FAQs
Introduction: The following FAQs provide introductory information regarding the work of the Equity and Title IX Office ("Equity Office") and common questions that arise. The answers below are not a substitute for consulting Caltech's equity policies and procedures, or for speaking directly with the Office regarding your concern or complaint.
ABOUT THE EQUITY OFFICE
What does the Equity Office do?
We address concerns and complaints from students, postdocs, staff, faculty, visitors, contractors, and vendors falling within the scope of Caltech's equity policies addressing sexual misconduct and unlawful discrimination.
We do this by advising parties on their rights and options under Caltech's policies; conducting investigations; facilitating mediated agreements to resolve allegations; and, when appropriate, resolving concerns through alternative informal avenues such as coaching, trainings, academic accommodations, and engagement and oversight of respondents by appropriate leadership.
We administrate supportive measures, such as mutual no contact orders, academic accommodations, and housing accommodations, and we conduct preventative training and outreach. Since 2019, the Office also has been administrating an annual state grant it obtained to fund the Campus Sexual Violence Advocate, as an additional confidential community resource, and outreach by the Advocate.
We help many people at one time and encourage community members to connect with Office staff if they have any questions about a report they have made or wish to make. If a person's concern is not in our scope, we direct them to the appropriate campus resource.
Who works in the Equity Office?
Since 2019, the Office has employed 4 full-time staff members, including the Team Administrator and Title IX Coordinator. At present, the other two staff roles are defined as a Deputy Title Coordinator/Civil Rights Resolution Specialist, and Assistant Deputy Title Coordinator/Civil Rights Resolution Specialist, who both conduct investigations and other resolution processes. All staff coordinate to resolve concerns and complaints, through formal or informal means.
How does Caltech use outside professionals to support equity processes?
Caltech hires outside investigators, Title IX hearing officers and advisers, and interpreters and translators to augment internal resources or to bring an area of specialized expertise or support when needed.
When parties do not have their own adviser, Caltech hires highly qualified individuals to serve as advisers for parties in Title IX hearings and conduct direct cross-examination on their behalf during the hearing.
These outside professionals discharge their roles independently. While they are informed of and required to conduct their services consistent with Caltech policies and procedures, Caltech does not direct or influence how they weigh evidence and arrive at findings and conclusions, give advice, or conduct direct-cross examination.
We also hire document translators and interpreters for meetings and hearings, when needed, to help non-native English speaker members of our community understand and participate fully in processes.
How does the Office receive reports?
There are many options for reporting concerns. Concerns may be reported to the office through an online form, an email to equity@caltech.edu or to the personal email address of a team member, calling (626) 395-3132, or visiting us in person in the Center for Student Services, Suite 205. Members of the community may also be referred to the Office by other campus resources including Deans' Offices, Security, Employee and Organizational Development, and Office of Residential Experience, as well as Responsible Employees, Section 5.2, pages 5-6.
CONFIDENTIAL RESOURCS
What does it mean to be a confidential resource?
A confidential resource is, by law, exempt from disclosing information shared with it to anyone, except to law enforcement in very limited circumstances. Here is information on confidential resources: https://clery.caltech.edu/confidential-resources.
Is the Equity Office a confidential resource?
No. The Office is a reporting resource. Consistent with Title IX requirements, the Office may share information with others on a "need to know" basis, as determined by the Title IX Coordinator. Generally, those with a "need to know" have some professional responsibility to carry out with respect to a matter being addressed by the Office (e.g., a role in effecting a resolution process or supportive measure).
I spoke to the Campus Sexual Violence Advocate. Will the Equity Office contact me?
No. The Campus Sexual Violence Advocate, employed by Peace Over Violence, is a confidential resource. The Advocate will not share with any Caltech resource, that (a) you met with them; or (b) what you told them. Exceptions to confidentiality may arise, which the Counselor will explain to you, but resulting disclosures are not made to Caltech.
But the Campus Sexual Violence Advocate and I agreed I would file a formal complaint or at least talk to the Equity Office. Wouldn't that be reported to the Office?
No. The Campus Sexual Violence Advocate maintains confidentiality and does not share reports with any Caltech resource.
I spoke to a Student Wellness Counselor about my "Title IX" incident and expressed interest in filing a complaint. Will the Equity Office contact me?
No. A Student Wellness Counselor will not share with any other Caltech resource, that (a) you met with them; or (b) what you told them. Exceptions to confidentiality may arise, which the Counselor will explain to you, but resulting disclosures are not made to Caltech.
I only told a confidential resource and trusted friends what happened to me. But the Equity Office reached out to me. My friends swear they said nothing. What happened?
The Equity Office does not receive reports from confidential resources. When these situations arise, a concerned individual has elected to make a report—even anonymously—to the CARE team, a Responsible Employee, Section 5.2, pages 5-6, or the Equity Office. We maintain as confidential the reporter's identity, if we know it, except on a "need to know" basis.
I confide only in people I know well, like my RA, coach, or adviser. Can they maintain my confidentiality if I ask them to?
No. RAs, RLCs, coaches, faculty, instructors, and others are Responsible Employees, Section 5.2, pages 5-6, and are required to report misconduct covered under the equity policies to the Equity Office. Other members of the community are not required to report but may do so, out of concern and care for your well-being and improving the campus climate. In response, we would reach out to you, but you could decide whether you wanted to respond.
ANONYMOUS REPORTING
What if I only want to share something anonymously? Or just get information?
Those reporting concerns and wishing to maintain confidentiality, in whole or in part, may: (a) talk to a confidential resource; (b) submit the online form without a name; (c) send an email to equity@caltech.edu from an anonymous email account; (d) call the Equity Office without reporting your name at 626-395-3132 (e) send in a friend to talk to us on your behalf, with or without a hypothetical; (e) come in yourself and just ask questions about process or pose a hypothetical.
What will you do with an anonymous complaint?
The Equity Office will take appropriate action based on the information we have if an anonymous report is received concerning a potential violation of Caltech's equity policies. We may take steps to look into the concern, or to facilitate coaching of the respondent by an appropriate individual if we know their name. If we do not know their name, but we know some aspect of their connection to the community (House, staff department, Division, sports team), we can follow up with appropriate leadership to take available action, including coaching and training for groups of which the respondent is a member. If we are provided a way to connect with the anonymous reporter (email address, phone number to text), we will reach out with information.
Can I tell you everything except the name of the respondent?
Yes. If this happens, we will still advise you of your rights and options under Caltech policy and facilitate your access to support resources and, if you wish, law enforcement. But you cannot file a formal complaint under Title IX without providing the name of the respondent.
Can you help me even if I am not ready to tell you the specifics of what happened?
Yes. But we cannot fully advise you of your rights and options under Caltech policy without understanding the allegations. Furthermore, the equity policies and corresponding laws entitle respondents to know sufficient specifics of the allegations to enable them to respond and provide evidence on their own behalf.
COMPLAINTS AND PROCESSES
How much detail do I need to file a complaint under Title IX?
To file a Title IX complaint, a complainant must identify the respondent(s) by name, and state their specific allegations. During a Title IX investigation, any witnesses must be named. Title IX requires these steps to enable respondents a fair opportunity to respond and defend against the allegations against them.
A complainant who is eligible to file a complaint, but does not want to meet these requirements, can discuss other options with an Equity team member.
I reported someone for making "racist comments," but I didn't say more so the respondent wouldn't know I reported them. Is that enough information?
We will follow up on the report we receive. When allegations are vague, we attempt to find out more specific information to inform options for action to address the issue and prevent recurrence of the behavior. In order to assess a policy violation and potential discipline, however, a respondent must receive notice of the specific comments and circumstances and have the opportunity to respond. In the absence of specific allegations, we address concerns by facilitating coaching of the respondent by an appropriate individual or providing training for appropriate individuals or groups.
I reported sexual misconduct and was emailed an Initial Outreach letter, the policy and procedures, and a formal complaint form pre-filled with my allegations. What is the next step?
As the initial outreach letter explains, it is up to the recipient complainant to read the letter, weigh the options presented, and to sign and file a formal complaint if they wish to do so. We know it can be stressful to receive correspondence from the Equity Office, but our letters present important information about options and next steps. The initial outreach letter states clearly that we are always available to answer questions to help complainants decide how to proceed.
If your letter explains that Caltech will file a complaint if you do not, as set forth in the pertinent policy, the Equity Office will follow up with you.
Why do equity investigation timelines get extended?
We balance complainants' and respondents' need for speedy processes with the obligation to be fair, accurate, thorough, and compliant with procedural requirements. Case timelines can extend depending on a host of factors, including the responsiveness and availability of parties and witnesses, academic breaks and school closures, exam schedules, the need to incorporate new allegations and witnesses raised in the middle of the investigation, and the schedules of parties, witnesses, advisers, hearing officers, and translators/interpreters.
What can I do to help a matter move along faster?
Please respond to us promptly. If you do not wish to participate, whether as a party or witness, please let us know promptly. We completely understand that stress, academics, and personal needs greatly affect people's mental and physical ability to respond and participate, and we are happy to help as far as we are able.
How does the Equity Office resolve requests for extensions from parties and witnesses?
The Equity Office looks at whether good cause for the extension is provided. Good cause factors include absences or illnesses, including mental distress, of a complainant, respondent, or witness; the need for a participant to go through the disability accommodation process; the breadth and scope of the allegations; the number of parties and witnesses; care and concern for managing individual privacy interests; the amount and type of evidence; cooperation with law enforcement processes; and scheduling available and suitable hearing officers and advisers for Title IX hearings.
The Equity Office also looks to be consistent with extensions granted across investigations, to promote fair treatment and equity between members of the community regardless of protected characteristics.
I was identified as a witness in an investigation, but I just don't want to be involved. What should I do?
Caltech cannot compel you to participate. If a party wants you to participate, please have the Equity Office, a dean, or supervisor assist you in stating your boundary. Please do not avoid the situation by ignoring outreach from the Equity Office as this delays processes and adds stress to parties.
What exactly is an Administrative Resolution?
An Administrative Resolution is a process by which a complainant proposes, and a respondent voluntarily agrees, to sign a statement taking responsibility for all of the allegations and attendant policy violation(s). Sanctions and remedies are then assessed and imposed by the appropriate administrator, who may take into account as a mitigating factor the respondent's willingness to take responsibility for the alleged sexual misconduct. An Administrative Resolution is generally available if all parties to a complaint agree to engage in the process.
How are sanctions decided?
In determining sanctions, appropriate administrators/supervisors assess the findings and policy violations, as well as other factors bearing on fairness and non-discrimination, including sanctions in past matters that share similarities with the present matter.
What are Caltech's dealings with law enforcement around sexual misconduct?
Caltech makes legally required reports to the federal government and local law enforcement of covered incidents of sexual misconduct, including with respect to minors. In addition, Caltech Security involves law enforcement to assist in safety measures, as needed. The Equity Office, deans, Security, and Campus Sexual Violence Advocate also participate in regular meetings with leaders from community organizations, including local police and rape crisis centers, to exchange information to promote sexual assault prevention efforts and safety on campus and in local communities.
Caltech also responds to lawfully issued subpoenas for information and other requests by police relating to law enforcement proceedings.
The Office will assist individuals who have experienced sexual assault, stalking, sexual exploitation, or domestic relationship, or dating violence in reporting to law enforcement upon their request. The Equity and Title IX Office is available to facilitate the contact with law enforcement and the scheduling of a meeting.
OTHER COMMON QUESTIONS
I am suddenly struggling to process an incident that happened two years ago. The respondent has graduated. Can the Equity Office help me?
Yes. You may still have options to pursue action under Caltech policies, so please ask us about this. We are also happy to provide you academic, work, and support accommodations, even if you decide not to, or cannot, file a complaint or take other action.
Also, whether the respondent is no longer, or was never, affiliated with Caltech, we can assess what is appropriate regarding their access to campus.
Someone is telling everyone about their allegations, which I totally deny. But the Equity Office told me this isn't retaliation. Why?
Individuals have free speech rights to share their genuine perspective with others and therefore this is not retaliation. However, if you believe that someone is spreading intentionally false information about you, this is a conduct issue that you should report to the appropriate dean, if you are a student, or to Employee and Organizational Development if you are a postdoc or staff member.
Individuals who intentionally fabricate or knowingly misrepresent information, allegations, or evidence, or otherwise to have acted with an intent to deceive or mislead in any of their dealings relating to Caltech's equity policies, may be subject to disciplinary action.
The Equity Office told me the conduct I reported is inappropriate but does not violate policy. Why doesn't inappropriate conduct violate policy?
Caltech's policies against sexual misconduct, discrimination, and harassment implement legal definitions of such misconduct. Not all allegations will meet those definitions and thus implicate a potential violation of school policy. However, we will still discuss with you options for resolving your concern, such as through coaching by faculty or staff leadership, housing or workplace accommodations, mutual no contact orders, advisor changes, mediated conversations, and other informal resolution or support measures.
What can the Equity Office do in terms of housing accommodations?
No office at Caltech can deprive a student of housing based on allegations, unless Title IX's high standard of emergency removal is met—the respondent is assessed to pose a serious risk of imminent, immediate harm to the physical health or safety of others. However, Caltech can accommodate a complainant's requests for changes to their own housing. Caltech can also ask a respondent to voluntarily change their housing in some way to accommodate a complainant, and respondents often agree to this. The Equity and Housing Offices also coordinate, as they are able, and based on information received, to reduce stressful situations in houses.
Caltech maintains on campus housing options for emergency situations.
How can community members be helpful to each other?
We ask that all community members—whether faculty, staff, postdocs, or students—comply with conduct policies and treat each other with kindness and respect. We also ask that if you are concerned about someone's conduct that you report it as soon as possible so that it can be resolved quickly. Avoiding problems, including to protect a respondent from "getting in trouble" gives room for them to grow and present even greater harm.