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UCSC Policies and Procedures
Procedures for Reporting Sexual Harassment
Sexual harassment is unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature, when submission to or rejection of this conduct explicitly or implicitly affects a person's employment or education, unreasonably interferes with a person's work or educational performance, or creates an intimidating, hostile or offensive working or learning environment. In the interest of preventing sexual harassment, the University will respond to reports of any such conduct.
Section 102.09 of the Code of Student Conduct:
Student Employees: When employed by the University of California, and acting within the course and scope of that employment, students are subject to the University of California Policy on Sexual Harassment. Otherwise, Section 102.09, above, is the applicable standard for harassment by students.For both student and/or employee sexual harassment, please refer to the UC Policy on Sexual Harassment and the University of California, Santa Cruz Procedures For Reporting Sexual Harassment.
harassment may include incidents between any members of the University
community, including faculty and other academic appointees, staff, coaches,
housestaff, students, and non-student or non-employee participants in
University programs, such as vendors, contractors, visitors, and patients.
Sexual harassment may occur in hierarchical relationships or between
peers, or between persons of the same sex or opposite sex.
This policy covers unwelcome conduct of a sexual nature. Consensual romantic relationships between members of the University community are subject to other University policies, for example, those governing faculty-student relationships are detailed in the Faculty Code of Conduct. (See Appendix C) While romantic relationships between members of the University community may begin as consensual, they may evolve into situations that lead to charges of sexual harassment, subject to this policy.
Harassment that is not sexual in nature but is based on gender, sex-stereotyping, or sexual orientation also is prohibited by the University's nondiscrimination policies if it is sufficiently severe to deny or limit a person's ability to participate in or benefit from University educational programs, employment, or services. While discrimination based on these factors may be distinguished from sexual harassment, these types of discrimination may contribute to the creation of a hostile work or academic environment. Thus, in determining whether a hostile environment due to sexual harassment exists, the University may take into account acts of discrimination based on gender, sex-stereotyping, or sexual orientation.
A report of sexual harassment shall be defined as any meeting or discussion with a University official (see Appendix A for definition of University Official), in order to inform the University that sexual harassment may have occurred. Another example of a report would be information contained in a student evaluation of a course or in an anonymous letter. Persons experiencing problems with sexual harassment are encouraged to report them as soon as possible. Once a report has been made, in whatever form, the Title IX/SHO must be made aware of the report by the University official who has received it.
Reports of sexual harassment may be resolved informally, either by the Title IX/SHO, or by any other trained University official in cooperation with the Title IX/SHO. Any University official participating in informal resolution of a report must consult the Title IX/SHO to determine what action, if any, is appropriate to the situation, and report the actions taken to the Title IX/SHO.
A complaint of sexual harassment shall be defined as a signed, written statement, informing the University that sexual harassment may have occurred and providing information sufficient for further inquiry (See Appendix E for a Sexual Harassment Complaint Form). Complaints require an investigation by the Title IX/SHO and may result in disciplinary or corrective action after due process is provided to the accused, if it is found that harassment has taken place.
Although responsible University officials will attempt to respect the wishes of the complainant with regard to action taken in response to the complaint, the University will take appropriate disciplinary or corrective action whenever deemed necessary to meet the University's responsibilities to provide a safe and non-discriminatory environment for other students and employees. The only case in which a complainant ordinarily may ensure that no action is taken on the basis of her/his complaint is when s/he does not disclose the name or other details that would identify the accused.
Repeated sexual harassment of one or more individuals by the same offender must be taken as a more serious offense for purposes of disciplinary action; therefore, all reports and complaints of sexual harassment must be reported to the Title IX/SHO, who is authorized to keep records of sexual harassment reports and complaints.
A. University Officials
Although all persons who wish to report incidents of sexual harassment are strongly urged to consult directly with the Title IX/SHO, they may choose to inform another University official instead (see Appendix A for the definition of University Official). Such persons may be able to achieve an informal resolution of a report of sexual harassment, but must always consult with the Title IX/SHO for guidance on University Policy and appropriate resolution, and inform the Title IX/SHO of any actions taken to resolve the report. If a student or employee wishes to file a complaint of sexual harassment, as defined above, the complainant should be referred immediately to the Title IX/SHO.
Upon request by the Title IX/SHO actions to be taken by a University official in response to a report of sexual harassment may include informing the accused that another person, anonymous or not, has reported her/his behavior to be unwelcome; educating the accused about appropriate behavior; mediating between the parties only if both desire mediation, and negotiating informal resolutions. (Guidance and educational materials available from the Title IX/SHO.) Under no circumstance can mediation between the parties be required in order to resolve reports or complaints of sexual harassment.
If no mutually acceptable informal resolution can be reached, and the versions of complainant and accused differ such that only a thorough investigation can determine the facts of the case, the case must be referred to the Title IX/SHO.
If a University official has reason to believe that there may be the potential for future threat to the complainant and/or to others; if there are multiple reports; or if the official has reason to believe that repeated sexual harassment has occurred, s/he must inform the Title IX/SHO before taking any action to resolve the case. Supervisors who hear rumors of sexual harassment through a third party and believe there may be some basis for the rumors should make confidential inquiries to determine the validity of the rumors and proceed accordingly, in consultation with the Title IX/SHO. All supervisors, including deans and department chairs, bear responsibility for obtaining training in sexual harassment policy and procedures from the Title IX Office. Any University official, including a supervisor, department chair or dean, who has not gone through the campus sexual harassment training program should refer all reports, as well as complaints, to the Title IX/SHO before taking any action. In addition, if a supervisor thinks s/he may be involved in a conflict of interest or other potential difficulty dealing with the complainant and the accused, s/he should refer the complainant immediately to the Title IX/SHO.
B. The Sexual Harassment Officer (Title IX/SHO)
The Title IX/SHO is authorized by the Chancellor to receive and resolve reports and complaints of sexual harassment. Aside from complaints filed by staff or academic appointees through other formal campus grievance procedures (Section X), the Title IX/SHO is the only University official authorized to conduct fact-finding investigations of sexual harassment complaints. The Title IX/SHO may, at her/his discretion, conduct a survey of any class taught by a faculty member or instructor about whom a sexual harassment complaint has been made and may request the attendance of a department chair and/or dean at any meeting with a faculty member or instructor to discuss a sexual harassment complaint filed against that person. All members of the campus community will cooperate fully with the Title IX/SHO in the fulfillment of her/his responsibilities.
The Title IX/SHO shall plan and manage the local sexual harassment education and training programs. The Title IX/SHO shall serve as consultant to University officials who receive and resolve reports of sexual harassment and shall serve as principal campus advisor on sexual harassment policy and procedures. The Title IX/SHO shall maintain files of all reports and complaints of sexual harassment, separate from any other personnel files, and shall maintain information on the number, location, and nature of reports and complaints.
A. Resolution of Reports of Sexual Harassment
The Title IX/SHO shall attempt to resolve any reports of sexual harassment by informing, educating, mediating, or negotiating informal agreements by the same procedures and with the same considerations outlined in Section III. A. for other University officials. If no resolution can be reached that is acceptable to both parties and to the University, the Title IX/SHO may institute a sexual harassment investigation, at the request of the complainant, as outlined below in section B.
The goal of early resolution is to resolve concerns at the earliest stage possible, with the cooperation of all parties involved. Early resolution may include an inquiry into the facts, but typically does not include a formal investigation. Means for resolution shall be flexible and encompass a full range of possible appropriate outcomes. Early resolution includes options such as mediating an agreement between the parties, separating the parties, referring the parties to counseling programs, negotiating an agreement for disciplinary action, conducting targeted educational and training programs, or remedies for the individual harmed by the harassment. Early resolution can also include options such as discussions with the parties, making recommendations for resolution, and conducting follow-up after a period of time to assure that the resolution has been implemented effectively. Early resolution may be appropriate for responding to anonymous reports and/or third party reports. Steps taken to encourage resolution and agreements reached through early resolution efforts should be documented.
B. Resolution of Complaints of Sexual Harassment
The Title IX/SHO shall investigate all written complaints of sexual harassment. The Title IX/SHO may also determine that an investigation is warranted without a written complaint, either because of the severity of the allegations reported, or because of the frequency of allegations against the accused, or for any other reason.
In cases involving students, upon the initiation of an investigation, the Title IX/SHO will send a letter of notification within five (5) working days of receiving a request from a complainant for a Title IX investigation to the accused student which: 1) advises the student of the allegation(s); 2) includes the name of the complainant(s); 3)includes a full and complete written statement of the allegations; 4) identifies the violation(s) of the Student Conduct Code represented by the allegations; 5) Provides a copy of the UC Policy on Sexual Harassment and Procedures For Reports of Sexual Harassment; and, 6) describes the need to schedule an appointment with the Title IX/SHO within five (5) working days to respond to the allegations.
In cases involving staff and academic appointees, upon the initiation of an investigation, the Title IX/SHO shall send a letter of notification to the respondent within five (5) working days of receiving a complaint that, 1) informs the accused of the identity of the complainant(s), if any; 2) includes a full and complete written statement of the allegation(s); 3) provides a copy of the UC Policy on Sexual Harassment and Procedures For Reports of Sexual Harassment; and 4) explains that the accused must respond to the allegations in writing to a full accounting of the allegations, to the Title IX/SHO within ten (10) working days after having been informed.
Students: If the accused is a student and the Title IX/SHO's investigation finds that a violation of the UC Policy on Sexual Harassment has occurred, the Title IX/SHO shall refer the report, including proposed remedies for the complainant and proposed sanctions for the accused to the principal officer. The principal officer, or her/his designee, will inform the respondent of the results of the investigation. The principal officer will refer the case to the Director, Student Judicial Affairs who will determine the appropriate disciplinary action according to the guidelines in the Student Policies and Regulations Handbook (Sections 103.00 - 109.00) (http://www2.ucsc.edu/judicial/)
In all cases, the Director, Student Judicial Affairs normally shall determine appropriate disciplinary action within ten (10) working days, or notify the complainant and the accused of the reasons for a time extension. The Director, Student Judicial Affairs will inform the Title IX/SHO in writing of the action s/he intends to take at least forty-eight (48) hours before the action is taken. If the Title IX/SHO believes that the proposed disciplinary action is inappropriate, s/he will notify the Director, Student Judicial Affairs in writing, within forty-eight (48) hours and file this document in the complaint file.
Within five (5) working days of taking the appropriate corrective or disciplinary action against the accused, the Director, Student Judicial Affairs shall notify the Title IX/SHO in writing of the action taken who shall then provide the complainant with a written notice indicating: 1) the finding (which violation of the Student Conduct Code); 2) all individual remedies available to the complainant; 3) and all sanctions against the offender of which the complainant needs to be aware in order for the sanctions to be fully effective.
Academic Senate members: If the accused is a member of the Academic Senate and the Title IX/SHO's investigation finds that a violation of the UC Policy on Sexual Harassment has occurred, there may be a violation of the Faculty Code of Conduct; therefore, the case and investigation materials should be referred to the Campus Provost/Executive Vice Chancellor for consideration of charges. The Campus Provost/Executive Vice Chancellor will refer the case to the Charges Committee, and the matter will then proceed according to the campus procedure for the University Policy on Faculty Conduct and the Administration of Discipline and Academic Senate By-Law 335. (APM-016 & CAPPM 002.015) (http://apo.ucsc.edu/)
Non-Senate Academic Appointees: If the accused is a non-Senate academic appointee and the Title IX/SHO's investigation finds that a violation of the UC Policy on Sexual Harassment has occurred, the Title IX/SHO will refer the case and investigation materials to the Campus Provost/Executive Vice Chancellor, who will refer the case to the appropriate academic administrator to take action. The Campus Provost/Executive Vice Chancellor, or appropriate administrator, will inform the respondent of the results of the investigation. Formal corrective or disciplinary action taken against the offender shall be in accordance with applicable university policy, as stated in Academic Personnel Policy 150 - Corrective Action and Dismissal, or as provided in the relevant collective bargaining agreements. The offender shall be notified of her/his right to file a grievance regarding such corrective or disciplinary action. (http://apo.ucsc.edu/)
Members: If the accused is a staff member and the Title IX/SHO's
investigation finds that a violation of the UC Policy on Sexual Harassment
has occurred, the Title IX/SHO shall forward the final report to the
appropriate principal officer, who will either take action or refer
the case and investigation materials to the appropriate supervisor for
action. The principal officer, or the supervisor, will inform the respondent
of the results of the Title IX investigation. Formal corrective or disciplinary
action taken against the offender shall be in accordance with applicable
university policy as stated in the Personnel Policies for Staff Members,
or Personnel Policies for Senior Managers, or as provided for in relevant
collective bargaining agreements. The offender shall be notified of
her/his right to file a grievance regarding such corrective or disciplinary
Within five (5) working days of taking the appropriate corrective or disciplinary action against the accused, the appropriate principal officer shall notify the Title IX/SHO in writing of the action taken who shall then provide the complainant with a written notice indicating: 1) the finding (the outcome of the fact finding investigation); 2) all individual remedies available to the complainant; and 3) all sanctions against the offender of which the complainant needs to be aware in order for the sanctions to be fully effective.
Refer to sections X.A and XI in this procedure for additional options.
The University shall protect the privacy of individuals involved in a report of sexual harassment to the extent required by law and University policy. A report of sexual harassment may result in the gathering of extremely sensitive information about individuals in the University community. While such information is considered confidential, University policy regarding access to public records and disclosure of personal information may require disclosure of certain information concerning a report of sexual harassment. In such cases, every effort shall be made to redact the records in order to protect the privacy of individuals. An individual who has made a report of sexual harassment may be advised of sanctions imposed against the accused when the individual needs to be aware of the sanction in order for it to be fully effective (such as restrictions on communication or contact with the individual who made the report). However, information regarding disciplinary action taken against the accused shall not be disclosed without the accused's consent, unless it is necessary to ensure compliance with the action or the safety of individuals.
Confidential resources for information regarding resources, options for reports of sexual harassment or how to file a complaint of sexual harassment include the Campus Conflict Resolution Service Office, licensed counselors in the Employee Assistance Program and/or licensed counselors at Counseling & Psychological Services at Student Health Services. These resources provide individuals who may be interested in bringing a report of sexual harassment with a safe place to discuss their concerns and learn about the procedures and potential outcomes involved. Individuals who consult with these confidential resources shall be advised that their discussions in these settings are not considered reports of sexual harassment and that without additional action by the individual, such as reporting to the Title IX/SHO, the Police or other University Official, the discussions will not result in any action by the University to resolve their concerns.
Certain University employees, such as the Title IX Coordinator/Sexual Harassment Officer, managers, supervisors, and other designated employees have an obligation to respond to reports of sexual harassment, even if the individual making the report requests that no action be taken. An individual's request regarding the confidentiality of reports of sexual harassment will be considered in determining an appropriate response; however, such requests will be considered in the dual contexts of the University's legal obligation to ensure a working and learning environment free from sexual harassment and the due process rights of the accused to be informed of the allegations and their source. Some level of disclosure may be necessary to ensure a complete and fair investigation, although the University will comply with requests for confidentiality to the extent possible.
Letters of warning and records of other disciplinary actions concerning sexual harassment are to be kept in staff or faculty personnel files and in a student's confidential file. Where there has been a finding, after a due process hearing or after investigation, or an acknowledgment of wrong-doing by staff or faculty, notice shall be placed in their personnel files. Where there has been a finding, after a due process hearing or after investigation, or an acknowledgment of wrong-doing, notice shall be placed in the student's confidential file with the College Administrative Officer at her/his college.
See Title IX/Sexual Harassment Office Records and Files for information about Title IX/SHO records.
Instead of, or in addition to, using the Title IX Grievance Procedures, staff employees with complaints of sexual harassment may avail themselves of the following formal grievance or administrative review procedures: Personnel Policies for Staff Members, Policy 70 - Complaint Resolution; Personnel Policies for Senior Managers Policy II-70- Resolution of Concerns; or the applicable grievance procedure in the Collective Bargaining Agreement(s). Some labor agreements permit employees to select the campus sexual harassment complaint procedure in lieu of Step I of the grievance procedure. In such cases, staff should file a grievance within the prescribed time limits, usually within 30 calendar days of the last incident; the grievance may be held in abeyance pending the outcome of informal resolution attempts. For more information, or to file a grievance, staff should contact the Employee & Labor Relations Office.
B. Academic Appointees
Instead of, or in addition to using the Title IX Grievance Procedure academic employees who have experienced sexual harassment on campus, or while participating in a University sponsored program, may avail themselves of the following formal grievance procedures:
A student may file a formal complaint with the principal officer within thirty (30) calendar days of the time at which the student knows or could be reasonably expected to have knowledge of the alleged violation. When the violation occurs at the end of an academic quarter, a formal complaint may be filed within thirty (30) working days of the beginning of the succeeding academic quarter. A formal complaint must include a detailed explanation of the specific action being grieved, specific policy and/or regulation alleged to have been violated, the harm caused to the student, and the requested remedy. (Student Policies and Regulations Handbooks, Section 110.00)
Staff, students or faculty who may wish to file formal grievances should note that the time limit for filing is generally 30 calendar days from the last incident.
Students may file complaints under Title IX with the Office for Civil Rights, U.S. Department of Education, or with the California Department of Fair Employment and Housing. Contact the campus Title IX/SHO for current information.
Staff and faculty may file complaints under Title IX under certain conditions, as above; under Title VII, with the Equal Employment Opportunity Commission; or with the State Department of Fair Employment and Housing. Contact the Title IX Office for current information.
The time limits for filing complaints with State or Federal agencies vary. Contact the Title IX Office for further information.
Contact Rita Walker , Title IX Officer: 105 Kerr Hall . email: firstname.lastname@example.org . phone 831.459.2462 * 831.459.4825