These sexual harassment grievance procedures
are initiated by contacting the University Affirmative
Action Office. A professional staff member in that office
will provide advice, in confidence, on the specific
procedure to follow.
Formal action may be pursued either
in lieu of informal mediation or when efforts at informal
mediation have failed.
The University encourages settlement
of any actual or proposed formal complaint of sexual
harassment through mutual agreement of the persons directly
involved in the complaint and the University. Such settlements
may or may not include the imposition of disciplinary
sanctions mutually agreed upon. The Affirmative Action
Officer, or a University official designated by that
officer, is authorized to assist the parties involved
in the complaint to achieve such settlements. The Affirmative
Action Officer is authorized to approve such a settlement
on behalf of the University after approval by the Chancellor
or such others as the Chancellor may direct. The Affirmative
Action Officer will maintain a confidential record of
the terms of the settlement.
Sexual harassment grievance procedures
for SPA employees are administered according to State
requirements and guidelines set forth in UNC Charlotte
Personnel
Information Memorandum #35 (PIM-35) and are not
addressed in this Policy.
V.
Remedial Action
Remedial actions will depend on the
severity of the incident, but violation of this policy
may, in appropriate cases, result in discharge from
employment, expulsion as a student, or, for non-employees
or non-students, removal from campus property. Because
of the private nature of sexual harassment incidents,
and the emotional and moral complexities surrounding
such issues, every effort shall be made to resolve problems
on an informal basis, if possible. Informal resolution
may include disciplinary action when appropriate. A
confidential record of the mediation efforts will be
kept on file with the University Affirmative Action
Officer.
VI.
Retaliation Prohibited
This policy seeks to encourage students,
staff and faculty to express freely, responsibly, and
in an orderly way their opinions and feelings about
any problem or complaint of sexual harassment. Any act
by a University employee or agent of reprisal, interference,
restraint, penalty, discrimination, coercion or harassment--overtly
or covertly--against a student or an employee for responsibly
using the Policy and its Procedures interferes with
free expression and openness. Accordingly, such acts
violate this policy and require appropriate and prompt
disciplinary action.
VII.
Frivolous or False Charge
This policy shall not be used to bring
frivolous or malicious charges against fellow students,
faculty members or employees. Disciplinary action under
the appropriate policies concerning personal misconduct
shall be taken against any person bringing a charge
of sexual harassment in bad faith.
(Initially approved June 9, 1980; revised
November 4, 1985; revised March 26, 1993; revised May
21, 1997; May 19, 1998; February 26, 2001.)
Attachment 1
GRIEVANCE
PROCEDURE FOR FACULTY MEMBERS ALLEGING SEXUAL HARASSMENT
1. This procedure applies only in the
case of a faculty member who believes that he/she has
been the victim of sexual harassment
by a member of the University community.
2. A faculty member who believes that
he/she has been the victim of sexual harassment may
obtain information about informal and formal means available
in the University and externally to assist with the
problem. This information may be obtained from the University
Affirmative Action Officer or from
any member of a panel of mediators trained to respond
to sexual harassment grievances. The telephone number
of the Affirmative Action Office is 547-2804 and that
office will respond to anonymous requests for the names
and telephone numbers of campus sexual harassment mediators.
The list of mediators may also be obtained from the
Office of Academic Affairs.
3. The University and its representatives
will treat sexual harassment matters as confidential
and will limit communication about sexual harassment
cases to the individuals directly involved in the grievance
and those individuals the University deems necessary
to resolve the matter.
4. Informal resolution may proceed
in a variety of ways. The faculty member may elect to
discuss the problem directly with the person whose behavior
is questioned before seeking the informal assistance
of the Affirmative Action Officer or a member of the
panel of sexual harassment mediators. Any of those individuals
may assist in establishing communication between the
faculty member and the other individual and in attempting
to reach informal resolution of the problem.
5. In any case brought to the attention
of a University mediator or the Affirmative
Action Officer, that Officer is authorized to notify
appropriate administrators of the need to take immediate
action, where such action appears necessary, to protect
the interests of the faculty member or the person accused.
Such actions may include temporary adjustment of schedules,
temporary adjustment of supervisory relationships, or
other steps considered appropriate to minimize present
conflict until the investigatory process is complete.
6. Where a University mediator or the
Affirmative Action Officer assists in the effort to
resolve a sexual harassment grievance informally, the
Affirmative Action Officer will maintain a confidential
record of the nature of the complaint and its resolution
(if any) summarizing the case and its disposition. The
Affirmative Action Officer may, in his or her sole discretion,
discuss the matter in confidence with the administrator
or administrators responsible for the units in which
the problem has arisen so that the situation may be
monitored and appropriate steps taken to avoid future
problems.
7. If a faculty member elects to proceed
with a formal sexual harassment grievance against a
University employee or student, whether or not informal
efforts have been made, the faculty member must follow
the procedures described herein.
8. A formal complaint under this procedure
may be made only by means of a written statement signed
by the faculty member and directed to the Affirmative
Action Officer. The written statement must include the
specific facts upon which the complaint is based, describe
any past efforts to resolve the matter, and specify
the relief requested by the faculty member.
9. The Affirmative Action Officer will
review the written complaint for completeness and determine
whether the facts alleged in the complaint, if true,
could constitute a violation of the University policy
against sexual harassment. If not, the Affirmative Action
Officer may require the faculty member to clarify or
amplify the statement, may refer the faculty member
to another appropriate grievance process, or may dismiss
the complaint. The faculty member may appeal a decision
to dismiss the complaint, or to refer the faculty member
to another grievance process, to the Provost and Vice
Chancellor for Academic Affairs.
10. If the Affirmative Action Officer
determines that the complaint sufficiently states a
claim of sexual harassment under the University sexual
harassment policy, he/she will refer the complaint to
the vice chancellor for the University division in which
the person accused of sexual harassment is employed
or, if the person accused of sexual harassment is a
student, to the Vice Chancellor for Student Affairs.
If the vice chancellor to whom
the complaint would normally be referred will be absent
from the University for a prolonged period, the Affirmative
Action Officer will notify the Chancellor who will appoint
another vice chancellor to conduct the investigation.
The vice chancellor to whom the complaint is finally
directed is referred to as the Administrator in the
subsequent sections of this procedure.
11. The Administrator will have complete
responsibility for conducting the investigation and
making a University decision on the complaint. The purpose
of the investigation shall be to determine whether the
person accused has violated the University policy on
sexual harassment. If the Administrator concludes that
the policy has been violated, the Administrator will
also deter mine whether the faculty member making the
charge is entitled to the relief requested or to other
relief and whether the person found to have violated
the policy should be recommended for disciplinary sanctions.
12. The Administrator may conduct the
investigation directly, may enlist one or two others
to assist him/her with the investigation, or may delegate
to one or more others the responsibility to conduct
the investigation and prepare reports and recommendations
for the Administrator; however, in any event the final
decision reached will be that of the vice chancellor
who is the Administrator. In subsequent sections of
this procedure, persons designated by the Administrator
to conduct or assist in the investigation are also referred
to as the Administrator.
13. Settlement of charges by mutual
agreement of the parties is encouraged. The faculty
member making the charge or the person accused may at
any time during the course of the investigation propose
such an agreement to the Administrator, who is authorized
to assist the parties in resolving the matter by agreement.
The Administrator will consult with the Chancellor before
approving any such agreement on behalf of the University.
14. The scope of the investigation
will be determined by the Administrator in his/her discretion
and according to the charge and the facts.
15. The method of investigation shall
be within the discretion of the vice chancellor who
is the Administrator. However, the following requirements
shall be observed:
a. The Administrator's decision shall
be based solely upon the written complaint and evidence
received during the investigation. All evidence collected
during the investigation shall be preserved. All spoken
evidence shall be tape recorded.
b. Both the faculty member and the
person accused of sexual harassment may be accompanied
by another member of the University community to provide
support and assistance during meetings with the Administrator
during the course of the investigation, so long as the
individual does not interfere with the Administrator's
ability to conduct the investigation.
c. The faculty member making the charge
will be provided a reasonable opportunity to present
his/her evidence supporting the charge in the form of
documents or the spoken testimony of himself/herself
or of others who may have evidence directly bearing
on the facts alleged. As to any evidence collected during
the investigation, the Administrator may ask questions
or request additional information and may refuse to
consider any evidence submitted which he/she concludes
is repetitious, irrelevant, or otherwise without sufficient
value to the investigation.
d. After receiving the initial evidence
from the faculty member, the Administrator will interview
the person accused and any other persons who may have
information relevant to the investigation. Multiple
interviews may be conducted as may be necessary with
the faculty member, the person accused, or any other
person to aid the Administrator in understanding the
facts and issues related to the grievance. Likewise,
the investigator may obtain any University record deemed
necessary to the investigation (except the confidential
records of past violations of University sexual harassment
policy maintained by the Affirmative Action Officer),
and may request from the participants or other sources
any documents which will be of assistance.
e. After receiving evidence as provided
in paragraphs c. and d. above, the Administrator will
prepare a written Preliminary Report. This report will
describe the facts related to the grievance as preliminarily
determined by the Administrator, and announce a preliminary
decision as to whether the sexual harassment policy
has been violated. Both the faculty member making the
charge and the person accused will be provided a reasonable
opportunity to review the Preliminary Report, but will
not be provided a copy.
Both will be provided a reasonable opportunity to respond
to the Preliminary Report.
f. After considering such response
to the Preliminary Report as the faculty member and
person accused may choose to make, the Administrator
will reach a final decision. If the decision is that
the person accused has violated the policy, the Administrator
will obtain from the Affirmative Action Officer a confidential
statement summarizing past instances, if any, in which
the person accused has been found to have violated the
University policy or has admitted violating that policy.
The Administrator will consider such records in any
recommendation to impose disciplinary penalties on the
person found to have violated the policy.
g. A Final Report will then be prepared
under the authority of the vice chancellor who is the
Administrator. This written report will summarize the
facts found as a result of the investigation and explain
the basis for the decision that the person accused has
or has not violated the policy on sexual harassment.
h. If the Final Report concludes that
the person accused has not violated the policy, the
vice chancellor who is the Administrator will so notify
the faculty member and the person accused.
i. If the Final Report concludes that
the person accused has violated the policy, it shall
also include:
(1) A decision whether the faculty member shall receive
the relief requested or other relief, and,
(2) A decision whether the person determined to have violated
the policy shall be recommended for disciplinary sanctions.
j. The faculty member and the person
accused will be provided the opportunity to read the
Final Report, but will not be provided a copy, which,
with the evidence collected during the investigation,
will be preserved in a confidential file of the Affirmative
Action Officer, except as it may be used in subsequent
proceedings.
k. Any recommendation for dismissal,
suspension, diminishment in rank or other sanctions
shall proceed in accordance with established University
procedures applicable to the individual subject to discipline.
16. After the Administrator has completed
the Final Report, the faculty member who filed the formal
complaint may appeal to the Faculty Grievance Committee
if he or she is dissatisfied with the result.
A faculty member found to have violated
the sexual harassment policy may appeal from the vice
chancellor's decision to the Faculty Grievance Committee,
unless the violation results in the commencement of
disciplinary proceedings against that faculty member
pursuant to Section 8 of the Tenure
Policies. If such disciplinary proceedings are instituted,
the faculty member may request a hearing by the Hearing
Committee.
A person who is not a faculty member
but who has been found to have violated the sexual harassment
policy may pursue the University grievance procedure
appropriate to his or her category of employment or
status as a student, unless the violation results in
the commencement of disciplinary proceedings against
the individual, in which case the individual shall have
the right to such review of the disciplinary action
as is prescribed for individuals in that category of
employment or status as a student.
17. At any time prior to implementation
of a disciplinary penalty against the individual found
to have violated the sexual harassment policy, the University
may, after consultation with the faculty member who
filed the formal complaint of sexual harassment, negotiate
an agreement to resolve the disciplinary charge against
the individual who violated the sexual harassment policy.
No such negotiated agreement is effective on behalf
of the University unless it has been approved by the
Chancellor.
(Initially approved February 20, 1995;
revised May 19, 1998.)
Attachment 2
GRIEVANCE
PROCEDURE FOR CERTAIN EMPLOYEES EXEMPT FROM THE STATE
PERSONNEL ACT ALLEGING SEXUAL HARASSMENT
1. This procedure applies to all full-time and
part-time permanent or temporary UNC Charlotte employees
exempt from the State Personnel Act other than faculty
members subject to the "Tenure
Policies, Regulations, and Procedures of the University
of North Carolina at Charlotte." The procedure
applies to students who are employed by UNC Charlotte,
if the alleged harassment arises in the context of that
employment. The employees to whom this procedure applies
are referred to hereinafter as "exempt employees."
Sexual harassment grievance procedures
for faculty members are set forth in Attachment
1 above. Sexual harassment grievance procedures
for SPA employees are set forth in UNC Charlotte Personnel Information Memorandum
#35 (PIM-35). Where alleged sexual harassment of
a student does not arise in the context of the student's
employment by the University, the student may proceed
in accordance with Attachment 3
below, "Grievance Procedure
for Students Alleging Sexual Harassment by a University
Employee" (if the alleged harasser is a University
employee), or Attachment 4
below, "Grievance Procedure
for Students Alleging Sexual Harassment by Another Student"
(if the alleged harasser is another student).
2. An exempt employee who believes
that he/she has been the victim of sexual
harassment by a member of the University community
may obtain information about informal and formal means
available in the University and externally to assist
with the problem. This information may be obtained from
the University Affirmative Action Officer or from any
member of a panel of mediators trained to respond to
sexual harassment grievances. The telephone number of
the Affirmative Action Office is 547-2804, and that
office will respond to anonymous requests for the names
and telephone numbers of campus sexual harassment mediators.
The list of mediators may also be obtained from the
Office of Academic Affairs.
3. The University and its representatives
will treat sexual harassment matters as confidential
and will limit communication about sexual harassment
cases to the individuals directly involved in the grievance
and those individuals the University deems necessary
to resolve the matter.
4. Informal resolution may proceed
in a variety of ways. The exempt employee may elect
to discuss the problem directly with the person whose
behavior is questioned before seeking the informal assistance
of the Affirmative Action Officer or a member of the
panel of sexual harassment mediators. Any of those individuals
may assist in establishing communication between the
exempt employee and the other individual and in attempting
to reach informal resolution of the problem.
5. In any case brought to the attention
of a University mediator or the Affirmative Action Officer,
that Officer is authorized to notify appropriate administrators
of the need to take immediate action, where such action
appears necessary, to protect the interests of the exempt
employee or the person accused. Such actions may include
temporary adjustment of schedules, temporary adjustment
of supervisory relationships, or other steps considered
appropriate to minimize present conflict until the investigatory
process is complete.
6. Where a University mediator or the
Affirmative Action Officer assists in the effort to
resolve a sexual harassment grievance informally, the
Affirmative Action Officer will maintain a confidential
record of the nature of the complaint and its resolution
(if any) summarizing the case and its disposition. The
Affirmative Action Officer may, in his or her sole discretion,
discuss the matter in confidence with the administrator
or administrators responsible for the units in which
the problem has arisen so that the situation may be
monitored and appropriate steps taken to avoid future
problems.
7. If an exempt employee elects to
proceed with a formal sexual harassment grievance against
a University employee or student, whether or not informal
efforts have been made, the exempt employee must follow
the procedures described herein.
8. A formal complaint under this procedure
may be made only by means of a written statement signed
by the exempt employee and directed to the Affirmative
Action Officer. The written statement must include the
specific facts upon which the complaint is based, describe
any past efforts to resolve the matter, and specify
the relief requested by the exempt employee.
9. The Affirmative Action Officer will
review the written complaint for completeness and determine
whether the facts alleged in the complaint, if true,
could constitute a violation of the University policy
against sexual harassment. If not, the Affirmative Action
Officer may require the exempt employee to clarify or
amplify the statement, may refer the exempt employee
to another appropriate grievance process, or may dismiss
the complaint. The exempt employee may appeal a decision
to dismiss the complaint, or to refer the exempt employee
to another grievance process, to the vice chancellor
of the division in which the exempt employee is employed.
10. If the Affirmative Action Officer
determines that the complaint sufficiently states a
claim of sexual harassment under the University sexual
harassment policy, he/she will refer the complaint to
the vice chancellor for the University division in which
the person accused of sexual harassment is employed
or, if the person accused of sexual harassment is a
student, to the Vice
Chancellor for Student Affairs.
If the vice chancellor to whom the
complaint would normally be referred will be absent
from the University for a prolonged period, the Affirmative
Action Officer will notify the Chancellor who will appoint
another vice chancellor to conduct the investigation.
The vice chancellor to whom the complaint is finally
directed is referred to as the Administrator in the
subsequent sections of this procedure.
11. The Administrator will have complete
responsibility for conducting the investigation and
making a University decision on the complaint. The purpose
of the investigation shall be to determine whether the
person accused has violated the University policy on
sexual harassment. If the Administrator concludes that
the policy has been violated, the Administrator will
also determine whether the exempt employee making the
charge is entitled to the relief requested or to other
relief and whether the person found to have violated
the policy should be recommended for disciplinary sanctions.
12. The Administrator may conduct the
investigation directly, may enlist one or two others
to assist him/her with the investigation, or may delegate
to one or more others the responsibility to conduct
the investigation and prepare reports and recommendations
for the Administrator; however, in any event the final
decision reached will be that of the vice chancellor
who is the Administrator. In subsequent sections of
this procedure, persons designated by the Administrator
to conduct or assist in the investigation are also referred
to as the Administrator.
13. Settlement of charges by mutual
agreement of the parties is encouraged. The exempt employee
making the charge or the person accused may at any time
during the course of the investigation propose such
an agreement to the Administrator, who is authorized
to assist the parties in resolving the matter by agreement.
The Administrator will consult with the Chancellor before
approving any such agreement on behalf of the University.
14. The scope of the investigation
will be determined by the Administrator in his/her discretion
and according to the charge and the facts.
15. The method of investigation shall
be within the discretion of the vice chancellor who
is the Administrator. However, the following requirements
shall be observed:
a. The Administrator's decision shall
be based solely upon the written complaint and evidence
received during the investigation. All evidence collected
during the investigation shall be preserved. All spoken
evidence shall be tape recorded.
b. Both the exempt employee and the
person accused of sexual harassment may be accompanied
by another member of the University community to provide
support and assistance during meetings with the Administrator
during the course of the investigation, so long as the
individual does not interfere with the Administrator's
ability to conduct the investigation.
c. The exempt employee
making the charge will be provided a reasonable opportunity
to present his/her evidence supporting the charge in
the form of documents or the spoken testimony of himself/herself
or of others who may have evidence directly bearing
on the facts alleged. As to any evidence collected during
the investigation, the Administrator may ask questions
or request additional information and may refuse to
consider any evidence submitted which he/she concludes
is repetitious, irrelevant, or otherwise without sufficient
value to the investigation.
d. After receiving the initial evidence
from the exempt employee, the Administrator will interview
the person accused and any other persons who may have
information relevant to the investigation. Multiple
interviews may be conducted as may be necessary with
the exempt employee, the person accused, or any other
person to aid the Administrator in understanding the
facts and issues related to the grievance. Likewise,
the investigator may obtain any University record deemed
necessary to the investigation (except the confidential
records of past violations of University sexual harassment
policy maintained by the Affirmative Action Officer),
and may request from the participants or other sources
any documents which will be of assistance.
e. After receiving evidence as provided
in paragraphs c. and d. above, the Administrator will prepare a written Preliminary
Report. This report will describe the facts related
to the grievance as preliminarily determined by the
Administrator, and announce a preliminary decision as
to whether the sexual harassment policy has been violated.
Both the exempt employee making the charge and the person
accused will be provided a reasonable opportunity to
review the Preliminary Report, but will not be provided
a copy.
Both will be provided a reasonable
opportunity to respond to the Preliminary Report.
f. After considering such response
to the Preliminary Report as the exempt employee and
person accused may choose to make, the Administrator
will reach a final decision. If the decision is that
the person accused has violated the policy, the Administrator
will obtain from the Affirmative Action Officer a confidential
statement summarizing past instances, if any, in which
the person accused has been found to have violated the
University policy or has admitted violating that policy.
The Administrator will consider such records in any
recommendation to impose disciplinary penalties on the
person found to have violated the policy.
g. A Final Report will then be prepared
under the authority of the vice chancellor who is the
Administrator. This written report will summarize the
facts found as a result of the investigation and explain
the basis for the decision that the person accused has
or has not violated the policy on sexual harassment.
h. If the Final Report concludes that
the person accused has not violated the policy, the
vice chancellor who is the Administrator will so notify
the exempt employee and the person accused.
i. If the Final Report concludes that
the person accused has violated the policy, it shall
also include:
(1) A decision whether the exempt employee shall receive
the relief requested or other relief, and,
(2) A decision whether the person determined to have violated
the policy shall be recommended for disciplinary sanctions.
j. The exempt employee and the person
accused will be provided the opportunity to read the
Final Report, but will not be provided a copy, which,
with the evidence collected during the investigation,
will be preserved in a confidential file of the Affirmative
Action Officer, except as it may be used in subsequent
proceedings.
k. Any recommendation for dismissal,
suspension, diminishment in rank or other sanctions
shall proceed in accordance with established University
procedures applicable to the individual subject to discipline.
16. After the Administrator has completed
the Final Report, an exempt employee who filed the formal
complaint--other than Senior Administrative Officers
and students who are employed incident to their status
as students--may appeal the disposition of the grievance
to the EPA Nonfaculty Grievance Committee if he or she
is dissatisfied with the result. (See Policy Statement #64).
A Senior Administrative Officer who filed a complaint
may appeal the disposition of the grievance as provided
in Section
501C(4) of The
Code of the University of North Carolina. A student
who is employed by UNC Charlotte, if the alleged harassment
arises in the context of that employment, may appeal
the disposition of the grievance according to existing
University procedures. Information on such procedures
is available at the Office of the Chancellor.
A faculty member found to have violated
the sexual harassment policy may appeal from the vice
chancellor's decision to the Faculty Grievance Committee,
unless the violation results in the commencement of
disciplinary proceedings against that faculty member
pursuant to Section 8 of the Tenure Policies.
If such disciplinary proceedings are instituted, the
faculty member may request a hearing by the Hearing
Committee.
A person who is not a faculty member
but who has been found to have violated the sexual harassment
policy may pursue the University grievance procedure
appropriate to his or her category of employment or
status as a student, unless the violation results in
the commencement of disciplinary proceedings against
the individual, in which case the individual shall have
the right to such review of the disciplinary action
as is prescribed for individuals in that category of
employment or status as a student.
17. At any time prior to implementation
of a disciplinary penalty against the individual found
to have violated the sexual harassment policy, the University
may, after consultation with the exempt employee who
filed the formal complaint of sexual harassment, negotiate
an agreement to resolve the disciplinary charge against
the individual who violated the sexual harassment policy.
No such negotiated agreement is effective on behalf
of the University unless it has been approved by the
Chancellor.
(Initially approved May 19, 1998; revised
February 26, 2001; updated July 9, 2008.)
Attachment
3
GRIEVANCE
PROCEDURE FOR STUDENTS ALLEGING SEXUAL HARASSMENT BY
A UNIVERSITY EMPLOYEE
1. This procedure applies only in the
case of a student who believes that he/she has been
the victim of sexual harassment by
a University employee (faculty member, staff member,
Postdoctoral Fellow, or student employee in the course
of his/her employment). A student who believes that
he/she has been the victim of sexual harassment by another
student should proceed in accordance with the UNC Charlotte
Code of Student Responsibility
and the Grievance Procedure
for Students Alleging Sexual Harassment by Another Student.
Information on proceeding under the Code or Grievance
Procedure is available in the Office of the Dean
of Students.
2. A student who believes that he/she
has been the victim of sexual harassment
is encouraged to attempt informal resolution of the
matter. A student may obtain assistance in understanding
processes available to pursue either informal or formal
resolution of a sexual harassment complaint on a confidential
basis by contacting one of the following: the Dean
of Students, the University Affirmative Action Officer,
or a University mediator appointed by the institution
to respond to sexual harassment grievances. Both the
Dean of Students Office and the Affirmative Action Office
maintain a list of the names and telephone numbers of
persons appointed by the University to provide such
assistance.
3. If a student elects to proceed with
a formal sexual harassment grievance against a University
employee, whether or not informal efforts have been
made, the student must follow the procedures described
herein.
4. A formal complaint under this procedure
may be made only by means of a written statement signed
by the student and directed to the Affirmative Action
Officer, who may prescribe a particular form for such
written statements.
5. The Affirmative Action Officer will
review the written complaint for completeness and determine
whether the facts alleged in the complaint, if true,
could constitute a violation of the University policy against sexual harassment. If not, the Affirmative Action
Officer may require the grievant to clarify or amplify
the statement, may refer the student to another appropriate
grievance process, or may dismiss the complaint. The
student may appeal a decision to dismiss the complaint
to the Chancellor.
6. If the Affirmative Action Officer
determines that the complaint sufficiently states a
claim of sexual harassment under the University sexual
harassment policy, he/she will refer the complaint
to the University vice chancellor in whose division
the employee accused of violating the policy is employed.
If more than one University employee is accused in the
complaint and those persons are employed in different
divisions, the respective vice chancellors will have
joint responsibility for carrying out the investigations
as described in this procedure.
In the event a vice chancellor's prolonged
absence from the University will prevent a prompt resolution
of the grievance, the Affirmative Action Officer will
notify the Chancellor, who will appoint another vice
chancellor to conduct the investigation. The vice chancellor
to whom the complaint is directed is referred to as
the Administrator in the subsequent sections of this
procedure.
7. The Administrator will have complete
responsibility for conducting the investigation and
making a University decision on the complaint. The purpose
of the investigation shall be to determine whether the
accused employee has violated the University policy
on sexual harassment. If the Administrator concludes
that the policy has been violated, the Administrator
will also determine whether the student is entitled
to the relief requested or to other relief and whether
the person found to have violated the policy should
be recommended for disciplinary sanctions.
8. The Administrator may conduct the
investigation directly, may enlist one or more others
to assist him/her with the investigation, or may delegate
to one or more others the responsibility to conduct
the investigation and prepare reports and recommendations
for the Administrator; however, in any event the final
decision reached will be that of the vice chancellor
who is the Administrator. In subsequent sections of
this procedure, persons designated by the Administrator
to conduct or assist in the investigation are also referred
to as the Administrator.
9. Settlement of charges by mutual
agreement of the parties is encouraged. The student
or the person accused may at any time during the course
of the investigation propose such an agreement to the
Administrator, who is authorized to assist the parties
in resolving the matter by agreement. The vice chancellor
who is the Administrator will consult with the Chancellor
before approving any such agreement on behalf of the
University.
10. The scope of the investigation
will be determined by the Administrator in his/her discretion
and according to the charge and the facts.
11. The method of investigation shall
be within the discretion of the vice chancellor who
is the Administrator. However, the following requirements
shall be observed:
a. The Administrator's decision shall
be based solely upon the written complaint and evidence
received during the investigation. All evidence collected
during the investigation shall be preserved. All spoken
evidence shall be tape recorded.
b. Both the student and the person
accused of sexual harassment may be accompanied by another
member of the University community to provide support
and assistance during meetings with the Administrator
during the course of the investigation, so long as the
individual does not interfere with the Administrator's
ability to conduct the investigation.
c. The student will
be provided a reasonable opportunity to present his/her
evidence supporting the charge in the form of documents
or the spoken testimony of himself/herself or of others
who may have evidence directly bearing on the facts
alleged. As to any evidence collected during the investigation,
the Administrator may ask questions or request additional
information and may refuse to consider any evidence
submitted which he/she concludes is repetitious, irrelevant,
or otherwise without sufficient value to the investigation.
d. After receiving the initial evidence
from the student, the Administrator will interview the
person accused and any other persons who may have information
relevant to the investigation. Multiple interviews may
be conducted as may be necessary with the student, the
person accused, or any other person to aid the Administrator
in understanding the facts and issues related to the
grievance. Likewise, the investigator may obtain any
University record deemed necessary to the investigation
and may request from the participants or other sources
any documents which will be of assistance.
e. After receiving evidence as provided
in paragraphs c. and d. above, the Administrator will prepare a written Preliminary
Report. This report will describe the facts related
to the grievance as preliminarily determined by the
Administrator, and announce a preliminary decision as
to whether the sexual harassment policy has been violated.
Both the student and the person accused will be provided
a reasonable opportunity to review the Preliminary Report,
but will not be provided a copy.
Both will be provided a reasonable
opportunity to respond to the Preliminary Report.
f. After considering such response
to the preliminary decision as the student and person
accused may choose to make, the Administrator will reach
a final decision. If the decision is that the person
accused has violated the policy, the Administrator will
obtain from the Affirmative Action Officer the confidential
records of prior incidents involving the accused person,
if any, and will consider such records in any recommendation
to impose disciplinary penalties on the person found
to have violated the policy.
g. A Final Report will then be prepared
under the authority of the vice chancellor who is the
Administrator. This written report will summarize the
facts found as a result of the investigation and explain
the basis for the decision that the person accused has
or has not violated the policy on sexual harassment.
h. If the Final Report concludes that
the person accused has not violated the policy, the
vice chancellor who is the Administrator will so notify
the student and the person accused.
i. If the Final Report concludes that
the person accused has violated the policy, it shall
also include:
(1) A decision whether the student shall receive the relief
requested or other relief, and,
(2) A decision whether the person determined to have violated
the policy shall be recommended for disciplinary sanctions.
j. Any recommendation for dismissal,
suspension, or diminishment in rank shall proceed in
accordance with established University procedures applicable
to the individual subject to discipline.
k. The student and the person accused
will be provided the opportunity to read the Final Report,
but will not be provided a copy, which, with the evidence
collected during the investigation, will be preserved
in a confidential file of the Affirmative Action Officer.
12. After the vice chancellor who is
the Administrator has completed the Final Report, the
student who filed the complaint or the person accused
may appeal the disposition of the grievance according
to existing University procedures. Information on such
procedures is available at the Office of the Chancellor.
(Initially approved February 8, 1993;
revised February 26, 2001.)
Attachment
4
GRIEVANCE
PROCEDURE FOR STUDENTS ALLEGING SEXUAL HARASSMENT BY
ANOTHER STUDENT
REQUEST FOR RELIEF AND REVIEW OF COMPLAINT
1. This procedure applies only in the
case of a student who believes that he/she has been
the victim of sexual harassment by
another student or a student group or organization.
"Sexual harassment" is defined above and in
Policy Statement #104, "The Code of Student Responsibility."
2. A student who believes that he/she
has been the victim of sexual harassment
is encouraged to attempt informal resolution of the
matter. A student may obtain assistance in understanding
processes available to pursue either informal or formal
resolution of a sexual harassment complaint on a confidential
basis by contacting one of the following: the Dean
of Students, the University Affirmative Action Officer,
or a University mediator appointed by the institution
to respond to sexual harassment grievances. Both the
Dean of Students Office and the Affirmative Action Office
maintain a list of the names and telephone numbers of
persons appointed by the University to provide such
assistance.
3. If a student elects to proceed with
a formal sexual harassment grievance against another
student, whether or not informal efforts have been made,
the student making the charge must follow the procedures
described herein.
4. A formal complaint under this procedure
may be made only by means of a written statement signed
by the student making the charge and directed to the
Affirmative Action Officer, who may prescribe a particular
form for such written statements. If the student making
the charge seeks relief other than disciplinary sanctions
on the accused student (e.g., housing relocation or
permission to withdraw from a class or group project
in which the accused student is involved), he/she must
specifically request such relief in the written statement.
5. The Affirmative Action Officer will
review the written complaint for completeness and determine
whether the facts alleged in the complaint, if true,
could constitute a violation of the University policy
against sexual harassment. If the Affirmative Action
Officer finds that the complaint is not complete or
does not allege sufficient facts, the Affirmative Action
Officer may require the student making the charge to
clarify or amplify the statement, may refer the student
to another appropriate grievance process, or may dismiss
the complaint. The student may appeal a decision to
dismiss the complaint to the Chancellor.
6. If the Affirmative Action Officer
determines that the complaint sufficiently states a
claim of sexual harassment under the University sexual
harassment policy, and the student making the charge
does not request relief other than the discipline of
the accused student, the Affirmative Action Officer
will refer the complaint to the Assistant Dean of Students for Judicial
Programs, and the disciplinary procedures will proceed
as set forth in the Code
of Student Responsibility.
INVESTIGATION
OF THE COMPLAINT AND DISPOSITION OF THE GRIEVANCE
7. If the Affirmative Action Officer
determines that the complaint sufficiently states a
claim of sexual harassment under the University sexual
harassment policy, and the student making the charge
requests relief other than the discipline of the accused
student, the Affirmative Action Officer will refer the
complaint to the Vice Chancellor for Student Affairs,
who will conduct an investigation of the complaint.
The Vice Chancellor for Student Affairs or his/her designee
is referred to as the Administrator in the subsequent
sections of this procedure.
8. The Administrator will have complete
responsibility for conducting the investigation and
making a University decision on the complaint. The purpose
of the investigation shall be to determine whether the
student accused has violated the University policy
on sexual harassment. If the Administrator concludes
that the policy has been violated, the Administrator
will also determine whether the student making the charge
is entitled to the relief requested or to other relief
and whether the person found to have violated the policy
should be recommended for disciplinary sanctions under
the Code
of Student Responsibility.
9. The Administrator may conduct the
investigation directly, may enlist one or two others
to assist him/her with the investigation, or may delegate
to one or more others the responsibility to conduct
the investigation and prepare reports and recommendations
for the Administrator; however, in any event the final
decision reached will be that of the vice chancellor
who is the Administrator. In subsequent sections of
this procedure, persons designated by the Administrator
to conduct or assist in the investigation are also referred
to as the Administrator.
10. Settlement of charges by mutual
agreement of the parties is encouraged. The student
making the charge or the student accused may at any
time during the course of the investigation propose
such an agreement to the Administrator, who is authorized
to assist the parties in resolving the matter by agreement.
The Administrator will consult with the Chancellor before
approving any such agreement on behalf of the University.
11. The scope of the investigation
will be determined by the Administrator in his/her discretion
and according to the charge and the facts.
12. The method of investigation shall
be within the discretion of the vice chancellor who
is the Administrator. However, the following requirements
shall be observed:
a. The Administrator's decision shall
be based solely upon the written complaint and evidence
received during the investigation. All evidence collected
during the investigation shall be preserved. All spoken
evidence shall be tape recorded.
b. Both the student making the charge
and the student accused of sexual harassment may be
accompanied by another member of the University community
to provide support and assistance during meetings with
the Administrator during the course of the investigation,
so long as the individual does not interfere with the
Administrator's ability to conduct the investigation.
c. The student making
the charge will be provided a reasonable opportunity
to present his/her evidence supporting the charge in
the form of documents or the spoken testimony of himself/herself
or of others who may have evidence directly bearing
on the facts alleged. As to any evidence collected during
the investigation, the Administrator may ask questions
or request additional information and may refuse to
consider any evidence submitted which he/she concludes
is repetitious, irrelevant, or otherwise without sufficient
value to the investigation.
d. After receiving the initial evidence
from the student making the charge, the Administrator
will interview the student accused and any other persons
who may have information relevant to the investigation.
Multiple interviews may be conducted as may be necessary
with the student making the charge, the student accused,
or any other person to aid the Administrator in understanding
the facts and issues related to the grievance.
Likewise, the investigator may obtain
any University record deemed necessary to the investigation
(except the confidential records of past violations
of University sexual harassment policy maintained by
the Affirmative Action Officer), and may request from
the participants or other sources any documents which
will be of assistance.
e. After receiving evidence as provided
in paragraphs c. and d. above, the Administrator will prepare a written Preliminary
Report. This report will describe the facts related
to the grievance as preliminarily determined by the
Administrator, and announce a preliminary decision as
to whether the sexual harassment policy has been violated.
Both the student making the charge and the student accused
will be provided a reasonable opportunity to review
the Preliminary Report, but will not be provided a copy.
Both will be provided a reasonable opportunity to respond
to the Preliminary Report.
f. After considering such response
to the Preliminary Report as the student making the
charge and student accused may choose to make, the Administrator
will reach a final decision. If the decision is that
the student accused has violated the policy, the Administrator
will obtain from the Affirmative Action Officer and
the Dean of Students a confidential statement summarizing
past instances, if any, in which the student accused
has been found to have violated the University policy
or has admitted violating that policy. The Administrator
will consider such records in any recommendation to
impose disciplinary sanctions on the student found to
have violated the policy.
g. A Final Report will then be prepared
under the authority of the vice chancellor who is the
Administrator. This written report will summarize the
facts found as a result of the investigation and explain
the basis for the decision that the student accused
has or has not violated the policy on sexual harassment.
h. If the Final Report concludes that
the student accused has not violated the policy, the
vice chancellor who is the Administrator will so notify
the student making the charge and the student accused.
i. If the Final Report concludes that
the person accused has violated the policy, it shall
also include:
(1) A decision whether the student making the charge shall
receive the relief requested or other relief, and,
(2) A decision whether the student determined to have
violated the policy shall be recommended for disciplinary
sanctions.
j. The student making the charge and
the student accused will be provided the opportunity
to read the Final Report, but will not be provided a
copy, which, with the evidence collected during the
investigation, will be preserved in a confidential file
of the Affirmative Action Officer, except as it may
be used in subsequent proceedings.
k. Any recommendation for disciplinary
sanctions shall proceed in accordance with The Code
of Student Responsibility.
13. After the vice chancellor who is
the Administrator has completed the Final Report, the
student who filed the complaint or the student accused
may appeal the disposition of the grievance according
to existing University procedures. Information on such
procedures is available at the Office of the Chancellor.
