Policies and Procedures
Affirmative Action Plan
2001 - Appendix 8
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EQUAL OPPORTUNITY
COMPLAINT PROCEDURE
The University of Maine is committed to maintaining a respectful, fair
educational and work environment, free from discrimination or
harassment. The goal of the University is to prevent discrimination or
harassment from occurring and to provide a means of raising and
resolving complaints. The Equal Opportunity Complaint Procedure may be
used by any employee or student of the University of Maine who believes
that he or she has been discriminated against or harassed based on race,
color, religion, sex, sexual orientation, national origin or citizenship
status, age, disability, or veterans status. Sex discrimination
complaints alleging discrimination based on marital status, pregnancy,
or parental status may also be raised through this procedure.
These procedures provide a mechanism for employees and students to file
complaints and for investigation and resolution of such complaints. The
University is responsible for providing an environment free of
discrimination and harassment whether or not an employee or student
chooses to file a complaint using these procedures. Nothing in this
document should be construed to limit the University's ability to take
corrective action when the University's Non-Discrimination policy is
violated.
General Information
Who may file a complaint. Any employee or student with a concern about
discrimination or harassment should contact the
Director of Equal Opportunity, University of Maine, 101 North Stevens
(581-1226 Voice and TDD), as soon as possible after the alleged
incident. Any person may bring information or a concern about
discrimination or harassment to the Equal Opportunity Officer. A
complaint may be initiated by an employee or student who feels he or she
has experienced discrimination or harassment, or by anyone with
knowledge of an incident. When the complainant is not the person who may
have experienced discrimination or harassment, the University's ability
to investigate and resolve the situation may depend on that person's
willingness to participate in the investigation.
The Equal Opportunity Officer will provide information about University
policy and relevant laws, suggest ways to handle the complaint either
informally or formally, and provide referrals to counseling or other
support services, as needed. In any situation in which the person
accused of discrimination or harassment is a student and a formal
complaint is filed, the investigation will be conducted by the Student
Judicial Officer under the Student Conduct Code. In such cases the Equal
Opportunity Officer may serve as a consultant.
Alternate investigator
The campus shall also provide a qualified alternate investigator in
certain circumstances. If the Director of Equal Opportunity is the
subject of the complaint or has a substantial conflict of interest in
connection to the complainant or person accused or if the Director of
Equal Opportunity is the complainant, a qualified alternate investigator
will be assigned to handle the complaint. Such a request may be made to
the Director of Equal Opportunity, 101 North Stevens (581-1226 Voice and
TDD), or to the Director of Human Resources, 234 Corbett Hall (581-1581
Voice; 581-2362 TDD).
Confidentiality
Investigations will be conducted as confidentially as possible to
protect the privacy and due process rights of both the complainant and
the individual accused. Consultation with and involvement of other
employees, supervisors and others will be strictly limited to those who
may have information about the alleged incident, who need to know that a
complaint has been made, or whose job responsibilities include equal
opportunity matters. All those involved in a complaint process are
strongly encouraged not to discuss information about the complaint
within the University in order to protect their privacy, the privacy of
others, and the effectiveness of the process. The complainant and the
person accused may discuss the matter with family and others outside the
University as necessary for support and guidance and may obtain
assistance from University counseling professionals.
Supervisor's responsibility
If a supervisor becomes aware of a discrimination or harassment
concern regarding an employee's behavior, the supervisor should consult
with the Equal Opportunity Officer. The Equal Opportunity Officer and
the supervisor will discuss the situation and together decide how to
proceed.
Time limits
The people responsible for this process will seriously attempt to
meet all deadlines, but failure to do so will not prevent the process
from continuing. Deadlines in this procedure are intended to serve as
outside limits for actions to occur. In the interest of everyone
concerned, all matters should be handled as expeditiously as possible.
All deadlines refer to calendar days.
Retaliation
Retaliation against anyone who makes a complaint of discrimination
or harassment or who is involved in a complaint process is illegal and
constitutes a serious violation of University policy. Retaliatory action
will be regarded as a basis for a separate complaint under these
procedures.
Informal Complaints
The University's
experience is that most complaints can be resolved through an informal
process. By its nature, an informal process is less procedurally
detailed than a formal process. The informal process provides the
maximum privacy and an opportunity for the earliest possible resolution
for everyone concerned.
If the complainant wishes to explore an informal resolution of the
problem, the Director of Equal Opportunity, or a
trained designee will provide assistance without fully investigating the
allegation. The objective of the informal process is to seek a
resolution to which all parties involved can agree. The Equal
Opportunity Officer may suggest that the complainant speak directly to
the accused person or may act as an intermediary. A complainant may
request that the person accused not be informed of the complainant's
identity if this is not essential to resolve the complaint informally.
The Equal Opportunity Officer may also gather information from other
sources in an effort to resolve the complaint.
If the person accused elects not to participate in an informal process,
the non-participation will not be considered as damaging evidence.
Failure of the accused person to participate does not change the
University's responsibility to investigate and to make decisions based
on available information.
Attempts to resolve an informal complaint will be completed within
thirty (30) days from the date of the complaint. The complainant and the
person accused will be informed of the outcome of the informal process.
This notification may be oral. At the completion of the informal process
if a formal complaint will not be filed, the complainant or person
accused may request a letter from the Equal Opportunity Officer
regarding the status of the complaint. If a complaint cannot be resolved
informally, the complainant or the Equal Opportunity Officer may request
a formal investigation.
Formal Complaints
Filing a complaint
An employee or student who wishes to file a formal complaint should
contact the Equal Opportunity Officer, who will conduct an
investigation. The complaint should be filed as soon as possible after
the alleged incident or unsuccessful efforts to resolve the situation
informally. A formal complaint must be put in writing and signed by the
complainant. The complaint shall specify the incidents giving rise to
the complaint. When possible, dates and location of incidents and
potential witnesses shall be identified.
The University will attempt to balance the wishes of a complainant who
does not want to file a formal complaint with the University's
responsibility to investigate serious allegations and take prompt
corrective action. A complainant who decides not to proceed with a
formal complaint may be asked to state that preference in writing.
Notifying the person accused
The person accused of discrimination or harassment in a formal
complaint will be informed in writing by the Equal Opportunity Officer
within seven (7) days of both the allegations and the complainant's
identity.
Investigative process
The Equal Opportunity Officer will meet with the complainant and the
person accused and may request to meet with them together. The Equal
Opportunity Officer may also interview witnesses, supervisors, or other
persons who have information about the alleged incident, and may review
personnel or other records relevant to the complaint. Prior allegations,
or findings about prior incidents of discrimination or harassment, shall
not be considered in determining whether the present allegation has been
substantiated.
Findings and remedies
The Equal Opportunity Officer will assess whether a violation of the
University's non-discrimination or harassment policy has occurred and
will submit findings in writing to the responsible administrator, the
complainant, and the person accused within thirty (30) days of receiving
the formal complaint. If the finding is that discrimination or
harassment occurred, the Equal Opportunity Officer may discuss or
provide information about appropriate remedies to the responsible
administrator. The responsible administrator is the line administrator
(for example, the dean, director, vice president, or president), who is
responsible for acting on the findings and for making a decision
regarding discipline of the person accused. Appropriate discipline may
range from an oral reprimand up to and including termination, or any
other appropriate remedial action.
In making a decision regarding discipline, the responsible administrator
may consider properly established records of previous conduct and the
seriousness of the violation. A complaint made more than twelve (12)
months after the incident shall not be the basis for disciplining any
person accused of discrimination or harassment. However, where there are
allegations of discrimination or harassment made within the twelve (12)
month period and a longer pattern or practice of discrimination or
harassment exists, the responsible administrator shall consider the
totality of events in determining appropriate discipline.
Before any disciplinary action is taken, the responsible administrator
shall discuss the findings and recommendations with the Equal
Opportunity Officer, shall meet with the accused person, and shall offer
to meet with the complainant. The responsible administrator may also
interview other witnesses and review other relevant evidence. The
accused person and the Equal Opportunity Officer will be notified of the
decision of the responsible administrator in writing within fourteen
(14) days. The complainant will be notified at the same time whether the
allegations have been substantiated, what corrective action, if any,
will be taken, and, in general, whether any discipline will be imposed.
An employee who is disciplined after a complaint has been substantiated
may grieve the discipline by filing a grievance according to the
procedures in the appropriate collective bargaining agreement or
non-represented employees' grievance procedure.
Appeals of Formal Complaints
Either the complainant or person accused may file an appeal if: (1) the
findings include relevant factual errors or omit relevant facts, (2)
relevant procedural errors are alleged, or (3) relevant issues or
questions concerning interpretation of University policy are raised. An
appeal must be made in writing to the Equal Opportunity Coordinator for
the University System within seven (7) days of being notified of the
responsible administrator's decision. The appeal must state the reason(s)
for the appeal. The Equal Opportunity Coordinator will review the
written record and may request additional information from the Equal
Opportunity Officer, complainant, person accused, responsible
administrator, or others with direct knowledge about the complaint. The
Equal Opportunity Coordinator's review will be completed within fourteen
(14) days and will be reported in writing to the complainant, person
accused, Equal Opportunity Officer, responsible campus administrator,
and campus President. The final decision on an appealed complaint rests
with the campus President. During an appeal, the campus shall not impose
any discipline on a respondent for the behavior which is the subject of
the appeal.
At any point in the complaint process, if the University believes that
the accused person represents a danger to individuals or to operations
of the University, the accused may be placed on a leave with pay.
Right to Representation
General
The complainant and the person accused have the right to
representation as specified below. Any representative may attend any
inquiry with the employee or student and may receive copies of
documents, notice of proceedings, and copies of findings, but may not
participate in the inquiry.
Bargaining unit members
The University shall inform a bargaining unit member who is the
subject of a complaint of the member's right to be accompanied by a
grievance representative. An employee who files a complaint and who is a
bargaining unit member may also be accompanied by a union
representative.
Students and non-represented employees
A student or non-represented employee, as either complainant or
accused, shall also have the right to be accompanied by another student
or employee at the campus or other person.
Attorneys
Either the complainant or the accused may be accompanied by legal
counsel when a formal complaint has been made.
Written Records
The kinds of written records relating to a charge of discrimination or
harassment that may be placed in an accused employee's official
personnel file include: any document that has been mutually agreed to by
the University and the employee; a letter issued by the responsible
administrator to the employee at the conclusion of a formal
investigation, which notifies the employee about discipline to be
imposed or other remedies; a settlement agreement between the parties.
Inclusion of such information in the personnel file shall be in
accordance with the relevant collective bargaining agreement.
Other written records of informal or formal complaint investigations
will be marked "CONFIDENTIAL" and will be retained in a separate and
secure (locked) confidential file by the Equal Opportunity Officer.
Alternative Procedures
Employees are encouraged to use the Equal Opportunity Complaint
Procedure to address any complaints of discrimination or harassment
based on protected class status. However, an employee may elect to file
a grievance under the provisions of the applicable collective bargaining
agreement or non-represented employees' grievance procedure, if the
alleged incident is also a violation of the collective bargaining
agreement or non-represented employees' handbook. This action may be in
addition to, or in place of, the procedures described above. An employee
who wishes to use the Equal Opportunity Complaint Procedure but also to
preserve his or her right to file a grievance must ask for, and normally
will be granted, an extension of the initial deadline for filing a
grievance. Such a request shall be made in writing before the initial
deadline for filing a grievance passes by the bargaining agent or the
non- represented employee to the University administrator with authority
to grant an extension.
Any complaint of discrimination or harassment filed under these
procedures shall be processed even if the complainant also files a
complaint or suit with an outside agency, including the Maine Human
Rights Commission, U.S. Equal Employment Opportunity Commission, or U.S.
Department of Education Office of Civil Rights.
Academic Freedom
Harassment based on sex, race, or other protected characteristics
includes verbal conduct which has the purpose or effect of unreasonably
interfering with an individual's work or academic performance or
creating an intimidating, hostile, or offensive work or educational
environment. However, harassment does not include verbal expression
which is relevant to course subject matter, and campus procedures for
handling harassment complaints shall not abridge academic freedom.
Dissemination of Procedure
A summary of the Equal Opportunity Complaint Procedure will be provided
to all employees and students. Periodic notices sent to students,
employees, and supervisors about the University's equal opportunity and
sexual harassment policies will include information about the complaint
procedure and will refer individuals to Evelyn Stern Silver, Director of
Equal Opportunity, 101 North Stevens (581-1226 Voice and TDD), for
additional copies.
