Procedure for Reporting and Responding to Reports of Workplace Violence

Title

University of North Carolina at Chapel Hill Procedure for Reporting and Responding to Reports of Workplace Violence

Introduction

Purpose

The University of North Carolina at Chapel Hill ("UNC-Chapel Hill" or "University") is committed to promoting a safe and healthy campus environment that is free from violence. This procedure sets forth steps for reporting, responding, and resolving reports of Workplace Violence. Please refer to the University’s Workplace Violence Policy ("Policy") for policy statements and applicable definitions of key terms.

Scope of Applicability

This procedure applies to reports of Workplace Violence that fall within the definitions and scope of the University’s Workplace Violence Policy.

Procedure

I. Reporting Information and Support Resources

Reporting an Incident

Individuals are strongly encouraged to report any incident or potential incident of Workplace Violence to their supervisor, the Equal Opportunity and Compliance Office and/or the UNC Police for criminal conduct, as appropriate, as soon as it is safe to do so.

1. Active Emergency

If there is an active emergency and/or immediate risk of safety to any University community member or a Threat to University property, individuals must immediately dial 911 and/or contact UNC Police.

2. Mandatory Reporting

Any supervisor, manager, administrator, human resources professional, or other individual designated as a Responsible Employee who receives a report of alleged Workplace Violence must forward those reports to the Equal Opportunity and Compliance Office as soon as possible, including all relevant information and documentation of the alleged incident.

Reporting Considerations

1. Timeliness and Location of Incident

All individuals, including a Reporting Party or witness, are encouraged to report Workplace Violence regardless of when or where it occurred, as soon as possible to maximize the ability to respond promptly and effectively. The University does not limit the time frame for reporting. Delay in reporting Workplace Violence, however, may affect the University’s ability to collect relevant evidence or information regarding the alleged conduct. In some cases, the delay may be so significant that the University may not be able to fully investigate or take disciplinary action.

If the Responding Party is no longer an employee or otherwise within the University’s control at the time of the report, or if the conduct did not occur within the scope of applicability defined by the Policy, the University may not be able to fully investigate or take disciplinary action against the Responding Party.

Delay in reporting Workplace Violence may affect an individual’s ability to file a grievance related to the alleged behavior. Please refer to the UNC-Chapel Hill Office of Human Resources' "Dispute Resolution & Grievances" website for more information about these grievance processes. However, an individual may report Workplace Violence to the Equal Opportunity and Compliance Office at any time, regardless of whether the individual filed the report within the timeframes set out by the grievance policies.

2. Amnesty

With consideration to encouraging individuals to report Workplace Violence, the University will assess on a case-by-case basis whether to refrain from pursuing disciplinary action against any student or employee who voluntarily makes a report or participates in an investigation of Workplace Violence for their own behavior that may violate University policies, at or near the time of the incident. To receive such consideration, the individual must provide full and accurate information relating to the report, and their behavior must not have harmed or placed the health or safety of any other person at risk.

Resources and Support

The University and the community have resources available for individuals affected by Workplace Violence, such as:

• Employee Assistance Program (EAP)
• UNC Police
• Employee and Management Relations in the Office of Human Resources.

For a list of available resources, visit the Safe at UNC website and the comprehensive resources chart.

II. Resolution Process

Overview

Upon receipt of a report of Workplace Violence, the Equal Opportunity and Compliance Office will assess the need for immediate action and coordinate with other units as necessary to address any urgent needs. In most cases, the Equal Opportunity and Compliance Office will reach out to the Reporting Party to gather information, connect them to resources, and conduct an Initial Assessment. The Initial Assessment will consider the nature of the report and determine the appropriate path for resolution:

• No further action,
• Referral for resolution through another University policy or process,
• Informal resolution, or
• Formal investigation.

Initial Assessment

When a report is made, the Associate Vice Chancellor of Equal Opportunity and Compliance/Title IX Coordinator or designee will conduct an Initial Assessment. The Initial Assessment will determine whether the alleged conduct would present a violation of the Policy, whether:

• Further action is warranted based on the alleged conduct,
• A formal or informal resolution is appropriate, and
• Other University policies or processes apply and are an appropriate method of resolving the report.

When appropriate, the Initial Assessment will include a preliminary meeting between the Reporting Party and a Report and Response Coordinator or designee. The Report and Response Coordinator will, when appropriate, first:

• Address any immediate concerns about the physical safety and emotional well-being of the parties;
• Provide information about:
  • On and off campus resources
  • The University’s resolution process(es) and any barriers the Reporting Party may have to participating in the resolution process;
• Discuss whether the Reporting Party has any safety needs related to the workplace;
• Notify the Reporting Party of the availability of medical treatment to address any physical and mental health concerns and to preserve evidence;
• If the alleged conduct is criminal in nature, notify the Reporting Party of the option to make a report to law enforcement and to be assisted in doing so, as well as the option to decline to report to law enforcement; and
• Explain the University’s policy prohibiting Retaliation.

The Equal Opportunity and Compliance Office may also conduct an initial informal inquiry that will enable the Associate Vice Chancellor of Equal Opportunity and Compliance/ Title IX Coordinator or designee, in consultation with other offices as appropriate to:

• Assess the nature and circumstances of the allegation and determine the appropriate path for resolution;
• Refer the matter for threat assessment, if appropriate;
• Conduct an assessment for potential pattern evidence or other similar conduct;
• Assess the reported conduct for the need to issue a timely warning under federal law; and
• Enter non-identifying information about the report into the University's daily crime log if the conduct is potentially criminal in nature.

After gathering necessary and available information, the Associate Vice Chancellor of Equal Opportunity and Compliance/Title IX Coordinator or designee will determine the appropriate path for resolution, which may include:

1. No further action,
2. Referral for resolution through another University policy or process,
3. Informal Resolution under these Procedures, or
4. Formal investigation/resolution under these Procedures.

Regardless of the manner of resolution, a Responding Party may choose to accept responsibility at any stage in the process.

In determining the appropriate path for resolution, the Associate Vice Chancellor of Equal Opportunity and Compliance/Title IX Coordinator or designee may consider a number of factors, including but not limited to the following:

• Whether the alleged conduct would present a potential violation of the Policy;
• Whether the alleged conduct would present a potential violation of another University Policy;
• The nature and scope of the alleged conduct, including whether the reported misconduct involves allegations of physical violence and/or the use of a weapon;
• Whether the alleged conduct, if true, would necessitate formal disciplinary action of the Responding Party employee;
• Considerations of fundamental fairness and due process with respect to the Responding Party should the course of action include disciplinary action against the Responding Party;
• The respective roles of the Reporting and Responding Parties;
• The power dynamics between the involved parties;
• The risk posed to any individual or to the campus community by not proceeding, including the risk of additional violence;
• The risk of retaliation against the Reporting Party, witnesses, or other related individuals;
• Whether there have been other reports of such misconduct by the Responding Party;
• Whether the report reveals a pattern of such misconduct (e.g., including abuse of authority) at a given location or by a particular group or individual;
• Whether Informal Resolution would adequately address the Reporting Party’s concerns and the alleged behavior;
• Whether resolution through another University policy or process would adequately and more efficiently address the Reporting Party’s concerns and the alleged behavior;
• Whether the Reporting Party has requested that their name not be disclosed or has declined to participate in an investigation;
• Whether the University has the means to obtain relevant evidence; and
• The University’s obligation to provide a safe and non-discriminatory and non-retaliatory environment.

Informal Resolution

Informal Resolution does not involve a formal Investigation or disciplinary action against a Responding Party and is not appropriate for all forms of conduct under the Policy. The University retains the discretion to determine when Informal Resolution is appropriate.

Informal Resolution is designed to maximize the parties’ access to employment, educational, and extracurricular opportunities and benefits at the University and to eliminate potential Workplace Violence for the Reporting Party and the work unit.

Such resolutions may include, but are not limited to, one or a combination of the following:

• Conducting targeted or broad-based educational programming or training for relevant groups;
• Providing increased monitoring, supervision, or security at locations or activities where the alleged misconduct occurred;
• Facilitating a meeting with the Responding Party with the Reporting Party present (only when deemed appropriate);
• Facilitating a private discussion with the Responding Party about the allegations and discussing solutions for eliminating the alleged behavior and remedying its affects;
• Mutually agreed upon parameters of interaction between the parties, including modified work assignments, agreements for no contact, and/or time or place restrictions to limit interaction; and
• Any other remedy that can be tailored to the allegations and individuals that will promote an environment free of Workplace Violence.

The Equal Opportunity and Compliance Office will maintain records of all reports and conduct addressed through Informal Resolution to fairly and consistently assess pattern or systemic behavior. The time frame for completion of Informal Resolution may vary depending on the complexity of the matter, but the University will seek to complete the process within forty-five (45) business days of the Equal Opportunity and Compliance Office’s determination that Informal Resolution is appropriate.

Formal Investigation

Following the Initial Assessment and determination that a Formal Investigation is appropriate, the University will initiate a prompt, thorough, and impartial Investigation of the alleged conduct. The Associate Vice Chancellor of Equal Opportunity and Compliance/Title IX Coordinator or designee will oversee the Investigation. The Investigation is designed to provide a fair and reliable gathering of the facts by a trained and impartial investigator. All individuals, including the Reporting Party, the Responding Party, and witnesses, will be treated with appropriate sensitivity and respect throughout the Investigation. The Investigation will safeguard the privacy of the individuals involved in a manner consistent with applicable laws and University policies.

1. Investigators and Administrative Advisor

The Associate Vice Chancellor of Equal Opportunity and Compliance/Title IX Coordinator or designee will assign investigator(s) who have training and experience investigating allegations of Workplace Violence. The investigator will gather information regarding the alleged conduct and make an Investigative Finding.

The Equal Opportunity and Compliance Office will also identify the appropriate administrator(s) (the "Administrative Advisor") to consult with during the investigation, if needed. The Administrative Advisor will review the investigation report and the recommended disciplinary action and/or other corrective measures (if applicable) and discuss the findings and recommendations with the Equal Opportunity and Compliance Office. The Administrative Advisor will not have the ability to reject investigatory findings, disciplinary actions, or other corrective measures.

2. Notice

The Equal Opportunity and Compliance Office will send the Responding Party a written Notice of Investigation. The Notice of Investigation will contain a summary of the allegations or conduct at issue, identify the potential violations under the Policy, include information about the Policy’s prohibition on Retaliation and identify the Administrative Advisor. Upon receipt of the Notice of Investigation, or at any stage in the process, the Responding Party may choose to accept responsibility for the Policy violation.

To the extent allowed by state and federal privacy laws, the Equal Opportunity and Compliance Office will provide notice of all procedural phases of the Investigation and results to the Reporting Party.

3. Time Frame

Consistent with the goal to provide an inclusive and safe educational and work environment, the Equal Opportunity and Compliance Office will seek to complete an Investigation of alleged employee misconduct within sixty (60)¹ business days from the issuance of the Notice of Investigation. Business days do not include weekends or University holidays. The time frame for completion of the Investigation, or any designated time frames for required actions under the Policy, may be extended for good cause as necessary to ensure the integrity and completeness of the Investigation, to comply with a request by law enforcement, to accommodate the availability of witnesses, to account for University breaks or pre-approved leave, to account for the complexities of an Investigation (e.g., the number of witnesses and volume of information provided by the parties), or to address other legitimate reasons. Should the Investigation begin at a time when the sixty (60) business day period will extend into recognized University holidays or academic breaks, the investigator will attempt to proceed as scheduled, but if the Investigation cannot proceed due to absences of the parties or material witnesses, the investigation may be held in abeyance until the individuals are available. Any extension of the procedural phases will be shared with the parties in writing. Best efforts will be made to complete the process in a timely manner by balancing principles of thoroughness and fundamental fairness with promptness.

4. Attorney/Advocate

Parties and witnesses are not permitted to have attorneys or other advisors participate on their behalf in this process or accompany them to any meetings. Parties may ask for breaks to consult with an attorney or other advisor.

5. Intersection with Laws or other Policies

If the report includes allegations that could potentially violate other University policies, the Equal Opportunity and Compliance Office may co-investigate with other relevant units or may, in its sole discretion, defer its resolution process during other relevant units’ process to maximize efficiency, minimize disruption, and impart a prompt and appropriate resolution by the University.

Where the University is made aware that there is a concurrent criminal investigation, the Equal Opportunity and Compliance Office will coordinate with law enforcement to prevent any University processes from interference with the integrity or the timing of the law enforcement investigation. At the request of law enforcement, the University may agree to defer the fact-finding portion of its Investigation until after the initial stages of a criminal investigation. The investigator will promptly resume fact-gathering as soon as law enforcement has released the case for review following the initial criminal investigation.

6. Evidence Collection

During the Investigation, the Reporting Party and Responding Party will have an opportunity to be heard, to submit information, and to identify witnesses who may have relevant information. The investigator will seek to speak separately with the Reporting Party, the Responding Party, and any other individuals who have information relevant to the determination of responsibility for a Policy violation. As part of the Investigation, the investigator may gather or receive information that is relevant to the determination of an appropriate disciplinary action or other corrective measure including information about the impact of the alleged incident on parties.

The investigator will also gather any available physical or documentary evidence that is relevant to the determination of responsibility under the Policy, including prior statements by the parties or witnesses, any communications between the parties, email messages, social media materials, text messages, and other records as appropriate and available.

All community members, including students, faculty and other University employees, are expected to cooperate with the Equal Opportunity and Compliance Office in the Investigation of any report to assure fairness and procedural due process. The Equal Opportunity and Compliance Office will request the appearance of persons from the University community who can provide substantial, relevant evidence. In the absence of Reporting Party or Responding Party participation, the investigator will consider the available evidence to determine whether there has been a violation of the Policy.

7. Relevance and Special Considerations

The investigator has the discretion to determine the relevance of any evidence to the finding of responsibility and may exclude information in preparing the investigation report if the information is irrelevant, immaterial, or more prejudicial than informative.

The investigator may also exclude statements of personal opinion by witnesses and statements as to general reputation for any character trait, including honesty. The investigator will not exclude direct observations or reasonable inferences drawn from the facts.

a. Character Evidence

Character evidence is defined as information that does not directly relate to the facts at issue, but instead, reflects upon the reputation, personality, qualities, or habits of an individual. In general, information regarding the character of the Reporting Party, the Responding Party, or any witness is not relevant to the determination of whether there is a Policy violation.

b. Prior Sexual History

A party’s character or reputation with respect to sexual activity is rarely relevant and will typically not be considered as evidence. Similarly, a party's prior or subsequent sexual activity is typically not relevant and will only be considered as evidence under limited circumstances.

c. Pattern Evidence

Pattern evidence is defined as evidence of relevant behavior so distinctive and so closely resembling either party’s version of the alleged encounter as to tend to prove a material fact. Pattern evidence may be admissible. Where there is evidence of a pattern of similar conduct, either before or after the conduct in question, regardless of whether there has been a prior finding of a Policy violation by the Responding Party, this information may be deemed relevant to the determination of a Policy violation or assignment of a disciplinary action or other corrective measure. The determination of relevance will be based on an assessment of whether the previous or subsequent incident was substantially similar to the conduct cited in the report or indicates a pattern of behavior and substantial conformity with that pattern. Where there is a prior finding of a Policy violation by the Responding Party for a similar act of Workplace Violence, there is a presumption of relevance, and the finding may be considered in making a determination as to responsibility and assigning of a disciplinary action or other corrective measures.

8. Investigation Report

At the discretion of the University, multiple reports may be consolidated into one Investigation if the information related to each incident would be relevant and probative in reaching a determination regarding the other incident(s). This includes, but is not limited to, matters where the determination has been made that there is relevant pattern evidence or where the evidence of the other conduct is inextricably intertwined with Workplace Violence under the Policy. Matters may be consolidated where they involve multiple Reporting Parties, multiple Responding Parties, or related conduct within a department or unit.

At the conclusion of the Investigation, the investigator will prepare a written report that summarizes the information gathered and explains the basis for the Investigative Finding regarding whether a Policy violation occurred and recommendations for appropriate disciplinary action and other corrective measures, if appropriate.

9. Investigative Finding

Upon completion of the investigation report, the investigator will make an Investigative Finding that determines whether the information gathered supports that the alleged conduct occurred by a preponderance of the evidence and, if so, whether the conduct constitutes a violation of the Policy. A preponderance of the evidence means that it is more likely than not that the conduct occurred. The investigator will also recommend appropriate disciplinary action and/or other corrective measures based on the Investigative Finding. In reaching these determinations, the investigator will consult with the Associate Vice Chancellor of Equal Opportunity and Compliance/Title IX Coordinator and any other designated administrator who has information relevant to the Investigation. The investigator will also make recommendations for further action, if applicable.

Upon completion of the Investigative Finding, the investigator will send the final investigation report to the Administrative Advisor to review the report and any recommendations therein, and the Equal Opportunity and Compliance Office will notify the parties that the investigation report has been provided to the Administrative Advisor.

The Administrative Advisor will have five (5) business days to review the investigation report.

If the recommendations include disciplinary action and or/further corrective measures in the relevant department or unit, the Equal Opportunity and Compliance Office will assemble a team of appropriate individuals ("Outcome Team"), which may include the Administrative Advisor (or designee), the Office of Human Resources, the Academic Personnel Office, or the Office for Postdoctoral Affairs, to determine the appropriate course of action based on the investigator’s findings and any other relevant information, considering the factors articulated in the following section of these procedures.

The Equal Opportunity and Compliance Office will notify the Responding Party of the Investigative Finding and recommended action(s) and/or remedy(ies), to the extent permitted by law, in writing within fifteen (15) business days after the Equal Opportunity and Compliance Office provides the completed investigation report to the Administrative Advisor. This time frame may be extended for good cause, and if extended, the Responding Party will be notified in writing. The confidentiality protections provided by the North Carolina State Human Resources Act and Family Educational Rights and Privacy Act (FERPA) may limit the amount of information provided to the parties.²

Possible Actions Resulting from an Investigation

The Policy prohibits a broad range of behaviors, which are serious in nature. In keeping with the University’s commitment to foster an environment that is safe, inclusive, and free of Workplace Violence, the Policy provides the investigator and the Outcome Team with wide latitude in the imposition of disciplinary action or corrective measures tailored to the facts and circumstances of each report, the effects of the misconduct on the Reporting Party and surrounding community, and accountability for the Responding Party. The imposition of disciplinary action or corrective measures is designed to eliminate and prevent Workplace Violence and provide support to individuals and work units, where appropriate. Such measures may include educational, restorative, rehabilitative, and/or punitive components. Some behavior, however, is so harmful to the educational process and the work environment that it requires disciplinary action, including suspension from employment with the University or termination/discharge.

In determining the appropriate course of action, the investigator and the Outcome Team will consider the following factors:

• The nature and violence of the conduct at issue;
• The effects of the conduct on the Reporting Party;
• The effects or implications of the conduct on the work environment, the community, or the University;
• Whether the conduct involved an abuse of power or authority;
• Prior misconduct by the Responding Party, including the Responding Party’s relevant prior disciplinary history, both at the University or elsewhere, including criminal convictions;
• Whether the Responding Party has accepted responsibility for the conduct;
• Maintenance of a safe and respectful environment conducive to learning and working;
• Protection of the University community; and
• Any other mitigating, aggravating, or compelling circumstances to reach a just and appropriate resolution in each case.

All employees must be treated equally when applying these factors, regardless of their category of employment (EHRA Faculty, EHRA Non-Faculty, SHRA). To ensure consistency and equal treatment of all categories of employees, the Equal Opportunity and Compliance Office, in consultation with the Outcome Team, must approve the final course of action and/or remedy. The appropriate supervisor or administrator will implement and enforce the chosen course of action and will provide supporting documentation to the Equal Opportunity and Compliance Office to confirm that the chosen course of action has been implemented.

1. Disciplinary Action

When an Investigation results in a finding that a Responding Party has violated the Policy, disciplinary action may be imposed individually or in combination with corrective measures. If disciplinary action is warranted, discipline will be imposed in accordance with the disciplinary action policy specific to the Responding Party’s employee type.³

2. Corrective Measures

The Outcome Team may also consider corrective measures that are not disciplinary actions but are designed to promote a safe and non-discriminatory work environment. Such measures may focus on educational and restorative principles that allow a Responding Party or other individuals to develop insight about the relationship between certain behaviors and the prohibitions set out in the Policy, learn about the effects of the behavior on the Reporting Party and the community, and identify how to prevent or change the behavior. In some circumstances, even if the investigator has found that the Responding Party did not violate the Policy, the Outcome Team may require training or education for the Responding Party, other individuals involved, or for an entire department or unit.

Such corrective measures that may be implemented include, but are not limited to:

• Educational Requirements: Completion of training, programs, or requirements designed to help the employee manage behavior and understand why it was inappropriate.
• "No Contact" Orders: Compliance with orders of no contact that limit access to specific University areas or forms of contact with particular persons.
• Adjustment of Work Duties: Reassignment of job duties, responsibilities, supervision, schedule, or location that does not entail a demotion of rank and/or pay.

Appeal Options

In some circumstances, employees not satisfied with the outcome of a formal or informal resolution may have an option to appeal through an existing grievance process available for certain employee classifications.

For information about grievance processes available to faculty, consult the applicable policies on the UNC-Chapel Hill Faculty Handbook website.

For information about grievance processes available to SHRA and EHRA Non-Faculty employees, consult the applicable policy on the UNC-Chapel Hill Office of Human Resources' "Dispute Resolution & Grievances" website.

Where both the Reporting Party and the Responding Party agree to the Investigative Finding and any recommended disciplinary action or corrective measures, or where neither party requests further review, the outcome will become final.

Requirements for All Grievance Panels and University Appeals Officials

1. Annual Training

Members of all grievance panels or other adjudicatory bodies that adjudicate reports that fall under the Policy will be annually trained on the Policy, these Procedures, information about the effects of trauma, how to be sensitive and fair to the parties, due process requirements, relevant discrimination and harassment issues as designated by the Equal Opportunity and Compliance Office, and all relevant issues as required by law.

2. Consultation with the Equal Opportunity and Compliance Office

For all matters that fall under the Policy, all grievance panels and adjudicatory bodies will consult with the Equal Opportunity and Compliance Office as needed regarding procedural issues, disciplinary actions, corrective measures, and remedies. In addition, they may consult with other offices with specialized expertise, as appropriate. The purpose of the consultation is not to discuss the merits of the evidence, but rather so that the Equal Opportunity and Compliance Office can help facilitate consistency across various processes with respect to procedures, disciplinary actions, and remedies so that all categories of employees are treated consistently.

IV. Additional Considerations

External Agreements

The University will not recognize or enforce agreements between the parties outside of these procedures. The University will recognize, however, a lawfully issued protective order under North Carolina law.

Employee Records

Records documenting reports of Workplace Violence by employees under the Policy will be maintained by the Equal Opportunity and Compliance Office. Other appropriate offices, including the Office of Human Resources, the Academic Personnel Office, or the Office for Post-Doctoral Affairs, will maintain records of disciplinary actions or other corrective measures as part of an employee’s personnel record. Such records will be maintained in accordance with the relevant state personnel laws, public record laws, and records retention policies, which can be accessed in the "Employee Records" section of the UNC-Chapel Hill Office of Human Resources' "Policies & Procedures" website.

Endnotes

1. If required by the SHRA Grievance Policy, the Equal Opportunity and Compliance Office will seek to complete the Investigation within the time frames outlined in the UNC System and North Carolina Office of State Human Resources policies governing grievances by SHRA employees.

2. The North Carolina State Human Resources Act requires that particular information in an employee’s personnel file remain confidential, including certain information gathered in the course of an investigation. The penalty for permitting access to confidential personnel information is a Class 3 misdemeanor and monetary fine. (See North Carolina General Statutes §§126-22 through 126-24. FERPA generally prohibits the University from disclosing certain information about a student without the student's prior written consent. The University’s FERPA policy is available on the University's policy website. Information protected from disclosure by these privacy policies will be redacted unless a separate law requires disclosure of such information and that law preempts these privacy laws.

3. For the SHRA and EHRA disciplinary policies, see the UNC-Chapel Hill Office of Human Resources' "Disciplinary Processes" website. For Faculty disciplinary policy, see the "Trustee Policies and Regulations Governing Academic Tenure" document on the Office of the Executive Vice Chancellor and Provost's "Academic Personnel" website.

Contact Information

Policy Contact

Equal Opportunity and Compliance Office
919-966-3576
eoc@unc.edu

Other Contacts

Employee Assistance Program (EAP)
1-877-314-5841

UNC Police (General Line)
919-962-8100

UNC Emergency Hotline
919-843-1234

Police
911