165.00 PRE-GRIEVANCE COMPLAINT RESOLUTION PROCESS
165.00 PRE-GRIEVANCE COMPLAINT RESOLUTION PROCESS
Campuses, Laboratories, the Office of the President, and Agriculture
and Natural Resources shall develop a pre-grievance process to accommodate
the special nature of sexual harassment complaints. The pre-grievance
complaint resolution process shall be available to students, faculty,
other non-represented academic and staff employees. To the extent
provided for in the applicable memorandum of understanding, this
process may also be available to employees who are represented by
an exclusive bargaining agent. The primary purpose of the pre-grievance
process is to attempt resolution of the complaint at the earliest
stage possible. Local procedures shall be submitted to the Assistant
Vice President-Employee and Labor Relations for review prior to issuance.
The following guidelines represent appropriate components of local
sexual harassment pre-grievance complaint resolution procedures,
although specific elements may vary according to each location's
165.10 Sexual Harassment Information Centers
Local procedures provide for the designation of information centers
which are available to serve as a resource to any individual who
has a sexual harassment complaint or inquiry. The number and location
of information centers depend on the size and nature of the facility.
Such information centers have information about applicable laws,
University policies and procedures, options available for resolution
of complaints, and confidentiality requirements. The centers' functions
include the following:
165.11 Serve as an informational resource to individuals with complaints
which may involve sexual harassment.
165.12 Inform the complainant regarding applicable University policies
and procedures and outline various options, both informal and formal,
available for resolving the complaint.
165.13 Inform the complainant about whom to contact if she/he wishes
to initiate an investigation of the complaint, as described in Section
165.14 Information centers do not maintain any written record which
would identify the complainant or the person accused in a complaint.
However, information on the number and location of complaints received
may be logged in for statistical purposes, and if collected, is maintained
by the Complaint Resolution Officer (see Section 165.20 below).
165.20 Complaint Resolution Officers
Local procedures provide for designation of an individual or individuals
who are available to investigate sexual harassment complaints and
attempt to resolve them at the earliest stage possible. The duties
of the Complaint Resolution Officers (CRO) may include the following,
as appropriate, according to local procedures:
165.21 Inform the complainant of available options, including mediation
and the investigation.
165.22 Attempt to mediate the complaint. Upon request of either
party, attempts at mediation may occur without the filing of a written
complaint or at any point after a complaint is filed.
165.23 If the complainant wishes to initiate the investigation,
inform the complainant that a written complaint will be required
and that the complaint, including the identity of the complainant,
will be disclosed to the person accused.
165.24 Inform the complainant of the potential remedies available
through the pre-grievance complaint resolution process and the formal
grievance (i.e., restoration of pay, benefits, or rights lost) and
of the remedies that are not available. For example, complainants
may need to be informed that in accordance with University policy,
disciplinary action against the alleged harasser may be initiated
only at the discretion of the Chancellor, Laboratory Director, Senior
Vice President--Administration, or Vice President--Agriculture and
Natural Resources or their designees in their respective areas of
165.25 Upon receipt of a written complaint, conduct a full and
impartial investigation or, in accordance with local procedures,
appoint an investigator to conduct such an investigation. In the
course of the investigation, the following standards shall be observed:
a) The person accused shall be provided a copy of the complaint
and an opportunity to respond to the allegation. The accused may,
upon request, have a representative present when he/she is interviewed.
(If the accused is represented by an attorney, the CRO will consult
with the office of the General Counsel, as appropriate, to determine
b) Witnesses and other concerned parties shall be interviewed individually
and in conformance with privacy requirements.
c) Relevant documents shall be reviewed.
165.26 Submit a written report to a University official appointed
by the Chancellor or by the responsible administrator. The report
shall contain at least the following information:
a) A statement of the issues under review.
b) The positions of the parties.
c) A summary of the results of the investigation.
d) Conclusion as to whether there is probable cause to believe
that sexual harassment, as defined in University policy, has occurred.
165.27 Advise the complainant as to available formal grievance
procedures if the complaint has not been resolved to the complainant's
165.28 Maintain records of complaints, reports, and subsequent
management action in conformance with privacy requirements.
165.30 Participation in Pre-Grievance Process
165.31 In general, complaints which involve sexual harassment are
filed initially with the CRO. Filing a complaint of sexual harassment
with the CRO may constitute the informal or first step of the applicable
formal grievance procedure. However, a complainant may file a formal
grievance directly if the informal step of the grievance process
has been satisfied in accordance with the applicable grievance procedure.
165.32 Local procedures shall state that no person shall be subject
to reprisal for using or participating in the pre-grievance complaint
resolution process, or for using or participating in the formal grievance
165.40 Time Limits
165.41 Local procedures shall establish time limits for filing
a written complaint. These time limits should establish a reasonable
time period for filing, beginning either from the time of the last
alleged incident of harassment, or from the time the complainant
knew or should have known of an action taken as a result of the alleged
165.42 The total time period for the investigation, from the filing
of a written complaint to submission of the report to the appointed
University official, shall not exceed a reasonable time limit established
by local procedures unless an extension has been approved in writing
by the Chancellor or responsible administrator.
165.43 The response of the appointed University official to the
investigator's report shall be provided in writing to the parties
within reasonable time limits established by local procedures.
In the pre-grievance complaint resolution process, and in accordance
with existing policies, every reasonable effort shall be made to
protect the privacy of all parties.
165.51 No records kept by information centers shall include the
names of parties or other information which would permit identification
of the parties.
165.52 Files pertaining to investigations conducted by the CRO
shall not be made available to the public by the University. Complainants
are informed that pursuant to appropriate laws and University regulations,
such records may be made available to the parties.
Back to the Table of Contents