UC Santa Cruz Title IX/Sexual Harassment Office


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UCSC Policies and Procedures

Procedures for Reporting Sexual Harassment

  1. Definition of Sexual Harassment
  2. Overview of Reports and Complaints of Sexual Harassment
  3. Roles of University Officials and Title IX Officer in the Resolution of Reports and Complaints of Sexual Harassment
  4. Title IX Office Procedures for the Resolution of Reports and Complaints of Sexual Harassment
  5. Administrative Action
  6. Privacy
  7. Confidentiality of Reports of Sexual Harassment
  8. Records
  9. External Options Available to Complainant or Respondent for Resolution of Sexual Harassment Complaints

I. DEFINITION OF SEXUAL HARASSMENT

Definition of Sexual Harassment
Sexual Harassment is defined as unwelcome sexual advances, requests for sexual favors, and other verbal, nonverbal, or physical conduct of a sexual nature. Sexual harassment is conduct that explicitly or implicitly affects a person's employment or education or interferes with a person's work or educational performance or creates an environment such that a reasonable person would find the conduct intimidating, hostile, or offensive. The University will respond to reports of any such conduct in accordance with the policy and procedures.

Sexual harassment may include incidents between any members of the University community, including faculty and other academic appointees, staff, student employees, students, coaches, residents, interns, and non-student or non-employee participants in University programs (e.g., vendors, contractors, visitors, and patients). Sexual harassment may occur in hierarchical relationships, between peers, or between individuals of the same sex or opposite sex. To determine whether the reported conduct constitutes sexual harassment, consideration shall be given to the record of the conduct as a whole and to the totality of the circumstances, including the context in which the conduct occurred.

Consistent with the University of California Policies Applying to Campus Activities, Organizations, and Students, Policy 100.00 on Student Conduct and Discipline, Section 102.09, harassment of one student by another student is defined as unwelcome conduct of a sexual nature that is so severe and/or pervasive, and objectively offensive, and that so substantially impairs a person's access to University programs or activities that the person is effectively denied equal access to the University's resources and opportunities.

In determining whether the reported conduct constitutes sexual harassment, consideration shall be given to the record of the conduct as a whole and to the totality of the circumstances, including the context in which the conduct occurred.

A. Completely Confidential Resource Assistance for Sexual Harassment Incidents

Sexual Assault Prevention Educator
(831) 459-2721
http://healthcenter.ucsc.edu/shop/sadv/index.html

UCSC Counseling & Psychological Services (students only)
(831) 459-2628
http://caps.ucsc.edu/
After Hours through Campus Dispatch (831) 459-2100

Monarch Services (previously known as Women's Crisis Support/Defensa de Mujeres)
1(888) 900-4232
http://www.wcs-ddm.org/
Facebook icon Twitter Icon instagram Pinterest-logo

EAP Program (staff & faculty only)
1(866) 808-6205
http://shr.ucsc.edu/benefits/eap/

Campus Conflict Resolution Services
(831) 459-2290
http://conflictresolution.ucsc.edu

UC Hotline for Anonymous Reporting of any Misconduct or Climate Issues
1-800-403-4744
or via an anonymous form at: http://whistleblower.ucsc.edu/about/form.pdf

B. Where to Report Sexual Harassment

The Title IX Office:
Rita Walker, Title IX Officer
105 Kerr Hall (call for appointment)
831.459.2462
http://www2.ucsc.edu/title9-sh

Department Chair, Faculty, College Administration, supervisor, manager or other University official

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II. OVERVIEW OF REPORTS AND COMPLAINTS OF SEXUAL HARASSMENT

A report of sexual harassment shall be defined as any meeting or discussion with a 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 a report made anonymously. Once a report has been made, in whatever form, the Title IX Officer must be advised of the report by the University official or Clery Security Advisor who has received it, preferably within 48 hours of receiving the report.

Reports of sexual harassment may be resolved informally, either by the Title IX Officer, or a trained University official in cooperation with the Title IX Officer. Any University official participating in informal resolution of a report must consult the Title IX Officer to determine what action, if any, is appropriate to the situation, and report the actions taken to the Title IX Officer.

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. Complaints require an investigation by the Title IX Officer and may result in disciplinary or corrective action after due process is provided to the respondent, if it is found that the UCSC Policy on Sexual Harassment has been violated. All persons wishing to have sexual harassment allegations investigated must be referred to the Title IX Officer.

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 an environment free from harassment and discrimination for 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 Officer, who is authorized to keep records of sexual harassment reports and complaints.

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III. ROLES OF UNIVERSITY OFFICIALS AND TITLE IX OFFICER IN THE RESOLUTION OF REPORTS AND COMPLAINTS OF SEXUAL HARASSMENT

A. UNIVERSITY OFFICIALS
Although all persons who wish to report incidents of sexual harassment are strongly urged to consult directly with the Title IX Officer, they may choose to inform another University official instead. Such persons may be able to achieve an informal resolution of a report of sexual harassment, but must always consult with the Title IX Officer for guidance on University policy and appropriate resolution, and inform the Title IX Officer 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 Officer.

The responsibilities of University officials who receive reports of sexual harassment:

  1. reporting the matter to the Title IX Officer as soon as possible, preferably within 48 hours;
  2. informing complainants of their right to see the Title IX Officer to get information on filing a compliant or about options for informal resolution;
  3. advising the complainant of support services;
  4. respecting the complainant's wishes regarding anonymity and desired actions to the extent possible within policy and law;
  5. protecting the rights of the accused and the complainant, including rights to due process and privacy;
  6. staying current and informed on University policy and procedures related to sexual assault, sexual harassment, dating violence, domestic violence and stalking by insuring that appropriate training has been completed.

Upon request by and in cooperation with the Title IX Officer other 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; and negotiating informal resolutions. 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 respondent differ such that only a thorough investigation can determine the facts of the case so that appropriate action may be taken, the case must be referred to the Title IX Officer. 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 Officer.

B. THE TITLE IX OFFICER
The Title IX Officer is authorized by the Chancellor to receive and resolve reports and complaints of sexual harassment. Aside from complaints filed by academic appointees through other formal campus grievance procedures (Appendix I), the Title IX Officer is the only University official authorized to conduct fact-finding investigations of sexual harassment complaints. The Title IX Officer 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 Officer in the fulfillment of her/his responsibilities.

The Title IX Officer shall manage the local sexual harassment education and training programs. The Title IX Officer 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 Officer 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.

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IV. TITLE IX OFFICE PROCEDURES FOR THE RESOLUTION OF REPORTS AND COMPLAINTS OF SEXUAL HARRASSMENT

A. RESOLUTION OF REPORTS OF SEXUAL HARASSMENT
The Title IX Officer shall attempt to resolve any reports of sexual harassment by informing, educating, or negotiating voluntary agreements in accordance with University policy and procedures. If no resolution can be reached that is acceptable to both parties and to the University, the Title IX Officer may, if appropriate, 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 can 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 Officer shall investigate all written complaints of sexual harassment. The Title IX Officer 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 Officer will send a letter of notification within five (5) working days of receiving a request from a complainant for a Title IX investigation, or within five (5) working days of the initiation of an investigation by the Title IX Officer to the respondent which:

  1. advises the student of the initiation of a fact-finding investigation;
  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 policy including the Policy on Student Conduct and Discipline represented by the allegations;
  5. provides the website address of where the student can locate a copy of the UCSC Policy on Sexual Harassment and Procedures For Reports of Sexual Harassment and the Policy on Student Conduct and Discipline; and,
  6. describes the need to schedule an appointment with the Title IX Officer within five (5) working days of being notified to respond to the allegation(s).

In cases involving staff and academic appointees, upon the initiation of an investigation, the Title IX Officer shall send a letter of notification to the respondent within five (5) working days of receiving a complaint or within five (5) working days of the initiation of an investigation by the Title IX Officer that:

  1. informs the accused that a complaint of possible violation of UCSC policy has been filed and the date of filing;
  2. includes a full and complete written statement of the allegation(s);
  3. provides a web site address of where the respondent can locate a copy of the UCSC Policy on Sexual Harassment and Procedures For Reports of Sexual Harassment;
  4. explains that the respondent must respond in writing to a full accounting of the allegation(s) to the Title IX Officer within fifteen (15) working days after having been informed.

C. FACT-FINDING INVESTIGATION

The Title IX Officer shall investigate the circumstances of the alleged offense to the extent necessary to make a determination as to whether the allegations contained in the complaint constitute a violation of the UCSC Policy on Sexual Harassment. This investigation should normally be completed within sixty (60) working days. If the investigation cannot be completed within that time, the Title IX Officer will so inform the complainant and the accused.

The Title IX Officer will interview anyone and examine any evidence deemed necessary to investigate the complaint fully. The investigation generally shall include interviews with the parties if available, interviews with other witnesses as needed and a review of relevant documents as appropriate. Disclosure of facts to parties and witnesses shall be limited to what is reasonably necessary to conduct a fair and thorough investigation.

Upon request, the complainant and the respondent may each have a representative present when he or she is interviewed. Other witnesses may have a representative present at the discretion of the investigator or as required by applicable University policy or collective bargaining agreement.

At any time during the investigation, the investigator may recommend that interim protections or remedies for the complainant, respondent or witnesses be provided by appropriate University officials. These protections or remedies may include separating the parties, placing limitations on contact between the parties, or making alternative working or student housing arrangements. Failure to comply with the terms of interim protections may be considered a separate violation of the UCSC Policy on Sexual Harassment.

Generally, an investigation should result in a written report that at minimum includes a statement of the allegations and issues, the positions of the parties, a summary of the evidence, findings of fact, and a determination by the investigator as to whether it is more likely than not that the conduct occurred (preponderance of the evidence standard) which constitutes a prime facie violation of the UCSC Policy on Sexual Harassment or that the facts do not support the allegations and the complaint shall be dismissed. The report also may contain a recommendation for actions to resolve the complaint, including educational programs, remedies for the complainant, appropriate discipline for the respondent and a referral to disciplinary procedures as appropriate. The report may be used as evidence in other related procedures, such as subsequent complaints, grievances and/or disciplinary actions.

In cases where there has been a prima facie finding that the UCSC Policy on Sexual Harassment has been violated the report will be forwarded to the appropriate principal officer (For additional information see Section V. Administrative Action). The Title IX Officer in cooperation with the relevant University officials will ensure that the appropriate remedies are provided to the complainant, regardless of the outcome of the disciplinary process. The complainant and the respondent shall be informed promptly in writing when the investigation is completed.

The complainant shall be informed if there were findings made that the policy was or was not violated and of actions taken to resolve the complaint, if any, 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 be notified generally that the matter has been referred for disciplinary action, but shall not be informed of the details of the disciplinary 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. However, the report shall 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.

Even if the Title IX Officer does not make a prima facie finding of a violation of the UCSC Policy on Sexual Harassment, but the Title IX Officer believes the behavior complained of may constitute misconduct, the Title IX Officer may refer the matter pursuant to Section V. Administrative Action.

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V. ADMINISTRATIVE ACTION

A. STUDENTS
If the respondent is a student and the Title IX Officer's investigation finds that a prima facie (preponderance of the evidence standard) violation of the UCSC Policy on Sexual Harassment has occurred, the Title IX Officer shall refer the report, including proposed remedies for the complainant and proposed sanctions for the respondent (if appropriate) to the principal officer. The principal officer, or her/his designee, will inform the respondent to whom the principal officer will be referring the report to for action, within fifteen (15) working days of receiving the report from the Title IX Officer. Disciplinary action taken by the University will follow the guidelines in the Policy on Student Conduct and Discipline.

In all cases, the University, normally shall determine appropriate disciplinary action within forty-five (45) working days from receiving the report from the Title IX officer, or notify the complainant and the respondent of the need for a time extension. Within five (5) working days of taking the appropriate corrective or disciplinary action against the respondent, the University, shall notify the Title IX Officer in writing of the action taken who shall then provide the complainant with a written notice indicating:

  1. the finding (which violation of the Code of Student Conduct);
  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.

At the conclusion of the discipline process both the complainant and the respondent have the right to request an Administrative Review of the Findings. For additional information go to the Policy on Student Grievance Procedures Section 115.21.

B. ACADEMIC SENATE MEMBERS
If the respondent is a member of the Academic Senate and the Title IX Officer's investigation finds that a prima facie violation of the UCSC 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 within fifteen (15) working days of receiving the report from the Title IX Officer, or notify the complainant and the respondent of the need for a time extension. 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.
(see also CAPM 002.015)

C. NON-SENATE ACADEMIC APPOINTEES
If the respondent is a non-Senate academic appointee and the Title IX Officer's investigation finds that a prima facie violation of the UCSC Policy on Sexual Harassment has occurred, the Title IX Officer 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 within fifteen (15) working days of receiving the report from the Title IX Officer, or notify the complainant and the respondent of the need for a time extension. Formal corrective or disciplinary action taken against the respondent 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 respondent shall be notified of her/his right to file a grievance regarding such corrective or disciplinary action.

D. STAFF MEMBERS
If the respondent is a staff member and the Title IX Officer's investigation finds that a prima facie violation of the UCSC Policy on Sexual Harassment has occurred, the Title IX Officer 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 within fifteen (15) working days of receiving the report from the Title IX Officer, or notify the complainant and the respondent of the need for a time extension. The person responsible for taking action will notify the respondent within ten (10) working days of receiving the report from the principal officer that he/she is responsible for responding to the Title IX investigation. Formal corrective or disciplinary action taken against the respondent 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 respondent shall be notified of her/his right to file a grievance regarding such corrective or disciplinary action.

Within five (5) working days of taking the appropriate corrective or disciplinary action against the respondent, the appropriate principal officer shall notify the Title IX Officer 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.

VI. PRIVACY

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 respondent 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 respondent shall not be disclosed without the respondent's consent, unless it is necessary to ensure compliance with UC policy, state or federal law or the safety of individuals.

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VII. CONFIDENTIALITY OF REPORTS OF SEXUAL HARASSMENT

Confidential resources are available for information regarding resources, options for reports of sexual harassment or how to file a complaint of sexual harassment. 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 Officer, the Police or other University Official, the discussions will not result in any action by the University to resolve their concerns.

Sexual Assault Prevention Educator
(831) 459-2721
http://healthcenter.ucsc.edu/shop/sadv/index.html

UCSC Counseling & Psychological Services (students only)
(831) 459-2628
http://caps.ucsc.edu/
After Hours through Campus Dispatch (831) 459-2100

Monarch Services (previously known as Women's Crisis Support/Defensa de Mujeres)
1(888) 900-4232
http://www.wcs-ddm.org/
Facebook icon Twitter Icon instagram Pinterest-logo

EAP Program (staff & faculty only)
1(866) 808-6205
http://shr.ucsc.edu/benefits/eap/

Campus Conflict Resolution Services
(831) 459-2290
http://conflictresolution.ucsc.edu

UC Hotline for Anonymous Reporting of any Misconduct or Climate Issues
1-800-403-4744
or via an anonymous form at: http://whistleblower.ucsc.edu/about/form.pdf

Certain University employees, such as the Title IX 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 respondent 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.

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VIII. RECORDS

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 discipline file.

IX. EXTERNAL OPTIONS AVAILABLE TO COMPLAINANT OR RESPONDENT FOR RESOLUTION OF SEXUAL HARASSMENT COMPLAINTS

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 Office for current information.

Staff and faculty may file discrimination or harassment complaints 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.

Staff, faculty, and students may file a civil lawsuit against the offending party.

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UCSC Policies

UCSC Procedures

Appendices:

 

Contact Tracey Tsugawa , Title IX Officer: 105 Kerr Hall . email: ttsugawa@ucsc.edu . phone 831.459.2462