerns about discrimination or harassment based on a protected class should be reported to the Civil Rights Compliance Team within the Office of Equity and Inclusion. There are three ways to make a report:
- Email PADH@rochester.edu
- Use the online form to make a report
- Call and leave a detailed voicemail with contact information at 585-275-2340
Complaints made orally or in writing to another person or office (for example: an individual’s department chair, dean, director, or immediate supervisor; the Office of Human Resources; any University Ombuds; or the Office of Counsel) must be promptly reported to the Team, preferably through an online report.
Reports of potential discrimination or harassment against faculty or staff made through Bias-Related Incident Reports will be referred to the CRCT and addressed through the PADH process unless the alleged behavior meets the thresholds established in the Title IX regulations, in which case Title IX Policy and procedures apply.
All members of the University community are encouraged to report discrimination, harassment, and retaliation. Management and supervisory personnel, faculty members, Human Resources Business Partners, employees in the Office of Counsel, and employees in the Office of Equity and Inclusion must report when they observe or learn of perceived discrimination, harassment, or retaliation in the workplace.
Upon receipt of a report of discrimination or harassment, the Team evaluates the appropriate next step, which may include initiation of an investigation or a determination that the allegations can be most effectively and efficiently addressed through alternative resolution (which can take a number of forms).
Sexual Misconduct Reporting and Response
Contact the Title IX Team about resources and/or to report alleged sexual misconduct by:
- Emailing titleix@rochester.edu
- Using the online form to file a report
- Leaving a detailed voicemail at 585-275-1654
The Title IX Coordinator receives information about allegations of sexual misconduct through several channels. In addition to direct reports by students to the Title IX Office, many interactions involving undergraduate students are referred by Residential Life student and professional staff after students disclose information to a resident or community advisor.
Graduate students are more commonly referred through the CARE Network, or a student’s direct outreach to a Title IX Coordinator or other faculty or staff member who subsequently refers the student to the Title IX Office. Reports involving sexual misconduct involving employees are sometimes reported as PADH concerns and, if appropriate, referred to the Title IX Coordinator by the CRCT.
In the student context, Responsible University Officials and Responsible Employees have separate reporting obligations outlined in the Title IX Policy, ,the Student Sexual Misconduct Policy, and the Standards of Student Conduct. More detailed information regarding the processes for reporting student sexual misconduct complaints is included in the Reporting Options and Resources guides located on the University’s sexual misconduct website.
Prior to meeting with potential Title IX complainants, staff provides the affected individual materials to review with written information about rights and options for accessing supportive resources, as well as how to make a complaint. When individuals arrive for their meeting, this information is reviewed again together with Title IX staff, so that the individual is well-informed to consider and decide what comes next.
In addition to making connections to University resources, Title IX staff will inform individuals who report certain types of sexual misconduct of their right to make a report to state or local police. They are also advised about their option to seek assistance from outside agencies such as RESTORE Sexual Assault Services, Willow Domestic Violence Center, and The Legal Aid Society of Rochester. A list of additional Rochester, New York State, and national resources can be found here.
Individuals’ preferences regarding what resources and/or reporting mechanism they want to use is given tremendous deference. In most cases, the University respects a complainant’s wishes regarding whether they wish to initiate a grievance process or decline to report the incident at all. However, in some cases the University has an obligation to respond to an allegation of discrimination or harassment. This is particularly true in cases where the respondent is an employee.
1.4 Supportive Measures and Accommodations
All individuals who come forward with a concern of discrimination or harassment related to a protected class (including sexual misconduct) are entitled to supportive measures regardless of whether they want to pursue an investigation into their concern. In Title IX matters, options for accommodations are discussed at length during an individual’s first meeting with Title IX staff.
The most common accommodation requests from students are related to academics (requests for extended due dates, changes to exam schedules, or movement to a different section of a course to avoid interacting with a particular party). Other accommodation requests for students include changes to housing or parking assignments, requests for transportation assistance, and connection to counseling and other health services.
Common accommodations for employees include temporary leaves of absences; exclusion from programs and facilities; altering working, learning, or patient care environments; or imposing other conditions in the University environment as warranted.
Active Avoidance Orders (AAO) are an option for both students and employees involved in either the Title IX or PADH process. An AAO is issued to limit contact between two or more individuals who are engaged in an interpersonal conflict. An AAO is only valid on University of Rochester campuses and is not considered formal disciplinary action by the University when issued as a supportive measure.
1.5 Investigation & Decision-Making Processes
All complaints are reviewed by the Civil Rights Compliance Team and are assigned to investigators as appropriate. All investigators at the University have undergone extensive training to ensure their investigations and resulting reports reflect a thorough, fair, reliable, and trauma-informed process that is sensitive and respectful to all parties.
Discrimination and Harassment
All complaints alleging discrimination, harassment or retaliation require some degree of investigation and may require witness interviews and an investigative report. However, even for matters that are partially or fully investigated, the University may decide to use an alternative resolution to most expeditiously resolve the concern via education, mediation, restorative practices or other alternative means.
The process for investigations resulting in an investigation report is outlined in the PADH and typically includes interviews with the complainant, the respondent, and witnesses with knowledge of the conduct alleged. When the investigation is complete, a written report may be prepared by the investigator and sent to a decision-making panel. A list of the panel chairs can be found in the Policy. When a report is sent to a panel, the panel members make a determination whether the substantiated allegations, if any, reflect a violation of the PADH. During its review, a panel may also identify issues that, although not a PADH violation, should be addressed in some other form. The PADH permits an appeal from a panel determination on specific grounds set forth in the policy.
Sexual Misconduct
Complaints brought by students and employees may fall under the Title IX policy. If the complainant chooses to sign a formal complaint containing allegations of sexual misconduct that meet the threshold requirements of the Title IX Policy, the University is required to proceed under the grievance procedure set forth in that policy. In sum, an investigator is assigned to gather the relevant information through interviews and requests for other relevant evidence, and then prepare an investigative report. The investigation includes access to review and respond to the evidence gathered during the investigation and a draft investigative report.
An investigation usually is followed by a hearing wherein parties and witnesses are questioned, and then a determination is subsequently made by an outside adjudicator. Any determination would include findings of fact supported by a preponderance of evidence, whether a policy violation occurred, and what, if any, discipline or sanction should result. The Title IX Policy allows for an appeal of the hearing decision on specific grounds set forth in the policy.
If a complaint of sexual misconduct against a student does not meet the Title IX Policy threshold requirements, the complaint may be investigated under the Student Sexual Misconduct Policy, which follows a similar investigation and hearing process as Title IX. If a complaint of sexual misconduct against an employee does not meet the Title IX Policy threshold requirements, the Policy Against Discrimination and Harassment process is used.
2. Data on Reports, Investigations, and Outcomes
This report contains data regarding complaints of discrimination, harassment, and/or retaliation for the 2022-2023 academic year. The data included in this report reflect all complaints of discrimination, harassment, and/or retaliation, regardless whether the complaint was resolved through a formal investigation report and panel determination or through an alternative resolution. The data also includes any written complaints made under the Policy Against Discrimination and Harassment or submitted to the Title IX Coordinator, even if those complaints did not allege any discrimination or harassment based on membership in a protected class or did not allege any retaliation. Finally, the data includes any complaint forwarded to the Civil Rights Compliance Team, even if the complaint could not be investigated because the complaint or the complainant did not provide sufficient information to either identify the respondent or investigate the complaint.
2.1 Policy Against Discrimination and Harassment (PADH) Data
Affiliation of Complainants
In academic year 2022-2023 (between July 1, 2022, and June 30, 2023), there were a total of 706 complaints. This compares to 695 complaints in the prior academic year, 427 complaints the year before that, and 147 complaints the year before that. In 71 percent of matters, the complainant was a staff member.
Affiliation of Respondents
Of the complaints for which a respondent could be identified, most often the respondent was a staff member (in 69 percent of complaints). See below chart for a complete breakdown of respondent affiliations.
Nature of Allegations
Complainants at times identify membership in more than one protected class as part of their complaint or may also include a complaint of retaliation. Other complainants do not identify any protected class as part of their complaint.
Reports of sex-based discrimination can include complaints of sexual harassment, sexual assault, stalking, dating and domestic violence, gender identity/expression discrimination, sexual orientation discrimination, and pregnancy discrimination.
Where a complainant indicates more than one basis for the complaint, all of those bases are separately reported here. The bases identified by complainants are also reported regardless of whether the allegations or the investigation support it.
See below chart regarding nature of allegations.
Complaint Outcomes
Of the 706 complaints received in 2022-2023, 42 (or six percent) were investigations resulting in investigation reports. Regardless of whether a complaint was resolved by a panel determination based on an investigation report or by an alternative resolution, in 265 cases, the respondent received additional training, education, coaching and/or counseling, and in 40 cases, the respondent received some form of discipline, ranging from a verbal warning to termination of employment.[1]
[1] A number of matters remain in progress at the time of this report; numbers regarding the incidents of disciplinary outcomes may increase as those matters resolve.
Trends
Race and sex-based complaints continue to be the most prevalent. This year, 37 percent of the complaints were regarding race-based discrimination (up 4% from the prior year), and 30 percent were regarding sex-based discrimination (down 7% from the prior year).
2.2 Title IX and SSMP Data
Affiliation of Complainants
Between July 1, 2022, and June 30, 2023, the University received 134 reports alleging conduct falling within the Title IX Policy and/or the SSMP. This compares to 128 complaints in the 2021-2022 academic year, 95 complaints in the 2020-2021 academic year, 124 complaints in the 2019-2020 academic year, 127 complaints in the 2018-2019 academic year, and 116 complaints in the 2017-2018 academic year.
In 2022-2023, twelve additional reports did not fall within either policy:
- one report was deemed a duplicate
- eight reports were forwarded to be addressed pursuant to the PADH process
- three reports did not allege conduct falling within the Title IX Policy or SSMP
In 2022–2023, the vast majority of the student complainants (113) were students in Arts, Sciences & Engineering, followed by Eastman School of Music students as a distant second (7), the School of Medicine and Dentistry (4), the Simon School of Business (3), and the Warner School of Education (1).
The Title IX policy includes complaints of sexual misconduct against employees when Title IX jurisdictional requirements are met. In 2022-2023, there was an employee complaint that met the Title IX threshold that proceeded under the Title IX grievance policy.
Affiliation of Respondents
In 2022-2023, 78 of the complaints were regarding students in Arts, Sciences & Engineering (AS&E).
Nature of Allegations
The information below describes the types of alleged behavior in reports made to the Title IX Office. It is important to note that complaints often involve more than one allegation of inappropriate behavior; for example, it is common for an individual to have been alleged to have engaged in both sexual assault and fondling in the course of one reported incident.
In 2022–2023, the University received 21 complaints of actual or attempted sexual assault, 4 complaints of fondling, 29 complaints of dating or domestic violence, 22 complaints of stalking behavior, 3 complaints of sexual exploitation, and 46 complaints of sexual harassment brought by students.
Connection to Support without Referral to Formal Process
The majority of individuals who disclose a sexual misconduct incident to the Title IX Office do not request an investigation of the incident, nor do they provide appropriate and/or sufficient details for the University to pursue an investigation without the complaining individual’s participation. These individuals request to receive connections to supportive resources and accommodations, but do not wish to move forward with a grievance process and investigation. While every individual who is connected to the Title IX Office is made aware of the University’s desire to investigate and respond, the University is required (pursuant to New York State’s “Enough Is Enough” Education Law obligations) to respect affected individuals’ decisions not to initiate a formal process unless one or more of the aggravating factors outlined in the applicable University policy is present, or the University is otherwise required by law to respond to the reported conduct. In the event that any individual, student or employee reports a concern of alleged sexual misconduct committed by University faculty or staff, the University has heightened responsibility to take remedial action, although the University always makes efforts to secure the cooperation of the complainant before moving forward.
Transcript Notation Policy
New York State Education Law requires the University to put a notation on the academic transcripts of students who are suspended or expelled following a finding of responsibility for sexual misconduct that would amount to a crime as defined by applicable federal law. Students who withdraw from the University pending a proceeding within the conduct system, which includes Title IX and SSMP matters, will have a notation placed on their transcript indicating that they withdrew from the University pending non-academic disciplinary action.
In the 2022-2023 academic year, one student withdrew from the University after pending conduct allegations that they engaged in sexual misconduct. Between 2018 and 2022, there was one student who withdrew from the University under such circumstances, and in the 2017-18 academic year, three students withdrew.
In 2022–2023, five student sexual misconduct cases went forward to a process, down from ten in 2021 – 2022 academic year. Of those complaints, one resulted in findings of responsibility, three were resolved through Informal Resolution, one was concluded when the complainant withdrew the complaint, and two remained in progress at the end of spring 2023 semester.
In addition, disciplinary consequences can also include a ban from University housing or other property and an ongoing Active Avoidance Order.
3. Conclusion and Goals
The University is committed to preventing and addressing discrimination and harassment in the workplace and academic environment by providing strategic, proactive, preventive programming and processes in the area of civil rights compliance and harassment/discrimination response. The University continues to partner with internal and external resources to develop and provide training and support to the Title IX Coordinator, investigators, advisors, adjudicators, appeal board members, and the Policy Against Discrimination and Harassment decision makers, all in furtherance of its efforts to ensure fair, thorough, and impartial processes for all individuals involved.
The University remains committed to revising and creating materials geared toward understanding our policies and procedures and highlighting how to access important resources. This includes creating additional materials explaining the reporting obligations of faculty and staff found in different policies and procedures, including the Policy Against Discrimination and Harassment, the Title IX Policy, the Standards of Student Conduct, and the Student Sexual Misconduct Policy.