Nondiscrimination and Equal Opportunity Resolution Procedures – Office for University Equity and Compliance

Nondiscrimination and Equal Opportunity Resolution Procedures (US + CAN)

These Procedures apply to all campuses in the US and Canada.

The Nondiscrimination and Equal Opportunity Complaint Procedures set forth the options and steps for reporting allegations of discrimination and harassment and/or retaliation.

Responsible Office: Office for University Equity and Compliance

Effective Date: September 6, 2024

I. Purpose and Scope

These Procedures set forth the options and steps for reporting and resoling allegations of Discrimination, Discriminatory Harassment, and Retaliation pursuant to Northeastern University’s Policy on Nondiscrimination and Equal Opportunity and Policy on Non-Fraternization (together, the “Policies”). Discrimination, including Discriminatory Harassment, and Retaliation are defined in the university’s Policy on Nondiscrimination and Equal Opportunity. Terms defined in the Policies have the same definitions in these Procedures.

To provide a living, learning, and working environment free of discrimination and harassment, Northeastern University (the “university”) prohibits discrimination, including harassment, on the basis of race, color, religion, religious creed, genetic information, sex (including pregnancy or pregnancy related condition, sex stereotypes, and sex characteristics), gender, gender identity, gender expression, sexual orientation, age, national origin, ancestry, ethnicity, citizenship or country of residence, disability status, or veteran and military status, and will take appropriate action to stop, remedy and prevent such discrimination. Please note that reports of sex- and gender-based harassment and discrimination, including sexual assault, sexual exploitation, domestic violence, intimate partner violence, dating violence, stalking, and retaliation, are governed by the University’s Policy on Sexual and Gender-Based Harassment and Title IX and separate procedures referenced in that policy.

The Office for University Equity and Compliance (OUEC) is responsible for enforcing university policies prohibiting discrimination, harassment, and retaliation, including the Policies and these Procedures.

These Procedures apply to all reports of Discrimination, Discriminatory Harassment, and Retaliation under the Policies reported on or after the effective date of these Procedures.

II. Reports of Discrimination

A. Filing a Report

Any university student, faculty, or staff member, or any member of the university community who is accessing or attempting to access university property, programs, or activities, may file a report directly with OUEC against a university community member who is a current student, faculty, or staff member, affiliate, volunteer, contractor, or visitor who is believed to have engaged in conduct constituting Discrimination, Discriminatory Harassment, or Retaliation as outlined in the Policies while on university property or participating in university programs or activities, or while off of campus property or outside of the university’s programs or activities if the conduct limits or denies the ability of community members to participate in university programs or activities or contributes to a hostile environment. A report may be filed by a person who alleges that they were subjected to Discrimination (known as a Complainant) or by another reporter with knowledge of the alleged Discrimination.

Supervisors (except those in roles designated as confidential resources) are required to report promptly to OUEC all instances or allegations of conduct that may constitute Discrimination, Discriminatory Harassment, or Retaliation that are disclosed to, observed by, or otherwise known to them. Other university employees are strongly encouraged to report Discrimination, Discriminatory Harassment, and Retaliation that they witness or learn is occurring in the University’s programs or activities. University employees with questions about reporting obligations and options are encouraged to contact the OUEC.

Instances of Discrimination, Discriminatory Harassment, or Retaliation can be reported to the OUEC in any of the following ways:

Using OUEC’s online Discrimination Report Form

Emailing OUEC@northeastern.edu

Making a verbal report or hand-delivering a written report to the OUEC’s main office at 125 Richards Hall on the Boston campus

Mailing a report to: Office for University Equity and Compliance, 360 Huntington Avenue, 125 Richards Hall, Boston, MA 02115

OUEC encourages reporting through its online Discrimination Report Form, which is structured to assist community members in documenting their allegations and providing OUEC with sufficient information to evaluate the report. Reports of all forms should include the following information, if known:

the Complainant’s name and contact information, and the reporter’s name and contact information (if different);
the name of the Respondent(s);
an explanation of the conduct believed to constitute Discrimination, Discriminatory Harassment, Retaliation, or another violation of the Policies with approximate date(s) of when these actions occurred; and
a brief description of why the Complainant or reporter believes that the alleged conduct at issue is based on one or more protected characteristics.

Northeastern also provides an anonymous compliance hotline for members of the university community which is managed by an independent, third-party company. Reports of Discrimination, Discriminatory Harassment, and Retaliation made through the compliance hotline are forwarded to OUEC. For more information or to make a report, visit northeastern.ethicspoint.com or call 1-855-350-9390. The university will make reasonable efforts to address anonymous reports; however, without specific information, the university’s ability to address or resolve a matter may be limited.

After receiving a report, OUEC may seek to meet with the Complainant or reporter or otherwise gather additional information about the allegations to conduct an initial assessment of the report.

B. Initial Assessment of Reports

OUEC will conduct an initial assessment of a report and will typically determine whether a report may proceed to Formal or Informal Resolution under these Procedures within five (5) working days after meeting with Complainant, subject to reasonable extensions for good cause. If OUEC determines that the report’s allegations, if true, would constitute a potential violation of the Policies, OUEC will inform the Complainant of the resources and pathways towards a resolution available through the OUEC under these Procedures.

OUEC may determine that a report will not proceed to Formal or Informal Resolution in the following circumstances:

If OUEC determines that the allegations against the Respondent, if true, do not constitute a potential violation of the Policies, or that OUEC has no jurisdiction in the matter, OUEC staff will provide appropriate referrals to both on and off-campus resources and dismiss the matter.

If OUEC determines that a Respondent’s alleged conduct created or contributed to a hostile environment in a university program or activity but the Respondent is not subject to the university’s disciplinary authority, OUEC will offer supportive services in writing to the Complainant and/or other affected parties as appropriate and will take appropriate measures reasonably calculated to stop and prevent the recurrence of the alleged conduct.

The Assistant Vice President for University Equity and Compliance reserves the right to decline to initiate a resolution procedure and close any matter which they believe is being or has been addressed in a sufficient and reasonable manner by another department or office within the university. The Assistant Vice President for University Equity and Compliance will document any such determination and inform the Complainant in writing as appropriate.

In response to a report, the university will take actions needed to end any Discrimination, Discriminatory Harassment or Retaliation; eliminate any hostile environment and its effects; and prevent Discrimination, Discriminatory Harassment or Retaliation from recurring. The university may implement supportive, remedial or protective measures (discussed in Section II.D below) other than through the Formal or Informal Resolution Procedures in certain situations, including when the alleged Respondent is not a member of the university community.

Note on Academic Freedom:

The university is committed to academic freedom, and these Procedures will be implemented in conjunction with other applicable university policies and handbooks, including the university’s Statement on Free Expression. The subjective perception of offensiveness, on its own, is not sufficient for speech to constitute a policy violation. Speech or expressive conduct that rises to the level of Discrimination or Discriminatory Harassment as defined in the Policy on Equal Opportunity and Nondiscrimination may be addressed by the university pursuant to these Procedures.

C. Involvement of Complainants

After receiving a report, OUEC will reach out to a Complainant named in the report to discuss the matter and the options and resources available to the Complainant. OUEC may also, as appropriate, inform the Complainant about the Formal or Informal Resolution Procedures and the Complainant’s options for pursuing and participating in those procedures.

If a Complainant chooses not to pursue a resolution procedure through the OUEC, the Assistant Vice President for University Equity and Compliance will offer supportive measures as appropriate and review the facts gathered to determine if additional investigative and/or remedial steps are necessary to address a potential hostile environment in a university education program, activity or work environment or to protect the safety of the university community.

The Assistant Vice President for University Equity and Compliance will review the information gathered and determine whether to proceed without the involvement of a Complainant who chooses not to participate or whose identity is not known to OUEC. Typically, this determination will be made within five (5) working days of the completion of information gathering, subject to reasonable extensions for good cause, including new information.

The Assistant Vice President for University Equity and Compliance will notify the Complainant of a determination to proceed with resolution procedures and explain the Complainant’s right to participate or not participate in any Formal Resolution or other actions undertaken by the university, as well as offer support resources and address any safety concerns that the Complainant may have. If the Assistant Vice President for University Equity and Compliance determines not to proceed with Informal or Formal Resolution Procedures, they will document their rationale and actions taken to eliminate any Discrimination or Discriminatory Harassment, prevent its recurrence, and remediate its effects.

In cases where the university initiates a Formal Resolution Procedure without the involvement of a Complainant, the Assistant Vice President of University Equity and Compliance is not a Complainant or otherwise a party to the investigation.

In cases where a Complainant was participating in a university education program or activity or employed by the university at the time of the reported conduct, the Complainant may choose to participate fully in a university resolution process even if the Complainant leaves the university before that process is completed.

D. Supportive, Remedial, and Protective Measures

OUEC may, at any time, offer to coordinate supportive measures for any community member who has been affected by alleged Discrimination, Discriminatory Harassment, or Retaliation. Supportive measures are non-disciplinary, non-punitive, individualized services offered as appropriate, and without fee or charge. Supportive measures are designed to restore or preserve equal access to the university’s education or activity without unreasonably burdening any person. A Complainant or Respondent may receive supportive measures during and after the pendency of the Formal or Informal Resolution Procedures, or a person may receive supportive measures where no formal or informal process has been initiated. OUEC may also offer to coordinate other remedial or protective measures as appropriate, including on an interim basis.

If the Assistant Vice President of University Equity and Compliance determines that a report of discrimination reveals involvement of, or a pattern of behavior by a recognized student club or organization, the Assistant Vice President of University Equity and Compliance will consult with appropriate university officials regarding any appropriate interim university action pending outcome of a university investigation, including, but not limited to, training or prevention programs, or interim suspension or modification of standing or privileges.

III. Resolution Options

These Procedures offer two forms of resolution for reports of Discrimination, Discriminatory Harassment, Retaliation, or other alleged violations of the Policies:

The Informal Resolution Procedure is a voluntary and remedy-driven pathway to a complaint resolution that is acceptable to the Complainant, Respondent, and the OUEC without a full university investigation and without official findings of fact.

The Formal Resolution Procedure provides a structured process for investigating and resolving reports that includes official findings of fact.

The Informal Resolution Procedure and Formal Resolution Procedure are described in more detail below.

A. Informal Resolution Procedure

1. Overview of Informal Resolution

The Informal Resolution Procedure is a voluntary and remedy-driven pathway to a complaint resolution that is acceptable to the Complainant, Respondent, and the OUEC without a comprehensive investigation through the Formal Resolution Procedure. In keeping with the nature and spirit of an Informal Resolution, this procedure does not involve a determination whether a Respondent has violated the Policies. Instead, the OUEC attempts to facilitate a mutually acceptable resolution. The university does not require a Complainant to utilize the Informal Resolution Procedure prior to pursuing a Formal Resolution Procedure.

Informal Resolutions may be pursued after a report of an alleged violation of the Policies is submitted to the OUEC, the Complainant and Respondent have been fully informed of all available resolution options, and the Complainant and Respondent have explicitly communicated their choice to utilize the Informal Resolution Procedure to the OUEC. A Complainant or Respondent can request the Informal Resolution Procedure any time prior to the university reaching a determination regarding responsibility of a violation of the Policies. However, some reports, specifically those implicating violence or particularly severe harassment, may not be appropriate for resolution under an Informal Resolution Procedure and the university reserves the right to proceed with a Formal Resolution at any time.

The OUEC may assist the parties in informally resolving a report. Complainants and Respondents will not communicate one-on-one as part of the resolution process unless agreed by all parties and the OUEC where neither party feels threatened and there is no risk of physical harm. Where the OUEC assists the parties in reaching a resolution, OUEC may also bring in various non-party university partners depending on the nature of the report, including, but not limited to (i) the Complainant’s supervisor; (ii) the Respondent’s supervisor; (iii) a Human Resources representative; (iv) the Ombuds Office; or (v) Disability Access Services.

Any combination of the options offered under the Informal Resolution Procedure may be utilized in any order. Examples of Informal Resolutions include, but are not limited to:

Facilitated dialogue: a structured conversation, facilitated by a third party, between the parties can assist in facilitating an agreed solution;

Educational conversations;

Restorative conferences;

Impact statement: a letter written by the Complainant and read to the Respondent by either the Complainant or the facilitator of the Informal Process.

Possible outcomes of an Informal Resolution may include, but are not limited to, a written understanding about future conduct, broad-based educational programming or training for relevant individuals or groups, or any other remedial or protective measures that can be tailored to the involved individuals.

2. Details of the Informal Resolution Procedure

If the Complainant requests that the Informal Resolution Procedure be utilized after having been fully informed of all available options, OUEC will first determine whether the reported conduct constitutes a potential violation of the Policies within OUEC jurisdiction. If the report is found to constitute a potential policy violation within OUEC jurisdiction, OUEC will notify the Respondent, in writing, that a report has been filed against them and that the Complainant has requested an Informal Resolution. The facilitator assigned to the matter will share Complainant’s Informal Resolution request with the Respondent during their initial meeting, if Respondent agrees to meet.

A Respondent who receives notification of a report through the Formal Resolution Procedure may also request that the Informal Resolution Procedure be utilized. OUEC will notify the Complainant of the Respondent’s request, and, if the Complainant agrees, will arrange for the Complainant to meet with the facilitator assigned to the matter.

As part of the Informal Resolution process, OUEC will provide the Complainant and the Respondent a summary of the alleged potential Policy violation(s) and provide an explanation of the Informal Resolution Procedure, including:

That the parties must provide voluntary, written consent to participate in the Informal Resolution Procedure;

That completion of the Informal Resolution Procedure will be documented through a Memorandum of Agreement (MOA), containing any agreed upon terms of the Informal Resolution, which precludes the parties from resuming a Formal Resolution Procedure arising from the same allegations;

That at any time prior to agreeing to an Informal Resolution, any party has the right to withdraw from the Informal Resolution Procedure and resume the grievance process with respect to the Formal Resolution Procedure;

That if an Informal Resolution is not achieved within 30 days, subject to reasonable extensions for good cause, the Facilitator will notify all parties and OUEC in writing that the Informal Resolution process has terminated without an MOA.

That if an Informal Resolution Procedure is ended by request of one of the parties or the facilitator, any information obtained may not be used in a subsequent Formal Resolution Procedure; and

That a summary of the Informal Resolution Procedure will be kept on file with OUEC, but that neither that file nor the MOA will be considered part of any student’s academic record or any employee’s personnel file.

If a resolution is reached through the Informal Resolution Procedure, the matter will be considered closed. If an Informal Resolution MOA is not reached or if OUEC determines that further process is necessary, OUEC may initiate the Formal Resolution Procedure. Either party’s failure to comply with the terms of an MOA may result in discipline under the Code of Student Conduct, under university policies applicable to employees, or as provided in the MOA.

The university retains the discretion and authority to determine whether the Informal Resolution Procedure is inappropriate or is no longer appropriate. The university will consider, among other things, the following factors in making its decision: the length of time of Informal Resolution Procedure, the results of the Informal Resolution Procedure, the gravity of the alleged offense, the risk of harm to an individual or the community at large, the risk of a violation of law, or any other reason that necessitates elevation to the Formal Resolution Procedure.

B. Formal Resolution Procedure

The Formal Resolution Procedure includes an investigation by OUEC into the allegations of a report to determine whether the Respondent(s) has violated the Policies, as described below in Section III.B.1. When the investigation is complete, the remaining steps in the Formal Resolution Process are described in Section III.B.2 below for matters involving employee Respondents and in Section III.B.3 below for matters involving student Respondents. If a Respondent is both a student and an employee of the university, the Assistant Vice President for University Equity and Compliance will determine which of the procedures applies based on the facts and circumstances, including which of the Respondent’s roles predominates in the context of the reported conduct.

The university’s Formal Resolution Procedure is not designed to replicate an external judicial process. Consequently, during the investigation:

Complainants and Respondents are expected to meet with representatives of the OUEC as requested.

Neither a Complainant nor a Respondent may have legal counsel present or participate in any such meetings.

Complainants and Respondents are expected to communicate with the OUEC directly, not through legal counsel or other intermediaries.

OUEC responds to reports under the Formal Resolution Procedure as outlined below. However, there may be circumstances that support a departure from these procedures, and, should such circumstances arise, OUEC will advise the parties.

1. Investigations Under Formal Resolution Procedures

Investigations under the Formal Resolution Procedure consist of the following steps:

Commencement of Investigation. If OUEC determines that a report, if true, would constitute a potential violation of the Policies as discussed in Section II.B, the Assistant Vice President for University Equity and Compliance will assign an investigator to the matter. The investigation begins when the OUEC separately notifies the Complainant and the Respondent of the investigation, provides a summary of the alleged Policy violations, and provides an explanation of the investigation process as described in this Procedure.

Gathering Information. The investigator will request to meet separately with the Complainant and the Respondent for an interview. The Assistant Vice President for University Equity and Compliance, or an appointed designee, may, in their discretion, allow written statements in lieu of an interview. Both the Complainant and the Respondent will have the opportunity to provide relevant documentary evidence (e.g., photographs, text messages, emails, phone records, receipts) and the names of relevant witnesses with information about the alleged discrimination. The investigator, in their discretion, may seek to interview witnesses identified by the parties or otherwise determined to have potentially relevant information.

Written Interview Summaries. The investigator(s) will provide each interviewed party a written interview summary for review via their university email account. The interviewed party will review the summary and, within two (2) business days of receipt, will confirm the summary’s accuracy or provide a written response. Failure to respond within two (2) business days will be considered confirmation of the accuracy of the summary. The investigator(s) will review any written response by an interviewed party and will incorporate into the Investigative Report information deemed relevant in the discretion of the investigator(s).

Preparation of the Investigative Report. The investigator will produce an Investigative Report based on the available information, regardless of participation by the parties in the investigation. The investigator may attach to the Investigative Report any documentation, reports, video or other items the investigator deems relevant. The investigator has the discretion to determine the relevance of any witness or evidence and may exclude information determined not to be relevant in preparing the Investigative Report. General information about an individual’s character is not typically considered relevant.

The investigator will submit the Investigative Report to the Assistant Vice President for University Equity and Compliance, who will review the Investigative Report to assess its thoroughness, reliability and impartiality. When the Assistant Vice President for University Equity and Compliance determines that the Investigative Report is complete, the matter will proceed to a determination under Section III.B.2 below for employee Respondents or Section III.B.3 below for student Respondents. Facts established as part of an OUEC investigation that reveal conduct which may violate other university policies, procedures or commonly accepted norms of conduct will be referred to the appropriate office for review.

Investigations will typically take forty (40) working days from notification of the investigation to issuance of the Investigative Report, subject to reasonable extensions for good cause.

2. Determinations and Appeals When the Respondent is an Employee

In cases where the Respondent is an employee, the Assistant Vice President for University Equity and Compliance will review the Investigative Report and determine the findings of the case based on a “preponderance of the evidence” (more likely than not that a policy violation occurred) standard. After reaching a determination, OUEC will issue a Notice of Investigative Findings in writing concurrently to both parties setting forth its findings and the rationale for its conclusions. The review process will typically take ten (10) working days from the date the Assistant Vice President for University Equity and Compliance receives the final Investigation Report to the Notice of Investigative Findings being sent to the parties, subject to reasonable extensions for good cause.

Consistent with applicable university policies, the administrative official immediately responsible for supervision of the Respondent and/or their designee and Human Resources are responsible for determining appropriate remedial, disciplinary and/or other responsive action when an investigation results in a finding of responsibility. These administrators will communicate the outcome of the process to the parties, subject to any restrictions imposed by the Family Educational Rights and Privacy Law (FERPA) or other confidentiality obligations imposed by law or university policy.

When an investigation results in a finding of responsibility for violating policy for an employee, the Notice of Investigative Findings and any notice of disciplinary and/or other responsive action may be added to the personnel file of the Respondent.

Appeals When the Respondent is an Employee

Within five (5) business days of the issuance of the Notice of Investigative Findings, the Complainant or the Respondent may file a written appeal to the Assistant Vice President of University Equity and Compliance that specifies the grounds upon which the appeal is based and any supporting materials, as specified in the Notice of Investigative Findings. The Assistant Vice President of University Equity and Compliance may, in their discretion, extend the deadline for submission of the appeal for good cause.

The only accepted grounds for appeal are:

new, relevant information not reasonably available by the completion of the investigation which would have materially affected the outcome of the investigation; or

procedural error that prevented the appealing party from a fair opportunity to present information and/or witnesses.

Once the appeal materials are submitted to the Assistant Vice President of University Equity and Compliance, the non-appealing party and the investigator will be notified of the appeal and given an opportunity to provide a response within two (2) business days. An Appeal Officer will be appointed by the Assistant Vice President of University Equity and Compliance to consider the appeal.

If an appeal is granted the Assistant Vice President of University Equity and Compliance will determine the next steps, which may include reopening the investigation, if appropriate.

At the conclusion of the appeal, the Assistant Vice President of University Equity and Compliance will notify the Complainant and the Respondent in writing of the outcome.

Appeals when the Respondent is an employee will typically be determined within fifteen (15) working days from the date the appeal is submitted, subject to reasonable extensions for good cause.

3. Determinations and Appeals When the Respondent is a Student

In cases where the Respondent is a student, the Assistant Vice President for University Equity and Compliance will refer the case and the Investigative Report to the Director of the Office for Student Conduct and Conflict Resolution (OSCCR) or designee for resolution under the Code of Student Conduct. OSCCR will inform the parties of the outcome at the conclusion of the hearing process under the Code of Student Conduct to the extent permitted under applicable privacy laws and university policy.

The Hearing process will typically take twenty-five (25) working days from the referral of the case from OUEC to the Notice of Findings being sent to the parties, subject to reasonable extensions for good cause.

As appropriate, OUEC will notify the parties of remedial actions to eliminate discriminatory conduct, prevent its recurrence, and address its effects, subject to any restrictions imposed by the Family Educational Rights and Privacy Law (FERPA) or other confidentiality obligations imposed by law or university policy. A summary of the Formal Resolution Procedure and any notice of remedial action will be kept on file with OUEC.

Appeals When the Respondent is a Student

Within five (5) business days from the date of the decision letter, the Complainant or the Respondent may appeal the decision of the Hearing Administrator or the Student Conduct Board in accordance with the appeal procedures outlined in the Code of Student Conduct.

If an appeal is granted, in addition to the actions that may be taken by the Appeal Board under the Code of Student Conduct, the Assistant Vice President of University Equity and Compliance may, in their discretion, reopen the investigation if appropriate.

At the conclusion of the appeal, the Assistant Vice President of University Equity and Compliance will notify the Complainant and Respondent in writing of the outcome.

Appeals when the Respondent is a student will typically be determined within fifteen (15) working days from the date the appeal is submitted, subject to reasonable extensions for good cause.

IV. Contact Information

Questions about the Policies and these Procedures may be directed to the university’s Assistant Vice President for University Equity and Compliance using the following contact information:

Office for University Equity and Compliance
360 Huntington Avenue, 125 Richards Hall
Boston, MA 02115
Phone: (617) 373-4644
OUEC@northeastern.edu