Resolution Procedures for Harassment Complaints
REG 04.25.02
Authority: Issued by the Chancellor. Changes or exceptions to administrative regulations issued by the Chancellor may only be made by the Chancellor.
History: First Issued: August 30, 1999. Last Revised: May 23, 2006. Additional History Information.
Related Policies:
NCSU POL04.25.2 Board of Trustees Policy - Racial Harassment
NCSU POL04.25.3 Board of Trustees Policy - Sexual Harassment
NCSU REG04.25.4 Administrative Regulation - Unlawful Harassment Policy Statement
NCSU POL05.25.1 Board of Trustees Policy - Grievance Procedure for Faculty and EPA Professional Employees
NCSU POL11.35.1 Board of Trustees Policy - Code of Student Conduct
NCSU POL11.40.1 Board of Trustees Policy - Uniform Student Grievance Procedures
NCSU REG04.25.6 Discrimination and Harassment Prevention and Response Training
Contact Info : Vice Provost for Equal Opportunity and Equity (919-515-4559)
1 . Scope
These procedures are to be used to resolve complaints of harassment based upon race, color, religion, creed, sex, national origin, age, disability, veteran status or sexual orientation . Following discussions with staff from the Office for Equal Opportunity and/or Human Resources, complaints regarding harassment may be resolved either informally or formally; these resolution procedures are covered under Sections 4., 5., and 6. in this policy. This policy covers behavior on the part of faculty, staff and students as well as others affiliated with the university that constitutes prohibited harassment and that takes place within the scope of their work, academic or other campus related activities and/or university responsibilities.
2. Covered Persons
2.1. All individuals at North Carolina State University who are duly employed.
2.1.1. Employees with a concern regarding harassment should contact the Office for Equal Opportunity, Human Resources, their supervisor or other appropriate university administrator for assistance. Human Resources, supervisors and university administrators must promptly contact the Office for Equal Opportunity when employees notify them of a concern involving harassment that is based on a protected class. The Office for Equal Opportunity shall promptly advise Human Resources of complaints filed by employees in order to coordinate any personnel actions that may be in progress.
2.2. All individuals at North Carolina State University who are duly enrolled as students.
2.2.1. Students with a concern of harassment should contact the Office for Equal Opportunity, an academic advisor, or a university administrator for assistance. Academic advisors, university administrators and others within supervisory positions must promptly contact the Office for Equal Opportunity when students notify them of a concern involving harassment that is based on a protected class. Notification of the concern may be made verbally or in writing.
2.3. Individuals who are visitors or otherwise affiliated or involved with activities at North Carolina State University.
2.3.1. All individuals with a concern of harassment should contact the Office for Equal Opportunity for assistance.
3. Definitions
3.1. A complainant is the individual who is the recipient or focus of actions that may be deemed to be harassment. A person who observes actions that may be deemed to be harassment and brings forward a complaint is also a complainant.
3.2. A respondent is the individual or individuals denoted by the complainant as engaging in behavior that may be deemed to be harassment.
4. Confidentiality
All complaints and proceedings will be subject to the University's legal obligations to assure resolution and will be kept confidential to the extent permitted by law. Information about harassment complaints may be shared where necessary to investigate, prevent or remedy harassment.
5. Remedies
5.1. Informal Resolution . This option does not require a written complaint, does not require a formal investigation by the Office for Equal Opportunity and/or Human Resources, and does not require action by the unit head of the respondent.
5.2. Formal Resolution . This option requires a written complaint, a formal investigation by the Office for Equal Opportunity and./or Human Resources and/or the Office of Student Conduct, and does require action by the unit head of the respondent. Complaints that cannot be resolved through Informal Resolution can be pursued through Formal Resolution. However, except in certain circumstances (section 8), all formal resolution option must be initiated within 30 calendar days of the alleged harassing action.
5.3. The existence of the Informal or Formal Resolution options does not bar students and employees from filing claims of discrimination or retaliation with the Equal Employment Opportunity Commission (for all employees), with the Office for Civil Rights (for students), and with the State Personnel Commission and/or the Office of Administrative Hearings – Civil Rights Division (for SPA employees).
5.4. Depending on the circumstances, and even when concerns have been shared through the informal resolution process, the university may initiate a formal investigation into concerns involving alleged harassment in the absence of a written complaint.
6. Informal Resolution
Complaints of harassment addressed through informal resolution may be addressed through a variety of actions, including but not limited to the following:
6.1. The complainant may discuss the concern(s) and the desired resolution with the respondent in person, with or without the facilitation or presence of a representative from the Office for Equal Opportunity, representatives from Human Resources, a supervisor (for employees), or an advisor (for students).
6.2. The complainant may address the respondent in writing regarding the concern(s) and the desired resolution, with or without the facilitation or presence of the Office for Equal Opportunity, Human Resources, a supervisor, or an advisor .
6.3. The complainant may ask the Office for Equal Opportunity, Human Resources , a supervisor, or an advisor to notify the respondent of the concern(s) and the desired resolution.
7. Formal Resolution: Student Respondents
Complaints against students, that are not informally resolved, may be presented as a formal charge through the Office of Student Conduct or may be presented to the Office for Equal Opportunity as a signed complaint. The Office of Student Conduct may refer harassment charges it receives to the Office for Equal Opportunity for investigation before the Office of Student Conduct decides if a disciplinary proceeding is warranted.
8. Formal Resolution: All Other Cases
8.1. SPA employees who have a complaint of harassment may use the formal grievance procedure administered by Human Resources. (See the section on Unlawful Workplace Harassment in the SPA Grievance and Appeal Regulation REG05.25.2 ) This is the required procedure for SPA complainants who want to maintain their appeal rights to the State Personnel Commission. To use this procedure, the SPA employee must submit a written complaint to Human Resources within 30 calendar days of the alleged harassing action .
8.1.1. SPA employees who do not submit a written complaint to Human Resources within 30 calendar days may still utilize the informal processes described in Section IV for resolving their concern; however, such individuals will not have the option of later appealing to the State Personnel Commission or using any University appeal procedures.
8.2. All other employees (non-SPA) who seek formal resolution should file their harassment complaints in writing with the Office for Equal Opportunity (unless the complaint is against the Office for Equal Opportunity, in which case it may be filed with the Chancellor who may then delegate the responsibility for investigating the complaint). Complaints may also be presented to a unit head (department head, director or higher), or to other university officials who shall forward the complaints to the Office for Equal Opportunity. Complaints seeking formal resolution must be filed within 30 calendar days of the alleged harassing action. Occasionally, extenuating circumstances may exist that delay a complainant from bringing forth a complaint within 30 calendar days; the reasons for such a delay in reporting these allegations must be shared with the Office for Equal Opportunity, and the Office for Equal Opportunity may extend the time limit based on extenuating circumstances and at its sole discretion.
8.3. Students with a complaint other than a complaint against another student and other non-employees who seek formal resolution should file their harassment complaints with the Office for Equal Opportunity (unless the complaint is against the Office for Equal Opportunity, in which case it may be filed with the Chancellor who may then delegate the responsibility for investigating the complaint). Complaints may also be presented to a unit head (department head, director or higher), or to other university officials who must forward the complaints to the Office for Equal Opportunity. Complaints seeking formal resolution must be filed within 30 calendar days of the alleged harassment. Occasionally, extenuating circumstances may exist that delay a complainant from bringing forth a complaint within 30 calendar days; the reasons for the delay in reporting these allegations must be shared with the Office for Equal Opportunity, and the Office for Equal Opportunity may extend the time limit based on extenuating circumstances and at its sole discretion.
8.4. The Office for Equal Opportunity or Human Resources , as applicable, will investigate each formal complaint, unless the Chancellor specifies otherwise, to gather the facts regarding the allegations . The respondent named in a signed written complaint shall be contacted within 30 calendar days of the initiation of an investigation by the Office for Equal Opportunity or Human Resources and informed that an investigation is in progress. All relevant parties involved in the complaint will be given the opportunity to respond and, at the conclusion of the investigation, the investigating unit will prepare a report of its findings, unless the Chancellor specifies otherwise.
8.5. The investigating unit will submit the report to the unit head of the respondent and notify the respondent that the report has been submitted. A copy of the investigation report will be provided to the appropriate dean or vice chancellor.
9. Administrative Action
Completion of a formal investigation by the Office for Equal Opportunity or Human Resources requires administrative review by the appropriate unit head for the respondent. "Unit head" means deans in the case of non-SPA employees working in the colleges, it means the supervisor of the respondent in the case of non-SPA employees outside of colleges, and it means department head or director for SPA employees.
9.1. The unit head will determine what action, if any, is appropriate after reviewing the report and any additional information the unit head considers relevant. The unit head may consult with university offices (e.g., Office of Legal Affairs, the Office for Equal Opportunity, and/or Human Resources) for guidance in taking appropriate action if the investigative report reveals that there has been a policy violation. If the report indicates there has been a policy violation or other improper conduct by the respondent, the unit head will provide a copy of the report to the respondent. The unit head may also discuss the findings of the report with the respondent prior to giving a copy of the report to the respondent. An investigative report shall be treated as confidential to the extent that it contains student information protected under federal privacy law or employee information protected under state law. Violation of this confidentiality requirement may result in disciplinary action. [This applies to complainants, respondents and witnesses.] Confidential student and employee information includes information that can identify persons who are complainants, respondents or witnesses.
9.2. The unit head will inform the complainant in writing that a decision has been made, whether or not harassment was found, and if harassment is found, that appropriate action is being taken. Complainants will not be told specifically what disciplinary action, if any, is being taken, unless (1) complainants' testimony is required in connection with a disciplinary proceeding or grievance hearing, or (2) the action directly affects the complainant in a way that he or she needs to know about (such as a trespass order). In such cases, unit heads must prepare a memorandum for the department files that states that release of the foregoing information to the complainant is “essential to maintaining the integrity of such department or to maintaining the level or quality of services provided by such department.”
9.3. The unit head will inform the Office for Equal Opportunity of any corrective or disciplinary action(s) taken to address the policy violation(s) or concerns identified in the investigative report.
10. Additional Rights of Complainants and Respondents
10.1. Complainants who are SPA employees may appeal directly to the State Personnel Commission, if they are not satisfied with the university's determination; however, the original complaint of harassment must have been submitted in writing to Human Resources within 30 calendar days of the alleged harassing action. The university has 60 calendar days from receipt of the written complaint to take appropriate remedial action, after which time the employee has 30 calendar days to appeal directly to the State Personnel Commission.
10.2. Complainants other than SPA employees (e.g., students and EPA employees) who are not satisfied after the formal resolution by a unit head or the Office of Student Conduct may appeal as follows:
10.2.1. A complainant may appeal on the grounds that the administrator's decision has not stopped ongoing harassment, or that it does not remedy present effects of past harassment, that directly and adversely affect the complainant. The complainant must show on appeal that his or her rights under university policy or state or federal law continue to be violated after the administrator's decision. Dissatisfaction with the university's action or lack of action is not by itself grounds for appeal.
10.2.2. A written appeal statement must be filed with the Vice Chancellor who has ultimate oversight for the decision.
10.2.3. Appeal statements must be filed within 30 calendar days of the date that notice of the administrator's written decision is sent to the complainant.
10.2.4. Appeal statements must include a copy of the original complaint, a summary of previous efforts to resolve the harassment (including a list of university personnel that the complainant has contacted for assistance), and a description of how the complainant's rights continue to be violated.
10.2.5. The Vice Chancellor, or designee, who reviews the appeal may solicit a response from the administrator who made the initial decision, will review the report from the investigating unit, and may review other information relevant to the appeal.
10.2.6. The Vice Chancellor will provide the complainant with a written decision on appeal, either hand-delivered or sent via mail or delivery service requiring a receipt signature. This will be the final decision at the institutional level. Any further appeal rights will be governed by policies of the University of North Carolina and by federal or state law.
10.3. Student respondents whose conduct was determined to violate the Unlawful Harassment Policy Statement, REG 04.25.04, may appeal disciplinary decisions through the procedures of the Office of Student Conduct.
10.4. Employee respondents who have been disciplined for violations of the Unlawful Harassment Policy Statement, REG 04.25.04, may challenge disciplinary action against them through the applicable university grievance procedures as set forth below.
10.4.1. For SPA employees, the Employee Discipline and Grievance policies administered by the Employee Relations unit of Human Resources are applicable.
10.4.2. For faculty or EPA professionals facing disciplinary action other than noted in section 10.4.3. below, the Grievance Procedure for Faculty and EPA Professionals is applicable.
10.4.3. Faculty who face demotion, suspension or dismissal while under contract or with permanent tenure are entitled to a due process hearing under Section 603 of the UNC Code.
10.4.4. Employees who do not fall into one of the categories listed above may have no further recourse within the university; their rights are governed by the terms of their appointments.
The NC State University equal opportunity and nondiscrimination policy includes transsexual individuals within the policy's prohibition against discrimination on the basis of sex. This includes actual or perceived gender identity and gender expression. See Price Waterhouse v. Hopkins, 490 U.S. 228 (1989); Smith v. City of Salem, 378 F.3d 566 (6 th Cir. 2004) .
