Equal Opportunity Complaint Procedures – Office for University Equity and Compliance

Equal Opportunity Complaint Procedures (US + CAN)

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

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

Related Policies: Policy on Equal Opportunity, Policy on Non-Fraternization

Responsible Office: Office for University Equity and Compliance

Last Revision Date: January 12, 2023

I. Purpose and Scope of this Procedure

These procedures set forth the options and steps for reporting allegations of discrimination, harassment, retaliation, and/or alleged violations of Northeastern University’s Policy on Non-Fraternization. Terms used in these procedures are those used in the Policy on Equal Opportunity and/or the Policy on Non-Fraternization (the Policies).

In order to provide a safe and non-discriminatory living, learning, and working environment, 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), gender, gender identity, sexual orientation, age, national origin, ancestry, veteran or disability status. Discrimination, including harassment is defined in the university’s Policy on Equal Opportunity.

The Office for University Equity and Compliance (OUEC) is responsible for enforcing university policies prohibiting discrimination, including the Policies. Under this procedure, faculty, staff, students, and certain third-parties may report and seek resolution of complaints of discrimination, harassment, or alleged violations of the university’s Policy on Non-Fraternization. When a complaint includes one or more allegations of Sexual and Gender-Based Prohibited Offenses and/or Title IX Prohibited Offenses as defined in the Policy on Sexual and Gender-Based Harassment and Title IX, relevant procedures outlined therein will apply to all allegations listed in the complaint, including those that would otherwise be covered under these Procedures.

[1] This Procedure applies to all reports of discrimination, harassment per the Policies reported on or after the effective date of this Procedure.

II. Complaints Addressed by Others

The Assistant Vice President for University Equity and Compliance reserves the right to decline to investigate 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.

Filing a Report

Any university faculty, staff, student, and certain third-parties may file a report directly with OUEC against a university student, staff or faculty member, or volunteer, vendor, contractor or visiting faculty who is believed to have engaged in behavior constituting discrimination as outlined in the Policies.

OUEC strongly encourages the use of its on-line Discrimination Complaint Form, which is structured to assist Complainants in documenting their allegations and providing OUEC with sufficient information to evaluate the complaint. The incident report should include, if known: (1) the Complainant’s name and contact information; (2) the name of the Respondent(s); (3) an explanation of the conduct believed to constitute discrimination or retaliation with approximate date(s) of when these actions occurred; and (4) a brief description of why the Complainant believes that the alleged conduct at issue is based on one or more protected categories.

Reports may be submitted to OUEC in any one of the following ways:

Online Discrimination Complaint Form
Email to OUEC@northeastern.edu
Verbal complaints or hand-delivery of incident reports to the OUEC’s main office at 125 Richards Hall
Mail to: Office for University Equity and Compliance, 360 Huntington Avenue, 125 Richards Hall, Boston, MA 02115

After a report of discrimination is filed with the Office for University Equity and Compliance, the OUEC may request to meet with Complainant, if necessary, to determine whether the complaint states a potential violation of the Policies.

If OUEC determines that the Complainant’s allegations, 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 If new information is subsequently provided to OUEC, OUEC may reevaluate whether the allegations constitute a potential violation of the Policies and/or whether OUEC has jurisdiction to investigate or take Informal action.
If OUEC determines that the Complainant’s allegations, if true, constitute a potential violation of the Policies, Complainant will be made aware of all of the pathways towards a resolution available through the OUEC, including filing a Formal Complaint.

Formal Complaints

A Formal Complaint is a written document filed by a Complainant or signed by the Assistant Vice President for University Equity and Compliance alleging discrimination per the Policies against a Respondent who is a university community member and requesting that the university either investigate the allegation through a Formal Resolution or pursue an Informal Resolution.

The Formal Complaint, which is separate from the incident report, must state that Complainant’s decision to pursue a Formal Complaint against an identified Respondent who is a Northeastern community member and include Complainant’s physical or digital signature, or otherwise indicate that the Complainant is the person filing the Formal Complaint.

Third Party Complainants may file a Formal Complaint with the OUEC.

If a Complainant chooses not to file a Formal Complaint against a Respondent, the Assistant Vice President will review the facts gathered at that point to determine if an investigation is required in order to address a potential hostile environment in a university education program or to protect the safety of the university community. In making this determination, the Assistant Vice President will review available information for any of the following facts:

the Respondent has a prior record of committing discrimination;
the Respondent displayed any signs of predatory behavior;
violence or any weapons were used by the Respondent;
an alleged pattern of discrimination committed by an individual Respondent or by a specific Respondent group or organization;
the Respondent presents a continuing threat to the university community; and/or
a hostile environment may exist in a university education program as a result of the alleged discrimination.

If the initial report contains any of the above facts or allegations, the Assistant Vice President may sign a Formal Complaint. The Assistant Vice President will notify the Complainant if a determination is made to file a Formal Complaint and explain the Complainant’s right to participate or not participate in any Formal Resolution Procedure or other actions undertaken by the university.

When the Assistant Vice President signs a Formal Complaint, the Assistant Vice President is not a Complainant or otherwise a party of the investigation.

In cases where a student Complainant was participating in or attempting to participate in an education program or activity of the university at the time of the incident and during the university resolution process, but left the university prior to the hearing process, the Complainant may choose to participate fully as a student Complainant would.
If the Assistant Vice President 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 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 modification, or interim suspension.

Resolution Options

The Procedure offers two forms of resolution for complaints of discrimination, alleged violations of the university’s Policy on Non-Fraternization as well as complaints of alleged retaliation, as defined by 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
The Formal Resolution Procedure provides a structured process for investigating and resolving complaints that includes official findings of fact.

The university takes all complaints of discrimination seriously and will take steps to prevent its recurrence and remedy discriminatory effects where appropriate.

A. Informal Resolution Procedure

The Informal Resolution Procedure offers a way to discuss, evaluate and resolve perceived instances of discrimination without initiating a comprehensive investigation through the Formal Resolution Procedure. The university does not require a Complainant to utilize the Informal Resolution Procedure prior to pursuing a Formal Resolution Procedure.

Employees and students have the option to attempt to resolve complaints at the lowest level through the relevant administrative structure of the employment unit or academic department. Some reports of discrimination, 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.

Informal Resolutions are pursued after a Formal Complaint of an alleged violation of the Policies is filed with the OUEC, the Complainant has been fully informed of all available resolution options, and the Complainant has explicitly communicated their choice to utilize the Informal Resolution Procedure to the OUEC via a written Formal Complaint. A Complainant can request the Informal Resolution Procedure any time prior to the university reaching a determination regarding responsibility of a violation of the Policies.

In keeping with the nature and spirit of an Informal Resolution, the university does not make a determination as to whether a Respondent(s) has violated the Policies. Instead, the OUEC attempts to facilitate a mutually acceptable resolution.

Any combination of the options offered under the Informal Resolution Procedure may be utilized in any order. Informal options may include:

One-on-One Communication: If either party wishes to address a situation without the direct involvement of a third party, they may communicate directly with the other party. This option is appropriate if neither party feels threatened and there is no risk of physical harm.

Parties are NOT required to engage in one-on-one communication before seeking third party assistance.

Informal Resolution with the Assistance of a Third Party: A Complainant may seek assistance in informally resolving a report of discrimination from the OUEC. Depending on the nature of the concern, OUEC may bring in various university partners, including, but not limited to (i) the Complainant’s supervisor, if the Complainant is an employee; (ii) the Respondent’s supervisor, if the Respondent is an employee; (iii) a Human Resources Management representative; (iv) the Ombuds Office; or (v) the Disability Resource Center.
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;

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.

If the Complainant requests that the Informal Resolution Procedure be utilized, after filing a Formal Complaint and having been fully informed of all available options, the following steps shall be taken:

If OUEC determines that Complainant’s allegations within the Formal Complaint, if true, constitute a potential violation of the Policies, OUEC will notify the Respondent, in writing, that a Formal Complaint 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 requests with the Respondent during their initial meeting, if Respondent agrees to meet.
The OUEC will provide the Complainant and the Respondent a summary of the alleged discrimination, identify potential Policy violation(s), and provide an explanation of the Informal Resolution Procedure, including:
completion of the Informal Resolution Procedure, documented through a Memorandum of Agreement (MOA), precludes the parties from resuming a Formal Complaint Procedure arising from the same allegations;
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;

If an Informal Resolution Procedure is ended by request of one of the parties, any information obtained may not be used in a subsequent Formal Resolution Procedure and/or hearing process;

record maintenance of the procedure;
the requirement for the parties’ voluntary, written consent to the Informal Resolution Procedure.

The Respondent may agree to the Informal Resolution, decline the Informal Resolution, propose an alternative Informal Resolution or request a Formal Resolution.

If the Respondent agrees to an Informal Resolution, OUEC Facilitator(s) will request to meet separately with the Respondent, and the Complainant, if necessary, for an interview.
Both the Complainant and the Respondent will have the opportunity to provide a summary of their version of events to the OUEC Facilitator (s) so they may understand the issues. Please note that this is not a formal investigation.
A summary of the informal process shall be kept on file with OUEC, but will not be considered part of the academic record for students Complainants and Respondents or the employment record for employee Complainants and Respondents.
1. Complaints resolved informally requires mutual acceptance by the Complainant, the Respondent, and the OUEC through a Memorandum of Agreement (MOA). The MOA (1) must be signed by the Complainant, the Respondent(s), and OUEC, (2) shall state the conditions of the resolution, if any, and (3) that the resolution of the complaint via the MOA does not imply an admission of wrongdoing or a clearance of The MOA shall also state which issues are being resolved by the parties and which issues remain unresolved, if any.
2. If an Informal Resolution is not achieved, the Facilitator will notify all parties in writing that the informal process has terminated without a

If resolution of the report of discrimination is reached through one of the Informal Resolution options, the matter will be considered closed. If the Informal Resolution is not reached, if OUEC determines that further process is necessary, or if either party fails to comply with the terms of the agreed upon Informal Resolution, OUEC may initiate the Formal Resolution Procedure.

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 review process, the results of the Informal process, 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 a thorough investigation by OUEC into the allegations identified in an incident report, after a Formal Complaint is filed, in order to reach a determination as to whether the Respondent(s) has violated the Policies. Complainants may initiate the Formal Resolution Procedure by filing a Formal Complaint with OUEC, regardless of whether resolution under the Informal Resolution Procedure has been attempted. OUEC responds to Formal Complaints in accordance with the procedures outlined below. However, there may be circumstances that support a departure from these procedures, and, should such circumstances arise, OUEC will advise the parties.

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.

If OUEC determines that Complainant’s allegations within incident report that formed the basis of the Formal Complaint, if true, constitute a potential violation of the Policies, the Assistant Vice President for OUEC will assign an investigator to the matter. The investigator will request to meet with the Complainant to confirm the summary of factual allegations upon which the Formal Complaint is based, and discuss OUEC’s complaint resolution
1. If an Informal Resolution may be possible after reviewing the Formal Complaint and incident report, OUEC will discuss the available option with the Complainant.
A formal university investigation begins when the investigator notifies the Complainant and the Respondent of the investigation, provides a summary of the alleged discrimination or retaliation, identifies potential policy violations, and provides an explanation of the investigation process as described herein.
The investigator(s) will request to meet separately with the Complainant and the Respondent for an interview. The Assistant Vice President, or an appointed designee, may, in his/her discretion, allow written statements in lieu of an interview, in appropriate cases.
1. 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 any and all relevant witnesses with information about the alleged discrimination. Witnesses cannot participate solely to speak about an individual’s character.
2. The investigator(s) may continue to investigate the alleged discrimination or retaliation and produce an investigative report based on the available information, regardless of participation by the parties.
3. The investigation may also include the review of any documentation, reports, video or other items the investigator deems relevant to the
4. The investigator(s) has the discretion to determine the relevance of any witness or evidence and may exclude irrelevant, immaterial or unduly prejudicial information in preparing the investigative report.
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 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).
The investigator(s) will submit the Investigative Report to the Assistant Vice President for OUEC for The Assistant Vice President will review the Investigative Report to assess its thoroughness, reliability and impartiality.
1. For cases where Respondent is an Employee, if the Assistant Vice President determines that an Investigative Report contains sufficient information to constitute a potential violation of this Policy, the Assistant Vice President will review the 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.
2. For cases where Respondent is student, if the Assistant Vice President determines that an Investigative Report contains sufficient information to constitute a potential violation of this Policy, the case and the Investigative Report, without recommended findings, will be referred by the Assistant Vice President to the Director of OSCCR (or designee).
Issuance of Findings
1. When the Respondent is an Employee

Following completion of its investigation, and the Assistant Vice President’s deliberation, OUEC will issue a Notice of Investigative Findings concurrently to both parties setting forth its findings on whether or not there is a preponderance of the evidence to support the recommended findings in the Investigative Report and the rationale for its conclusions. As appropriate, a copy of the Notice will also be forwarded to the administrative official immediately responsible for supervision of the Respondent, the appropriate Vice President, Dean, or Director for the unit in which the Respondent works and Human Resource Management.
The administrative official immediately responsible for supervision of the Respondent or their designees and Human Resource Management are responsible for determining appropriate disciplinary and/or other responsive action when an investigation results in a finding of responsibility, consistent with applicable university policies. These offices will also promptly and simultaneously convey, in writing, their decision to the Respondent.
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 will be added to the official personnel file of the Respondent.

When the Respondent is a Student

Resolution of cases when the Respondent is a Student will follow the procedures established in the Code of Student Conduct. OSCCR will issue the findings to the parties at the conclusion of the hearing process.
A summary of the Formal Resolution Procedure and any notice of disciplinary and/or other responsive action shall be kept on file with OUEC.

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.

Appeals
1. When the Respondent is an Employee

The following Appeals Procedure applies in cases involving appeals by staff or faculty members.

The Complainant or the Respondent may file a written appeal to the Assistant Vice President of OUEC which specifies the grounds upon which the appeal is based and any supporting materials within five (5) business days of the issuance of the Notice of Investigative Findings. The Assistant Vice President of OUEC

has the discretion to extend the deadline for submission of the appeal. 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 OUEC, 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 OUEC to consider the appeal.
- If an appeal is granted on the basis of new information, the Appeal Officer will determine if the new information could alter the original finding of
  - The investigator, the parties, and if required, witnesses, may be reconvened to review only the new The Appeal Officer will render a decision based on all relevant information provided.
- If an appeal is granted for procedural error, the process will reset to the point at which the procedural error occurred and proceed from that point.

At the conclusion of the appeal, both the Complainant and the Respondent will be notified, in writing, of the outcome by the Assistant Vice President of OUEC, and the written summary will be forwarded to the appropriate office for consideration of the Investigative Findings.

Complainants and Respondents may appeal a finding issued under these procedures by following the process outlined in this section.

When the Respondent is a Student

In cases where a student is found responsible for a violation of the Policies and wishes to appeal, students have five (5) business days from the date of their decision letter to appeal the decision of either the Hearing Administrator or the Student Conduct Board in accordance with the appeal procedures outlined in the Code of Student Conduct.

VI. Contact Information

Office for University Equity and Compliance 617-373-4644 Human Resources Management (617) 373-2230

Ombuds Office: 617-373-3362

Office of the General Counsel: 617-373-2157

[1] For purposes of the Policy on Sexual and Gender-Based Harassment and Title IX, Human Resources Management representatives are Responsible Employees and are required to share any allegation with the OUEC.