E. Responsibilities and Resources

1. Office of Equal Opportunity and Diversity (OEOD)

   The OEOD ensures the University's compliance with nondiscrimination and affirmative action policies. Responsibilities include the following duties which may be reassigned:

   • Plan and manage nondiscrimination, diversity, and affirmative action education and training programs that will disseminate policy information to the UCI community; provide educational materials that promote policy compliance and familiarity with local reporting procedures; and inform employees of their responsibility to report or respond to reports of Prohibited Conduct.
   • Develop and implement procedures for a prompt and effective response to reports of Prohibited Conduct.
   • Maintain records of reports of Prohibited Conduct and actions taken in response to reports, including records of investigations, informal resolutions, and disciplinary actions. Identify and address patterns or systemic problems that arise during the review of discrimination, harassment, or retaliation complaints.
   • Prepare and maintain an annual affirmative action plan which must be approved by Office of the President and Office of General Counsel before it is implemented.
   • Review and employ policies, procedures and actions for compliance with the University's nondiscrimination and affirmative action policies.
2. Administrator Responsibilities

   Administrators are responsible for understanding and implementing relevant policies and guidelines, and for ensuring that their units are free of Prohibited Conduct. This includes the Chancellor, Vice Chancellors, Deans, Directors, academic department chairs, and administrative department heads. These employees are obliged to respond to reports and ensure the provision of annual mandatory training to all students, faculty, other academic appointees, and staff in accordance with applicable State and federal law and University policies.

F. Intentionally False Reports

Because complaints of Prohibited Conduct may involve interactions between persons that are not witnessed by others, reports of Prohibited Conduct cannot always be substantiated by additional evidence. Lack of corroborating evidence or “proof” should not discourage individuals from reporting Prohibited Conduct under these Guidelines. However, individuals who make reports that are later found to have been intentionally false or made maliciously without regard for truth, may be subject to disciplinary action under applicable University disciplinary procedures or other University policy. This provision does not apply to reports made in good faith, even if the facts alleged in the report cannot be substantiated by an investigation.

G. Response to Reports of Harassment and Discrimination

This section provides an overview of the procedures the University uses to respond to reports of Prohibited Conduct. While the OEOD has general responsibility for oversight of the reporting process and investigation of a report, other offices will be involved and consulted as necessary.

1. Reporting Options
   Any person may make a report, including anonymously*, of Prohibited Conduct to the OEOD, or to any Responsible Employee, or to another appropriate office such as the Academic Personnel Office, Student Affairs, Office of the Provost, or to the Human Resources Office. The report shall be forwarded to the OEOD. If the person to whom a report normally would be made is the Respondent, reports may be made to another Responsible Employee or directly to OEOD.

   Reports of alleged discrimination, harassment, or retaliation may be made to OEOD in any of the following ways:

   • Online by visiting the OEOD website: http://www.oeod.uci.edu/
   • By telephone by calling the Office of Equal Opportunity and Diversity (OEOD) at (949) 824-5594 or the Hotline: (949) 824-7037
   • In person by visiting the campus OEOD office, located at 103 Multipurpose Science and Technology Building (MSTB)

   * Anonymous reporting may limit the University’s ability to respond to the report.

   1. Timelines for Making Reports
      While there is no time limit for reporting under University policy, reports of Prohibited Conduct should be brought forward as soon as possible; all incidents should be reported even if significant time has elapsed but prompt reporting will better enable the University to respond, investigate, provide an appropriate remedy, and impose discipline if appropriate. Delayed reporting may impede the University’s ability to conduct an investigation and/or to take appropriate remedial actions.
2. Initial Assessment of a Report
   As soon as practicable after receiving a report, the OEOD will make an initial assessment of the report to determine whether (i) the report, on its face, alleges an act of Prohibited Conduct ; and (ii) such conduct has a sufficient nexus with the University for it to intervene. The OEOD may consult with appropriate academic officers for faculty and other academic appointees’ complaints, with Student Affairs Offices for student complaints, and with Human Resources, or Employee and Labor Relations Offices for staff complaints.
   1. Jurisdiction over Reports of Prohibited Conduct:
      The University has jurisdiction over alleged violations of these Guidelines that occur on University property (such as offices, student housing, medical center and medical clinics) or in connection with University activities, programs, or events. In addition, the University may exercise jurisdiction over conduct that occurs off-campus (i) but affects the learning or working environment; or (ii) that would violate other University Policies had it occurred on campus, (see Appendix II of these Guidelines).
3. Required Notifications
   1. Individuals making reports shall be informed about:
      • confidentiality of reports, including when reports cannot be kept confidential; and
      • the range of possible outcomes of the report, including Health and Safety measures, remedies, and disciplinary actions that may be taken against the Respondent, and information about the procedures leading to such outcomes.
   2. If the report results in a Formal Investigation, after the conclusion of the investigation, the Complainant and Respondent will be simultaneously informed in writing of:
      • the outcome of the investigation and its rationale;
      • any available appeal rights and procedures; and
      • how to obtain a copy of the Investigation Report, which may be redacted as necessary to protect privacy rights. (See APM-160 and other University policies governing privacy.)
   3. If the matter results in a disciplinary proceeding, at the conclusion of that proceeding the Complainant and the Respondent will be simultaneously informed in writing of any available appeal rights and procedures.

   The Complainant will be sent a notice documenting any individual remedies offered to the Complainant, and other steps taken to eliminate the effects of the violation. The Respondent will be informed of no contact orders or actions affecting them, but will not be notified of other individual remedies offered or provided to the Complainant.

4. Overview of Processes
   Reports of Prohibited Conduct may be addressed through an Informal Resolution process, Formal Investigation or, a separate employee grievance or complaint process.
   1. Informal Resolution
      After a preliminary assessment of the facts, and, if useful, in consultation with other offices depending on whether the Complainant and Respondent are faculty, other academic appointees, staff, student employees, students, or other persons covered by University policies prohibiting discrimination (for example, applicants), the OEOD may initiate an Informal Resolution process, which may include:
      • mediation;
      • separating the parties;
      • providing for safety;
      • referring the parties to counseling;
      • referral for disciplinary action;
      • a settlement agreement;
      • conducting targeted preventive educational and training programs; and
      • conducting a follow-up review to ensure that the resolution has been implemented effectively.
      
      The Informal Resolution process may be especially useful when: a report is made by a third party or anonymously; a Formal Investigation is not likely to lead to a resolution; both parties prefer an informal process; or the facts as alleged do not appear to amount to a policy violation. The Complainant has the right to request an Informal Resolution process or a Formal Investigation at any time, but the OEOD has final authority for determining whether to initiate a specific resolution process. Both the Complainant and Respondent may be accompanied by an advisor and/or support person throughout the process.
   2. Formal Investigation

      If the Informal Resolution process is inappropriate or unsuccessful, the OEOD may initiate a Formal Investigation (“Investigation”) in coordination with other offices, depending on the Complainant's or Respondent's relationship to the University. A Complainant’s request for an investigation will be considered but is not determinative.

      If the Complainant requests that no Investigation occur, the OEOD shall determine whether the allegations nonetheless require an Investigation to mitigate a potential risk to the campus community. If determining not to proceed with an Investigation, the OEOD shall inform the Complainant that the ability to investigate and/or provide remedies may be limited.

      When the OEOD determines to conduct an Investigation, the Complainant, the Respondent, as well as the Respondent's supervisor and other appropriate administrators, will be provided with a written summary of the allegations, a copy of these Guidelines, resources available to them, and the procedures that will be followed.

      The Investigation shall be completed promptly, typically within sixty (60) to ninety (90) business days of its initiation, unless extended by the OEOD for good cause followed by written notice to the Complainant and Respondent of the reason for the extension and the projected new timeline. If the alleged conduct is also the subject of a criminal investigation, the OEOD will coordinate its Investigation with the police but must nonetheless act promptly without delaying its Investigation until the conclusion of the criminal investigation.

      The Investigation generally includes interviews with the Complainant, the Respondent, and witnesses, if available, and a review of documents as appropriate. Disclosure of facts to persons interviewed shall be limited to what is reasonably necessary to conduct a fair and thorough Investigation. Participants in an Investigation may be advised to maintain confidentiality when essential to protect the integrity of the Investigation.

      The Complainant or Respondent may have an advisor and/or support person present when personally interviewed and at any related meeting. Other witnesses may have an advisor and/or support person present at the discretion of the investigator or as required by University policy or collective bargaining agreement.

      In cases where the Investigation contemplates issues of academic merit or academic freedom, the investigator may consult with the appropriate academic officer for relevant academic judgment.

   3. Grievance/Complaint Procedures for Employees
      Instead of, or in addition to, reporting to the OEOD or other Responsible Employee, a University employee who believes they have been subjected to Prohibited Conduct may file a grievance or complaint. That grievance or complaint must meet all of the requirements, including time limits for filing, under the applicable complaint resolution or grievance procedure listed in Appendix I: Applicable Complaint Resolution and Grievance Procedures. Any such grievance or complaint will be forwarded to the OEOD for processing under these Guidelines, and the grievance or complaint procedure will be held in abeyance pending resolution under these Guidelines. After completion of the process under these Guidelines, the grievance or complaint may be reactivated but only as a means of appeal.
5. The Investigation Report
   1. In the event that a Formal Investigation is conducted, the investigator will prepare a written report that includes a statement of the allegations and issues, the positions of the Complainant and Respondent, a summary of the evidence, an explanation why any proffered evidence was not considered, and findings of fact. The report will also include an analysis and determination by the investigator of whether University policy and these Guidelines have been violated. The investigator will apply the preponderance of evidence standard.
   2. The report will be available to the Complainant, the Respondent, as well as the Respondent's supervisor and other appropriate administrators,.
6. Remedy
   1. If the Report finds Prohibited Conduct in violation of these Guidelines, the University shall take prompt and effective steps reasonably calculated to stop the violation, prevent its recurrence, and, as appropriate, remedy its effects.
   2. To the extent that the remedy has not already been provided, the OEOD, in consultation with appropriate administrators, will oversee the implementation of this remedy.
7. Discipline
   The OEOD shall forward the Investigation Report (with attachments and any necessary redactions) to the appropriate administrator responsible for action. The specific procedures for imposing discipline depend upon the nature of the Respondent’s relationship to the University (student, faculty, other academic appointee, staff, or third party). For instance, when a Respondent is both a student and an employee (such as a Teaching Assistant or Graduate Student Researcher), the Respondent may be subject to both the sanctions applicable to students and to employees. Any member of the University community who is found to have engaged in Prohibited Conduct may be subject to disciplinary action, up to and including dismissal in accordance with the applicable University disciplinary procedure (Appendix II: University Disciplinary Procedures) or other policy.

H. Privacy

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

I. Retention of Records Relating to Reports of Prohibited Conduct

OEOD is responsible for maintaining records relating to reports of Prohibited Conduct, investigations, and resolutions, and for making reports of a statistical nature. Records shall be maintained in accordance with University records policies. All records pertaining to pending litigation or a request for records will be maintained in accordance with instructions from legal counsel.

J. Free Speech and Academic Freedom

The faculty and other academic appointees, staff, and students of the University of California enjoy significant free speech protections guaranteed by the First Amendment of the United States Constitution and Article I, Section I of the California Constitution (see also UCI Sec. 900-01). University policy and these Guidelines are intended to protect members of the University community from discrimination, not to regulate protected speech, and shall be implemented in a manner that recognizes the importance of rights to freedom of speech and expression.

The University also has a compelling interest in free inquiry and the collective search for knowledge and thus recognizes principles of academic freedom as a special area of protected speech. Consistent with these principles, no provision of University policy or these Guidelines shall be interpreted to prohibit conduct that is legitimately related to the course content, teaching methods, scholarship, or public commentary of an individual faculty member or the educational, political, artistic, or literary expression of students in classrooms and public forums (See APM-010 and 015.)

However, freedom of speech and academic freedom are not limitless and do not protect speech or expressive conduct that violates federal or State anti-discrimination laws.

K. Resources

Office of Equal Opportunity and Diversity (OEOD) is responsible for receiving and conducting the administrative investigation of all reports of discrimination filed at UCI and is available to discuss options, provide assistance, explain University policies and procedures, and provide education on relevant issues including discrimination. The OEOD investigation is not a criminal procedure. The OEOD is available during normal business hours. Address: 103 MSTB, Irvine, CA 92697 Phone: (949) 824-5594.

Counseling Center offers free and confidential short-term and crisis counseling by licensed mental health providers to all UCI students on an urgent basis, or by appointment. The Counseling Center also offers certain free and confidential psychiatric services. Referrals to off-campus psychotherapeutic and psychiatric providers are also available through the Counseling Center. The Counseling Center is available during normal business hours. Address: 203 Student Services 1, Irvine, CA, 92697 Phone: (949) 824-6457.

Employee Assistance Program (EAP) is a free confidential service provided by Guidance Resources that can help UCI employees with any personal concerns including relationship concerns and issues related to sex offenses. Guidance Resources is available 24 hours a day, seven days a week to assist employees face to face, over the phone, and on-line. This service is available at 844.824.3273 or on their website Guidance Resources Online at www.guidanceresources.com and enter UCI’s ID: UCIEAP3

Office of the Ombudsman provides a safe and comfortable environment to discuss complaints, concerns or problems confidentially. The ombudsman acts as an independent, impartial resource. The Office of the Ombudsman does not serve as an office of notice or record for the University. The office does not conduct formal investigations nor does it maintain or keep records. If the ombudsman deems it proper, the ombudsman will refer visitors to the office most appropriate for their concern or complaint. The Office of the Ombudsman serves all students, faculty, staff and administrators of the UCI community – both on the main campus and at the medical center. The Office of the Ombudsman is available during normal business hours. Address: 205 MSTB, Irvine, CA 92697 Phone: (949) 824-7256.

L. Noncompliance with Guidelines

For adjudication and disciplinary processes for engaging in Prohibited Conduct, defined by University policy and in these Guidelines, see Appendices I & II. Non-compliance with these Guidelines, other than violations of Prohibited Conduct, may result in educational efforts or employment or educational consequences up to and including informal counseling, adverse performance evaluations, corrective actions, and termination.

Appendix I: Applicable Complaint Resolution and Grievance Procedures

All members of the University community:

The University of California Policy on Reporting and Investigating Allegations of Suspected Improper Governmental Activities (Whistleblower Policy) governs the reporting and investigation of violations of State or federal laws or regulations, including sexual harassment.

All University employees and applicants for employment:

The University’s Whistleblower Protection Policy provides a complaint resolution process for employees and applicants for employment who have been subjected to retaliation as a result of having made a protected disclosure under the Whistleblower Policy or refused to obey an illegal order. See UCI Sec. 700-06: Guidelines for Reporting Improper Activities and Guidelines for Filing Complaints of Retaliation for Reporting Improper Activities.

External Resources and Time Limits for Filing Complaints

The federal Equal Employment Opportunity Commission (EEOC) and the California Department of Fair Employment and Housing (DFEH) investigate reports of unlawful Prohibited Conduct in employment. The U.S. Department of Education Office for Civil Rights (OCR) investigates reports of unlawful Prohibited Conduct by students in educational programs or activities. These agencies may serve as fact finders and attempt to facilitate the voluntary resolution of disputes. For more information, contact the nearest office of the EEOC, DFEH or OCR. Contact information for these agencies can also be found on the OEOD website.

Appendix II: University Disciplinary Procedures

The following are the University’s disciplinary procedures:

1. Students:
   • PACAOS sets forth UCI’s procedures for resolving complaints of discrimination and harassment where the parties are both students, including the discipline of students found in violation of these Guidelines. See also, the Policy on Student Conduct and Discipline.
2. Employees:
   1. The Faculty Code of Conduct (APM - 015) (as approved by the Assembly of the Academic Senate and by The Regents) establishes the ethical and professional standards which University faculty are expected to observe.

      The University Policy on Faculty Conduct and the Administration of Discipline (APM- 16), as approved by the Assembly of the Academic Senate and by The Regents, outlines sanctions and disciplinary procedures for faculty.

   2. Provisions of the policy on Non-Senate Academic Appointees/Corrective Action and Dismissal (APM - 150) (applicable to non-exclusively represented academic appointees) and collective bargaining agreements (applicable to exclusively represented academic appointees) allow for corrective action or dismissal for conduct which violates these Guidelines.
   3. The following prohibit conduct that violates these Guidelines and provide for disciplinary action:
      1. Personnel Policies for Staff Members (applicable to non-exclusively represented staff employees):
         • PPSM-62: Corrective Action
         • PPSM-63: Investigatory Leave
         • PPSM-64: Termination and Job Abandonment
         • PPSM II-64: Termination of Appointment
      2. Collective bargaining agreements (applicable to exclusively represented staff employees)