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 organizational needs.

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 165.20 below.

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 responsibility.

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 University representation.)

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 satisfaction.

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 processes.

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 sexual harassment.

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.

165.50 Confidentiality

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.

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