DISCRIMINATION COMPLAINT PROCESS
FOR THE UNIVERSITY OF RHODE ISLAND
ORIGINATOR: Director of Affirmative
Action, Equal
Opportunity and Diversity Office
DATE: August, 1985 (revised)
POLICY: #85-1
GENERAL INFORMATION REGARDING
COMPLAINTS:
These complaint procedures apply to complaints by
members of the University community alleging that their rights under
the University's Affirmative Action Plan or Sexual Harassment Policy
have been violated. The University prohibits
discrimination/harassment on the basis of race, sex, religion, age,
color, creed, national origin, disability and sexual orientation.
These procedures are also applicable to complaints which may arise
under Titles VI and VII of the Civil Rights Act of 1964, as amended;
Title IX of the 1972 Educational Amendments to the Higher Education
Act; the Age Discrimination in Employment Act of 1967; Sections
503/504 of the Rehabilitation Act of 1973, as amended; Section 402 of
the Vietnam Era Veterans Readjustment Assistance Act of 1974; the
Equal Pay Act of 1963; the Americans with Disabilities Act of 1990;
Executive Order 11246, as amended; Executive Order 91-39; Executive
Order 92-2; and Rhode Island General Law 28-5.1, as amended.
Copies of the above-mentioned regulations are available in the
University of Rhode Island Library, the Affirmative Action Office or
the Office of the General Counsel.
If members of the campus community (e.g., faculty, staff or
students) believe that their rights have been violated and wish
further information, advice or assistance in filing a complaint, they
should contact:
Affirmative Action Office
University of Rhode Island
201 Carlotti Administration Building
Kingston, Rhode Island 02881
Phone: 401-792-2442
TDD: 401-792-2120
In the event that a person files a complaint
involving a student as the alleged offender (hereinafter referred to
as respondent), the Affirmative Action Office and the Division of
Student Affairs will determine which office will proceed with the
processing of the complaint. Proceedings involving complaints against
students must comply with procedural guidelines contained in the
Student Handbook. (Sections 21-24 and 32-44)
All complaints must be filed within 365 days of the occurrence of
the alleged discriminatory act. Complaints involving allegations of
continuing discrimination will be fully investigated, including
occurrences beyond the 365-day time frame, so long as the last act of
alleged discrimination occurred within the prescribed statute of
limitations (365 days).
All parties meeting with the Affirmative Action Officer may be
accompanied by an individual of their choice for support. This
advocate or representative may not act as an attorney, have a voice
in the proceedings, or have any formal role other than to accompany
and communicate with the party requesting support. The assistance of
counsel must be passive assistance only.
If discrimination, harassment or retaliation is observed by or
reported to a University official (administrators, managers and
supervisors), that official must either take appropriate action to
resolve the matter or refer the case to the Affirmative Action
Office. The official is not required to initiate a formal
investigation but is responsible for taking reasonable and prompt
steps to ensure that the matter is resolved or referred to the
Affirmative Action Office. The fact that the alleged victim does not
wish to file a formal complaint does not relieve the official of this
responsibility.
Cases involving discrimination against a group or class of
individuals, reflecting a pattern and practice of discrimination,
involving criminal violations and direct violations of affirmative
action mandates must be investigated and/or acted upon by the
Affirmative Action Officer regardless of whether there is an
identified complainant. Further, informal resolution of such cases is
not an option.
Individuals shall not knowingly file false charges or accusations
of discrimination/harassment. Such charges or accusations are
strictly prohibited and will result in disciplinary action. There
shall be no disciplinary action, retaliation or reprisal for bringing
a complaint in good faith.
NOTE: This document, while reflecting the general complaint
process which will be followed, is not static. The University
reserves the right to alter and/or deviate from the procedural
guidelines contained herein, when such is warranted by either the
circumstances of a case or the institution's duty to comply with
state and federal mandates.
The Affirmative Action Officer reserves the right to authorize a
designee to serve in the Officer's capacity in the execution of these
procedures.
SPECIFIC PROCEDURES
INITIAL CONSULTATION
The Affirmative Action Officer will establish with the
complainant a time and date for consultation. In consultation, the
Affirmative Action Officer will discuss the individual's concerns,
review the complaint process, and describe the available resolution
options (informal resolution, mediation and formal resolution).
As a result of the initial consultation, the Affirmative Action
Officer will draw preliminary conclusions as to whether or not the
subject matter is appropriate to the Affirmative Action Office.
The Affirmative Action Officer may contact any other pertinent
individuals who may have knowledge of or information relating to the
matter, with the permission of the complainant. If it is determined
that the case should not be addressed by the Affirmative Action
Office, the Affirmative Action Officer will refer the complainant to
the appropriate office or department.
Following the preliminary review, if it is determined that the
Affirmative Action Office shall retain responsibility for the case,
the Affirmative Action Officer will ascertain from the complainant
which of the resolution options the individual has elected. The
selected option will be verified by the complainant's signature.
Selection of an option at this time may not preclude the complainant
from electing another option at a later time, where appropriate, as
determined in consultation with the Affirmative Action Officer.
At the time at which an option is selected, the complainant will
also be asked to make a decision regarding confidentiality. A request
for confidentiality will be honored by the University, to the extent
permitted by law and University policy. However, it must be
understood that while some concerns or complaints can be resolved
without disclosing one's identity, often successful resolution cannot
be achieved under such circumstances. Further, individuals who are
directly accused of unlawful and/or discriminatory behavior and who,
as a result, may be subject to disciplinary action are entitled to a
copy of the formal complaint and/or a summary of the charges against
them so that they may prepare a proper defense.
If, during the initial consultation, the Affirmative Action
Officer determines that immediate action may be necessary to protect
the rights or interests of the complainant, respondent or the
University community, the Affirmative Action Officer will conduct a
preliminary inquiry to verify the need for immediate action and will
advise the University General Counsel of the situation. Upon
consultation with appropriate University officials, immediate action
may be taken which may include temporary changes in duties and
responsibilities, directives to complainant and respondent regarding
personal contact, warnings to the respondent and, in severe cases,
the immediate suspension of the respondent pending the completion of
a formal investigation.
All written records generated during the initial consultation
will be used for reporting aggregate statistical data only and no
file will be established in the name of either party.
INFORMAL RESOLUTION
This informal procedure is intended to effect a resolution of the
matter by reconciling the parties' differences and/or rectifying the
alleged discriminatory action(s). Complaints that the Affirmative
Action Officer evaluates as involving discrimination against a group
or class of individuals, that reflect a pattern and practice of
discrimination, or involve criminal violations may not be resolved
through use of the informal process option. If, after preliminary
review of the matter, it is the judgement of the Affirmative Action
Officer that the case should not be addressed by the Affirmative
Action Office, the informal procedure shall be terminated.
If the complainant has elected informal resolution, the
Affirmative Action Officer finds the complaint should be addressed by
the office and the respondent is agreeable, the Affirmative Action
Officer will initiate the informal complaint procedure. The
Affirmative Action Officer will meet with both parties, make inquires
to ascertain pertinent facts, and consult with other personnel to
facilitate the process.
The Affirmative Action Officer will make all reasonable attempts
to resolve the matter within thirty (30) days. The specific details
of each case will determine the best possible means for achieving a
satisfactory resolution. If attempts at informal resolution are not
effective or the terms of the informal resolution are subsequently
broken, the complainant may exercise either of the remaining options.
All written records generated during informal resolution will be
used for reporting aggregate statistical data only and no files will
be established in the name of either party.
MEDIATION
Mediation is an option that the complainant may select. It is
neither mandated nor required by the University. Upon preliminary
review of the allegations, the Affirmative Action Officer will
determine whether the case is appropriate for mediation. Examples of
those that may not be appropriate for mediation include complaints
that involve discrimination against a group or class of individuals,
reflect a pattern and practice of discrimination, involve criminal
violations or in which there is a significant imbalance of power or
authority between the parties. (Note: This is not an exhaustive
listing.)
If the complainant's selection of mediation is appropriate, the
Affirmative Action Officer will contact the respondent to determine
if the respondent is willing to participate cooperatively. If the
respondent does not give consent, the complainant has the right to
exercise either the informal or formal resolution option.
If all parties agree to the mediation process, the Affirmative
Action Officer will assign the case to a mediator within fifteen (15)
days. The mediator must be neutral, objective and agreeable to both
parties. The mediator will promptly arrange a meeting of both
parties, during which the parties will develop a memorandum of
understanding as to the purposes, goals and scheduling of the
mediation session. The mediator will preserve this documentation in
writing.
At the conclusion of mediation, the parties will develop and the
mediator will preserve in writing, a plan for resolution of the
complaint and future interactions between the parties. The written
plan will be signed by both parties and submitted to the Affirmative
Action Officer for review and approval. The Affirmative Action
Officer will not approve any plan which would violate University
guidelines, state and/or federal laws, regulations or mandates. If
the plan is approved by the Affirmative Action Officer, the plan will
take effect immediately according to its own terms.
If the Affirmative Action Officer disapproves of the plan, or if
the mediation fails to result in a written resolution, the
complainant may exercise the right to proceed to formal resolution.
If mediation is unsuccessful and the complaint proceeds to
investigation and/or a hearing, the mediator will not testify or
participate in any manner, whatsoever, in such proceedings. Further,
no written records generated during the mediation process will be
retained in the Affirmative Action Office.
NOTE: The mediation process will respect the rights of all
parties pursuant to institutional collective bargaining
agreements.
FORMAL RESOLUTION
Any person(s) who believes they have been the victim of
discrimination/ harassment may file a formal complaint with the
Affirmative Action Office. A person who witnesses
discrimination/harassment against another may also file a formal
complaint. Third party complaints on behalf of a group or class of
individuals, that reflect a pattern or practice of discrimination/
harassment or that reflect a clear violation of state or federal
statutes and regulations will be processed by the Affirmative Action
Office. Third party complaints on behalf of an individual will not be
processed unless the alleged victim(s) gives the Affirmative Action
Office permission to proceed.
There is no requirement that a person filing a formal complaint
must have first utilized the informal or mediation process.
A signed complaint form (incident report) must be filed for the
formal process to be initiated. The complaint form must contain a
detailed description of the conduct being complained about, the name
of the alleged offender(s), the name of the victim(s), and the name
of the person filing the complaint.
Further, the complainant must attest to the veracity of the
allegations. A written statement of allegations will be accepted in
lieu of a complaint form, if the written statement contains the
necessary elements listed above.
The Affirmative Action Officer will provide assistance to anyone
for whom completion of the complaint form is difficult or
impractical.
Upon receipt of a signed complaint, the Affirmative Action
Officer will notify the respondent and all parties identified as
being involved in the alleged incident of its existence. Notice will
be delivered by hand or mail. A copy of the written complaint or
statement will also be provided to the respondent. The respondent
will be provided an opportunity to make a formal statement in
rebuttal. Formal statements will also be requested of the other
parties identified in the complaint. In providing notice to the
parties, the Affirmative Action Officer must identify the pertinent
policies, procedures, statutes and regulations involved, explain the
investigative process, and the rights and responsibilities of all
parties. Until such information is provided, no one will be required
to provide a formal statement.
If the respondent elects not to participate in the formal
resolution process, the case will be investigated without the
respondent's involvement. Those who refuse to participate in an
investigation will not be permitted to submit information concerning
the subject of the complaint to the Affirmative Action Office once
the investigation has been completed.
If, during the investigation, the complainant indicates a desire
to withdraw the complaint, the case will be closed and the
complainant will not be permitted to refile the complaint absent
extraordinary circumstances. However, in cases
#85-1 (5 of 8)
where the investigation discloses a clear violation of University
policy and/or
state or federal statutory mandates, the Affirmative Action
Officer must take action to address those violations regardless of
the complainant's wishes.
The Affirmative Action Officer or designee will act as
investigator. The investigator is neutral, objective, and does not
act as an advocate for either party. At any time during the
investigative process, parties may be accompanied by an individual of
their choice for support. Additionally, the advocate or
representative may also assist in the preparation of information to
be provided to the investigator. However, during the investigative
proceedings, this individual may not act as an attorney, have a voice
in the proceedings, or have any formal role other than to accompany
and communicate with the party requesting support. The individual may
not speak to or question the investigator during the fact-finding
sessions.
The investigator is authorized to contact any and all University
personnel and other individuals (e.g., agents, subcontractors,
volunteers, or guests) who may have information relevant to the
complaint. The investigator will have access to all relevant records.
The investigator will maintain a record of interviews and
investigation. The Affirmative Action Office will retain this
document as a permanent confidential record.
Based on the findings of the investigation, the Affirmative
Action Officer shall prepare a confidential final report which shall
include: a description of the alleged discriminatory acts, a listing
of the evidence collected, an evaluation of the pertinent evidence, a
conclusion regarding whether the conduct constitutes
discrimination/harassment and/or a violation of University policies
and procedures, and a recommendation concerning the appropriate
remedy. Potential violations of University policies and procedures,
which are discovered during the investigation but which are outside
the jurisdiction of the Affirmative Action Office, will be referred
to the appropriate office or department for resolution. The final
report must be issued within ninety (90) days after the complaint is
filed. The Affirmative Action Officer will provide copies of the
report to the complainant, respondent and appropriate
administrator(s). The complainant and respondent will also be advised
of the appeal process at that time.
Either party (complainant or respondent) may appeal the
Affirmative Action Officer's findings. Such appeals will be addressed
by the President's designee(s). Parties wishing to file an appeal
must do so within ten (10) days after receiving the Affirmative
Action Officer's final report. The appeal process will not involve
re-investigation of the complaint.
Appeals must raise specific issues related to the Affirmative
Action Officer's findings. Appeal decisions must be rendered within
thirty (30) days after the request for appeal is received.
When charges of discrimination, harassment and/or retaliation are
substantiated, the Vice President/Provost, in consultation with the
Affirmative Action Officer, will render a determination regarding the
appropriate disciplinary and/or corrective action. The Affirmative
Action Officer's input will be limited to issues presented in the
case and specific questions regarding compliance with federal and
state mandates. All decisions regarding disciplinary action shall be
exclusively the province of the Vice
#85-1 (6 of 8)
President/Provost. Questions regarding disciplinary action will
involve consideration of the procedural requirements of collective
bargaining
agreements and statutory mandates. The Vice President/Provost
will be responsible for the implementation of all such disciplinary/
corrective action measures. The Vice President/Provost may remand the
required disciplinary action to the appropriate Dean and/or
Supervisor. At a minimum, the action
taken must protect the complainant from future discrimination,
harassment or retaliation and resolve any procedural or statutory
violations. Depending on the case, substantiated evidence of
discrimination, harassment and/or retaliation can result in
suspension or termination. Implementation of disciplinary action
measures will adhere to University policies and procedures, as well
as collective bargaining agreements.
A record of the outcome of each case will remain a part of the
permanent confidential file of the case maintained by the Affirmative
Action Office.
Following closure of a case, the Affirmative Action Officer may
monitor the actions of the complainant and the respondent to ensure
continued compliance.
CONFIDENTIALITY STATEMENT:
Any member of the University community who in any way
participates in proceedings regarding a complaint, response,
investigation and/or disciplinary action is strongly urged to keep
all information and documents related thereto confidential.
RETALIATION STATEMENT:
Any retaliatory action of any kind by any member of the
University community against the complainant or any other person as a
result of efforts to secure redress under these procedures, or to
cooperate in inquiry, or participate in any activity governed by this
procedure, is prohibited and shall be regarded as a separate and
distinct violation of community standards and the University's
Non-Discrimination Policy.
OUTSIDE AGENCIES
All individuals will be informed regarding their right to seek
redress through the following outside agencies:
Office of Civil Rights, Region I
U.S. Department of Education
J.W. McCormack Post Office and Courthouse Building
Room 222, 01-0061
Boston, Massachusetts 02109
United States Department of Labor
Employment Standards Administration
Office of Federal Contract Compliance Programs
J.W. McCormack Post Office and Courthouse Building
Room 810
Boston, Massachusetts 02109
#85-1 (7 of 8)
Rhode Island Commission for Human Rights
10 Abbott Park Place
Providence, Rhode Island 02903
Rhode Island Office for Civil Rights
Department of Education
22 Hayes Street
Providence, Rhode Island 02908
Rhode Island Equal Opportunity Office
One Capitol Hill
Providence, Rhode Island 02908
(Effective 8/2/94)
#85-1 (8of 8)