ucsc policies

procedures for reporting sexual harassment

I.	Definition of Sexual Harassment
II.	Overview of Reports and Complaints of Sexual Harassment
III.	Roles of University Officials, Title IX Officials, Title IX/SHO and the Title IX Advisory Council in the Resolution of Reports and Complaints of Sexual Harassment
IV.	Procedures for the Resolution of Reports and Complaints of Sexual Harassment
V.	Procedures And Timelines For Appeals Of the Title IX/SHO's Findings and/or Proposed Remedies
VI.	Administrative Action
VII.	Confidentiality Statement
VIII.	Due Process Statement
IX.	Records
X.	Other Options Available to Complainants for Resolution of Sexual Harassment
XI.	Options Outside the University for Resolution of Sexual Harassment

 

I. DEFINITION OF 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.

Sexual 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.

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.

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 D) 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.

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 (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 G 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.

III. ROLES OF UNIVERSITY OFFICIALS, TITLE IX/SHO AND THE TITLE IX ADVISORY COUNCIL 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/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.

The responsibilities of University officials who receive reports of sexual harassment, as defined above, include:

1. reporting the matter to the Title IX/SHO as soon as possible;
2. informing complainants of their right to see the Title IX/SHO, file a formal complaint, file a formal grievance, or file a complaint with outside agencies;
3. providing anyone making a report with the Sexual Harassment Complaint Form (Appendix G).
4. advising the complainant of support services (Appendix F);
5. respecting the complainant's wishes regarding anonymity and desired actions to the extent possible within policy and law;
6. keeping all information as confidential as permitted by relevant law;
7. upon request by the Title IX/SHO making confidential inquiries regarding the validity of the report;
8. in consultation with the Title IX/SHO, providing remedies to the complainant when sexual harassment has been found to have occurred;
9. taking steps so that the harassment, if it occurred, does not recur;
10. educating the accused about sexual harassment policy;
11. protecting the complainant from retaliation;
12. continuing to consult with and report to the Title IX/SHO;
13. after consulting with the Title IX/SHO, if informal agreement can be reached with the accused, taking corrective action, when appropriate; and
14. protecting the rights of the accused and the complainant, including rights to due process and privacy.

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. The Title IX/SHO shall prepare and submit an annual report to the Office of the President, for submission to The Regents, on sexual harassment complaint activity during the preceding calendar year.

C. Title IX Advisory Council

An Advisory Council for the Title IX/SHO shall be appointed by the Chancellor. The Council will be composed of six members: three Academic Senate members, at least one of whom is male and one of whom is female, one staff, one graduate and one undergraduate student to serve three-year, staggered terms. The Council membership will comprise both men and women, but at least three of the members must be women. In making appointments to the Advisory Council, the Chancellor will invite nominations from campus committees concerned with issues of sexual harassment. Any proposed appointments of faculty members shall be forwarded to the appropriate Senate committee for review and concurrence. At the beginning of their terms, members will be required to receive training on sexual harassment law and campus policy, provided by the Title IX/SHO. The membership of the Council will be published to the campus community.

The Advisory Council shall meet as scheduled with the Title IX/SHO to review issues and incidents of sexual harassment, providing advice when appropriate. All incidents are to be discussed without names or identifying details, and all discussions will be confidential to the extent required by law and due process considerations. The Advisory Council will be informed of the outcome of the resolution of cases. The Council will also act as a body to hear appeals of the Title IX/SHO's finding and/or proposed remedies from complainants under Title IX. The Title IX/SHO will not report to the Advisory Council on the results of any investigation until the time period during which the complainant may file an appeal has expired.

Campus concerns about the sexual harassment resolution process may be addressed to the Advisory Council, which may then advise the Chancellor and/or the Assistant Chancellor on policy and procedures.

 

IV. PROCEDURES FOR THE RESOLUTION OF REPORTS AND COMPLAINTS OF SEXUAL HARASSMENT BY THE TITLE IX/SHO

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 a taped interview 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 by either requesting a taped interview with the Title IX/SHO or by responding in writing to a full accounting of the allegations, to the Title IX/SHO within ten (10) working days after having been informed.

1. Fact-finding Investigation

The Title IX/SHO 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 UC Policy on Sexual Harassment. This investigation should normally be completed within thirty (30) calendar days. If the investigation cannot be completed within that time, the Title IX/SHO will so inform the complainant and the accused.

The Title IX/SHO 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. Participants in an investigation shall be advised that maintaining confidentiality is essential to protect the integrity of the investigation.

If the complainant or the accused request, her/his initial interview with the Title IX/SHO will be tape recorded, and a copy provided. Upon request, the complainant and the accused 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 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 UC Policy on Sexual Harassment.
Although the Title IX/SHO may seek the advice and assistance of the Office of General Counsel in conducting the investigation, the investigation will normally be conducted only by the Title IX/SHO. The individual(s) conducting the investigation shall be familiar with the UC Policy on Sexual Harassment and have training or experience in conducting investigations.

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 University policy has been violated. The report also may contain a recommendation for actions to resolve the complaint, including educational programs, remedies for the complainant, and a referral to disciplinary procedures as appropriate. The report shall be submitted to a designated University official with authority to implement the actions necessary to resolve the complaint. The report may be used as evidence in other related procedures, such as subsequent complaints, grievances and/or disciplinary actions.

The Title IX/SHO will prepare a written report which includes a determination either: 1) that the facts do not support the allegations and the complaint should be dismissed; or 2) that there is prima facie evidence of a violation of the UC Policy on Sexual Harassment.

Where prima facie evidence of a violation is found, sanctions for the accused, if appropriate, shall be proposed by the Title IX/SHO. In addition, the Title IX/SHO shall propose individual remedies for the complainant, i.e., actions to be taken to support or otherwise aid the complainant (in contrast to sanctions recommended for the accused). Prior to submission of the report to the appropriate administrator by the Title IX/SHO, the complainant will be informed of the results of the investigation and may appeal the finding and proposed remedies to the Title IX Advisory Council (see Section VI).

In cases involving students, the fact-finding report containing the proposed remedies for the complainant and the proposed sanctions for the accused will be forwarded to the Vice Chancellor, Student Affairs who will take action on the case as described below (see section VII. Administrative Action - Students). In cases involving staff and academic appointees the fact-finding report containing the proposed remedies for the complainant and the proposed sanctions for the accused will be forwarded to the appropriate principal officer who will take action as described below (see section VII. Administrative Action).

The Title IX/SHO 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.

If the case is to be dismissed, a copy of the report with information related to third parties deleted, will be sent to the complainant, the accused, and kept in the Title IX/SHO's files. The complainant, under Title IX, has the right to appeal the dismissal and/or proposed remedies to the Advisory Council within five (5) working days from notification by the Title IX/SHO (See Section VI. below).

Even if the Title IX/SHO does not make a finding of a violation of the UC Policy on Sexual Harassment, but the Title IX/SHO believes the behavior complained of may constitute misconduct, the Title IX/SHO may refer the matter pursuant to Section VII. below.

The complainant and the accused 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 accused 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 recommended disciplinary action without the consent of the accused.

The complainant and the accused 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.

V. PROCEDURES AND TIMELINES FOR APPEALS OF THE TITLEIX/SHO'S FINDINGS AND/OR PROPOSED REMIDIES

• The complainant may appeal the Title IX/SHO's findings and/or proposed remedies to the Title IX Advisory Council within five (5) working days of the receipt of findings/proposed remedies from the Title IX/SHO.
• The Title IX Advisory Council shall review the complainant's appeal and provide the Title IX/SHO the opportunity to respond to the appeal in writing and to amend the findings/proposed remedies within fifteen (15) working days of receipt of the appeal from the complainant.
• The Title IX Advisory Council shall notify the complainant, the Title IX/SHO and the accused of the outcome of this review, any amended findings/proposed remedies, and the next step to be taken within five (5) working days of the completion of the Title IX Advisory Council review.

The total time from the receipt of the appeal by the Title IX Advisory Council to notification to the complainant of the outcome of the appeal normally shall not take more than twenty (20) working days.

The Title IX investigation and fact-finding and, where requested, the appeal to the Title IX Advisory Council, constitutes the campus' Title IX Grievance Procedures, after which institutional administrative action will occur, if warranted.

VI. ADMINISTRATIVE ACTION

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 Vice Chancellor, Student Affairs. The Vice Chancellor, or her/his designee, will inform the respondent of the results of the investigation. The Vice Chancellor 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 and Executive Vice Chancellor for consideration of charges. The Campus Provost and 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://www2.ucsc.edu/ahr/)

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 and Executive Vice Chancellor, who will refer the case to the appropriate academic administrator to take action. The Campus Provost and 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://www2.ucsc.edu/ahr)

Staff 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 action.
(http://shr.ucsc.edu/topics/employee-labor-relations/_topics_employee-labor-relations.htm)

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.

VII. PRIVACY

1. Non-Senate academic appointees may file a grievance under Academic Personnel Policy 140 - Appeals, or through the applicable grievance procedure in relevant Collective Bargaining Agreement(s). Contact the Labor Relations Office for more information, or to file a grievance.

2. Academic Senate members may file a formal grievance under Academic Senate By-Law 335 within a "reasonable time period" after the incident. For more information, contact the Academic Senate Office or the Chair of the Committee on Privilege and Tenure.