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UCR Policies and Procedures

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For a hardcopy pdf of this document, contact the Office of Compliance (2-8246).

Policy Title:                    Procedures for Employment Related Discrimination, Harassment and Retaliation Complaint and Resolution

 

Policy Number:             650-75

 

Responsible Officer:

Associate Vice Chancellor of Human Resources

Responsible Office:

Human Resources

Origination Date:

06/28/2017

Date of Revision:

08/14/2018

Date of Last Review:

08/13/2018

Scope:

Guidance in Reporting Certain Alleged Conduct that Violates UC Nondiscrimination Policies

 I.        University Policy Summary  

The University of California (UC) prohibits discrimination or harassment on the basis of race, color, national origin, religion (including religious dress and grooming practices), sex, gender, gender expression, gender identity, gender transition status, pregnancy, physical or mental disability, medical condition (cancer-related or genetic characteristics), genetic information (including family medical history), ancestry, marital status, age (40 and over), sexual orientation, citizenship, or service in the uniformed services, including protected veterans. 

University policy prohibits retaliation for bringing a complaint of discrimination or harassment. University policy also prohibits retaliation against a person who assists with a complaint of discrimination or harassment, or participates in any manner in an investigation or resolution of a complaint of discrimination or harassment.  

UC Riverside (UCR) is committed to creating and maintaining an environment in which individuals can work and learn together in an atmosphere free of all forms of discrimination and harassment. UCR will respond promptly and effectively to reports of discrimination, harassment and retaliation and will take reasonable steps to prevent and correct harassment and, when necessary, appropriate action to discipline behavior that violates university policy.    

The UCR Human Resources Equal Employment and Affirmative Action (EEAA) department is responsible for supporting UCR’s commitment to non-discrimination, and equal employment opportunity in all aspects of employment. 

II.         Purpose and Scope

The UCR Procedures for Employment Related Discrimination, Harassment and Retaliation Complaint and Resolution provide a process through which persons seeking employment and employees; including faculty and other academic personnel, staff, paid and unpaid interns, volunteers, participants in a training program leading to employment, and independent contractors, may report alleged discrimination, harassment, retaliation, and other conduct that violates the University Nondiscrimination Policies.

These procedures implement Discrimination, Harassment, and Affirmative Action in the Workplace, PPSM-12: Nondiscrimination in Employment policy, and the relevant provisions of APM-15: The Faculty Code of Conduct. These procedures do not apply to reports of sex offenses; including sexual harassment and sexual violence. Such complaints are processed in accordance with the UC Sexual Violence and Sexual Harassment policy through the Title IX Office. Reports made to the EEAA department regarding sexual harassment or sexual violence will be referred to the Title IX Office. 

 III.      Prohibited Conduct

A.    Discrimination

Discrimination is unequal treatment of an individual or group of people based upon race, color, national origin, religion (including religious dress and grooming practices), sex, gender, gender expression, gender identity, pregnancy, physical or mental disability, medical condition (cancer-related or genetic characteristics), genetic information (including family medical history), ancestry, marital status, age (40 or over), sexual orientation, citizenship, status as a protected veteran or service in the uniformed services where there is no legitimate reason for such treatment. 

B.    Harassment 

Harassment, on any of the bases set forth above in the definition of discrimination, is defined as unwelcome conduct, including verbal, nonverbal, or physical conduct that explicitly or implicitly affects a person’s employment or interferes with a person’s work or creates an environment such that a reasonable person would find the conduct intimidating, hostile, or offensive. 

C.    Retaliation 

Retaliation includes threats, intimidation, reprisals, and/or adverse employment actions against a person based on their report of Prohibited Conduct or participation in the investigation, report, remedial, or disciplinary processes provided for in these guidelines.

IV.        Procedure for Reporting Prohibited Conduct

Individuals are encouraged to report Prohibited Conduct to the EEAA department. Reports under this policy should be brought as soon as possible, optimally within a year, after the alleged conduct occurs. Prompt reporting will enable the University to investigate the facts, determine the issues, and provide an appropriate remedy or corrective action. Delays in reporting may impede the University’s ability to conduct an investigation and/or effect appropriate actions. Reports may be made anonymously, however anonymous reporting may limit the University’s ability to respond to the report.   

Reports may be made in any of the following ways:  

        By calling the EEAA department at 951-827-5604 

        By emailing the EEAA department at affirmativeaction@ucr.edu

        In person by visiting the EEAA department located at 1201 University Ave; University Village Ste. 208

       Online by completing and submitting a UCR Discrimination/Harassment Complaint Form 

Complaints of employment related discrimination, harassment, or retaliation filed through the Whistleblower Hotline may be directed to the EEAA department.  Individuals reporting Prohibited Conduct will be: 

       provided a copy of these procedures, which set forth options for resolution as well as information on confidentiality, privacy and record retention. 

       informed about options for resolving potential violations of University policy which include Early Resolution, Formal Investigation, and filing grievances under applicable grievance procedures in accordance with collective bargaining agreements.

        •   informed about the range of possible outcomes should it be determined a violation has occurred.  

 V.        Procedure for Responding to Reports of Prohibited Conduct 

After receiving a report, which does not need to be in writing, of prohibited conduct, the EEAA department will conduct a fair, complete, and timely initial review of the report to determine whether the report, on its face, alleges an act of Prohibited Conduct and if such conduct warrants University intervention. The EEAA department may consult with other appropriate resources.  

Reports of Prohibited Conduct may be addressed through Early Resolution, Formal Investigation, and/or a separate complaint resolution process or grievance process in accordance with applicable University policy or collective bargaining agreement.   

A.     Early Resolution 

The goal of Early Resolution is to resolve concerns at the earliest reasonable opportunity and with the cooperation of all parties involved. The EEAA department will utilize Early Resolution when the initial review indicates that the situation may be effectively resolved cooperatively, when a complaint involves less serious violations and/or when a Formal Investigation is not likely to lead to resolution. Early Resolution may include an inquiry into the facts, but typically does not include a Formal Investigation. Means for Early Resolution are flexible and encompass a full range of possible appropriate outcomes such as discussions with the parties, mediating an agreement between the parties, making recommendations for resolutions, separating the parties, negotiating an agreement for disciplinary action, conducting targeted educational and training programs, and using follow-up measures to assure that resolutions have been implemented effectively.

 

While the EEAA department will utilize Early Resolution when appropriate, Early Resolution is not required prior to a decision to initiate a Formal Investigation. Some reports under the University Nondiscrimination Policies may not be appropriate for Early Resolution and may require a Formal Investigation at the discretion of the EEAA office.

 

A complainant may request a Formal Investigation at any time during an Early Resolution process, but the EEAA department has final authority for determining whether to initiate a Formal Investigation.  

  B.     Formal Investigation 

In cases where Early Resolution is inappropriate or unsuccessful, the EEAA department may recommend the case for Formal Investigation. In the decision to initiate a Formal Investigation of a report of prohibited conduct, the wishes of the complainant will be considered, but are not determinative. The EEAA department, in consultation with other appropriate offices, may recommend a case for Formal Investigation after making a preliminary inquiry into the facts and taking into consideration, among other things, the seriousness of the alleged harassment or discrimination and other complaints of similar conduct or against the same individual. Conversely, if the EEAA department concludes that the facts as alleged by the complainant and/or as found by a preliminary inquiry demonstrate that the alleged conduct does not meet the standards for discrimination, harassment, or retaliation under University policy, the complainant’s request to initiate a Formal Investigation may be declined.

In the event of a Formal Investigation, an investigator will be assigned. The Investigator will conduct the investigation by interviewing the parties, including other witnesses, and reviewing and evaluating other available evidence. Upon completion of the investigation, the investigator will issue a written report of findings to EEAA. Based on the written investigation report, EEAA will make a determination as to whether the evidence supports a finding that university policy has been violated.

 

The EEAA department will inform the complainant and the respondent promptly in writing upon completion of the investigation. The complainant and the respondent will be informed as to whether there was a finding of violation of the University Nondiscrimination Policies. The complainant will be informed of any systemic remedies taken to resolve the complaint and of any actions taken that are directly related to the complainant, such as an order that the respondent not contact the complainant. In accordance with University policies protecting individuals’ privacy, the complainant may generally be notified that the matter has been referred for corrective action, but will not be informed of the details of the recommended corrective action.  

 

The complainant and the respondent may request a copy of the investigative report pursuant to University policy governing privacy and access to personal information. The report will be redacted to protect the privacy of personal and confidential information regarding all individuals other than the individual requesting the report in accordance with University policy. 

 VI.     Remedies and/or Referral for Corrective Action

If the Formal Investigation finds Prohibited Conduct occurred, the EEAA department or other appropriate office, in consultation with relevant administrators, and the University, shall take prompt and effective steps reasonably calculated to stop the violation, prevent its recurrence, and, as appropriate, remedy its effects. 

The EEAA department will forward the investigative report (with attachments and any necessary redactions) to the relevant administrator. The specific procedures for determining corrective action depend upon the nature of the violator’s relationship to the university (e.g., faculty, other academic appointee, staff, or third party). When a violator is both a student and an employee (such as a Teaching Assistant or Graduate Student Researcher), the violator may be subject to both the sanctions applicable to students and to employees. Individuals found to have engaged in Prohibited Conduct may be subject to corrective action, up to and including dismissal in accordance with the applicable University procedures. 

       VII.    Confidential Resources

Confidential resources are available for individuals who wish to have a confidential discussion about an issue involving discrimination, harassment or retaliation without an official response from the university. These offices provide a safe place to discuss concerns and learn about the procedures and potential outcomes while remaining anonymous. Discussion with these confidential offices are not considered reports under this policy and will not result in any actions by the University to resolve the concerns. The following are confidential resources:   

         Office of the Ombuds   

         Faculty & Staff Assistance Program 

         Campus Assault Resources & Education (CARE) 

VIII.   Responsible Employees 

The following University employees, excluding Confidential Resources, who receive information that an individual has suffered discrimination, harassment or retaliation from any other person affiliated with the university are required to promptly notify EEAA:

        Campus Police

        Human Resource Administrators, Academic Personnel, and Title IX Professionals

        Managers and Supervisors including Deans, Department Chairs, and Directors of Organized Research Units

        Faculty Members

        Resident Assistants and Graduate Teaching Assistants  

             IX.       Privacy

The University will protect the privacy of individuals involved in a report of Prohibited Conduct to the extent permitted by law and by University policies and procedures. However, it should be recognized that an investigation may involve interviews with a number of individuals to inquire if they have relevant evidence, and extremely sensitive information may be gathered. While such information is considered confidential, University policies and procedures may also require the disclosure of certain information during or following an investigation, including discipline results. 

       X.        Retention of Records

The EEAA department is responsible for maintaining records relating to discrimination, harassment, and retaliation reports, investigations, and resolutions, and for making reports of a statistical nature. Records will be maintained in accordance with UC Records Retention Schedule. All records pertaining to pending litigation or a request for records will be maintained in accordance with instructions from the Office of Campus Counsel. 

      XI.        Intentional False Reports

Individuals who make a report of employment related discrimination, harassment or retaliation that is later found to have been intentionally false or made maliciously without regard for truth, may be subject to disciplinary action under applicable university disciplinary policy and procedure. This provision does not apply to reports made in good faith, even if the facts alleged in the report cannot be substantiated.  

      XII.      External Resources and Time Limits for Filing Complaints

The federal Equal Employment Opportunity Commission (EEOC) and the California Department of Fair Employment and Housing (DFEH) investigate reports of unlawful discrimination, harassment and retaliation in employment. For more information, contact the nearest office of the EEOC or DFEH.  

 

       Equal Employment Opportunity Commission (EEOC)
255 E. Temple Street, 4th Floor
Los Angeles, CA 90012
800-669-4000 213-894-1121
www.eeoc.gov
Note:  Time limit to file a charge of discrimination is 300 days (10 months) from last incident.

       Department of Fair Employment and Housing (DFEH)
     Los Angeles District Office
     611 West Sixth Street, Suite 1500
     Los Angeles, CA 90017
     Employment Discrimination: 800-884-1684
     Housing Discrimination: 800-233-3212.
    
www.dfeh.ca.gov
     Note:  Time limit to file a charge of discrimination is 365 days from last incident.

      XIII.       Contacts  

Contact

Phone

Email

EEAA Department

(951) 827-5604

affirmativeaction@ucr.edu

XIV.    Related Information

 A.      Discrimination, Harassment, and Affirmative Action in the Workplace -https://policy.ucop.edu/doc/4000376/DiscriminatioHarassmentAffirmAction

 B.      PPSM-12: Nondiscrimination in Employment- http://policy.ucop.edu/doc/4010391/PPSM-12

 C.      APM-15: Faculty Code of Conduct - http://www.ucop.edu/academic-personnel-programs/_files/apm/apm-015.pdf

 D.      Sexual Violence and Sexual Harassment Policy – http://policy.ucop.edu/doc/4000385/SVSH

 E.       UCR 650-85: Volunteer (without salary) Appointments – http://fboapps.ucr.edu/policies/index.php?path=viewPolicies.php&policy=650-85

XV.     Revision History

 Changes are effective on August 14, 2018.

 As a result of the issuance of this procedure, the following procedure is rescinded as of the effective date of this procedure and is no longer applicable:

Procedures for Employment Related Discrimination, Harassment and Retaliation Complaint and Resolution, June 2017.